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Safety, Health & Environment Section

FM SHE 046

A Guide to the Safe Use of Lifting Equipment Lifting Operations and Lifting Equipment Regulations (LOLER) 1998

April 2011
Version 3.0

Document review due: April 2013 Please Note: This is a controlled document, please ensure you are using the most recent version.

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1. Introduction 2. Definition of Lifting Equipment 3. Risk Assessment 4. Key Requirements of LOLER 4.1 Suitability of Lifting Equipment 4.2 Strength and Stability 4.3 Lifting Equipment Used for Lifting Persons 4.4 Positioning and Installation 4.5 Marking of Lifting Equipment 4.6 Organisation of Lifting Operations 4.7 Thorough Examination and Inspection 4.7.1 Prior to first use 4.7.2 Periodic examinations once equipment is in service 4.7.3 After adverse incidents

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4.7.4 Inspection of Lifting Equipment by the UCLan Consultant Engineer 7 4.7.5 Transferring Equipment to or Receiving from another Employer 4.8 Reports and Defects 4.9 Keeping of Information 5. References / Useful Links 7 8 8 9

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A Guide to the Safe Use of Lifting Equipment Lifting Operations and Lifting Equipment Regulations (LOLER) 1998
1. Introduction The Lifting Operations and Lifting Equipment Regulations 1998 (LOLER) and its associated Approved Code of Practice (ACoP) replace existing legal requirements relating to the use of lifting equipment. The Regulations aim to reduce risks to people's health and safety from lifting equipment provided for use at work. The Provision and Use of Work Equipment Regulations (PUWER) 1998 apply to all work equipment including lifting equipment but LOLER applies over and above the general requirements of PUWER in respect of all lifting equipment. Failure to comply with the requirements of LOLER is a criminal offence and liable to lead to enforcement action or prosecution by the Health and Safety Executive (HSE). 2. Definition of Lifting Equipment LOLER defines lifting equipment as "work equipment used at work for lifting and lowering loads and includes attachments used for anchoring, fixing or supporting the load." Such a definition covers a wide range of equipment including; cranes, vacuum lifting cranes, hoists, scissors lifts, fork lift trucks, passenger lifts, mobile elevating work platforms, vehicle inspection platform hoists, vehicle tail lifts, garage jacks, bath hoists, dumb waiters, pallet trucks, agricultural lifting equipment such as front-end loaders, etc. Attachments include chains, ropes, slings, pulleys, eyebolts, shackles, anchor points, karabiners, harnesses and strops; examples of situations include rope and pulley systems on building sites and ropes used for climbing or work positioning in arboriculture. Equipment that does not have as its principal function a use for lifting or lowering is generally excluded from LOLER, e.g. three-point linkage on tractors and horizontal conveyors or horizontal winching operations, however, the safety of such equipment would be subject to PUWER. LOLER applies whether the equipment is owned, borrowed or hired, old or new. 3. Risk Assessment The Management of Health & Safety at Work Regulations 1999 requires a competent person to carry out a suitable and sufficient risk assessment, in order to identify the nature and level of risks associated with a lifting operation. Factors requiring consideration include: the type of load being lifted, its weight, shape and what it consists of; the risk of a load falling or striking a person or other object and the subsequent consequences; the risk of the lifting equipment failing or falling over while in use and subsequent consequences.

Comprehensive guidance and the Universitys standard risk assessment form can be downloaded from the Safety, Health & Environment Section website at:

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4. Key Requirements of LOLER 4.1 Suitability of Lifting Equipment Regulation 4(1)-(2) of LOLER requires the University to ensure lifting equipment is suitable for the purpose for which it is used or provided. By selecting the correct lifting equipment for particular tasks and processes it is possible to eliminate or reduce many risks to the health and safety of people in the workplace. Issues to be considered when assessing suitability include: ergonomic design and its compatibility with users; material of manufacture and their suitability for conditions of use; the equipments initially integrity the place in which it will be used; means of access/egress need to be safe and suitable. need to minimise risks from slips, trips and falls from any part of the lifting equipment (e.g. cover or fence any floor openings, suitable edge protection where there is a risk of falling more than 2m, or less then 2m where there are other relevant risk factors involved. adequate protection for operators from adverse environmental conditions (e.g. high winds).

4.2 Strength and Stability Regulation 4 of LOLER requires that lifting equipment be sufficiently strong, stable and suitable for the proposed use, with an appropriate factor of safety against failure built in. Similarly the load and anything attached to it must be suitable and of adequate strength. Where appropriate, sufficient resistance to overturning must be provided to be put into place and operating effectively before the equipment is used (e.g. outriggers, stabilisers, use of ballast etc.). Where mobile lifting equipment is fitted with pneumatic tyres, they must be inflated to the correct pressure before lifting operations commence. The University must provide adequate means to check this. Where there is a significant risk of overloading and/or overturning arising from use of the equipment it should be provided with devices such as rated capacity indicators and limiters, which give warning when safe limits are being approached. 4.3 Lifting Equipment Used for Lifting Persons Regulation 5 of LOLER requires the University to ensure that lifting equipment for lifting persons does not present a risk of crushing or trapping, nor must people be at risk of falling from the equipment or being struck by it. The equipment must have suitable devices to prevent persons falling and that any person who is trapped is not exposed to danger and a reliable means of rescue is available.

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The lifting or lowering of persons by equipment which is not specifically designed for that purpose (e.g. fork lift truck, telescopic handler, etc.) should not be undertaken, except in exceptional circumstances where it is not practicable to gain access by a less hazardous means. 4.4 Positioning and Installation Regulation 6 of LOLER requires that lifting equipment must be positioned or installed to as low as reasonably practicable prevent the risk of the equipment or the load striking people, or the risk of the load drifting, falling freely or being released unintentionally. It is therefore essential that lifts over people are minimised and unauthorised access to the work area prevented. Equipment should also be installed and positioned to prevent crushing when the equipment is in its extreme position. Wherever possible, hooks and other similar devices used for lifting should have either safety catches fitted or be shaped to prevent the accidental displacement of the sling. Where two or more items of lifting equipment are used they, or their loads, should be prevented from coming into contact with each other. Employers must ensure suitable devices (e.g. gates) are provided to prevent persons falling down a lift shaft or hoist-way. Such gates should be fitted with efficient interlocking systems which prevent lift movement until the gates are closed. 4.5 Marking of Lifting Equipment Regulation 7 of LOLER requires lifting machinery and any associated accessories to be marked with their safe working load (SWL). Where it is not practicable to mark the equipment itself (e.g. ropes, slings, karabiners, strops, and harnesses for rope access), a coding system should be used to provide the user with the SWL (e.g. colour coding, label). This also applies where the SWL is dependant upon varying configurations (e.g. fork lift truck fitted with attachments). Any carrier of persons should also display the maximum number of persons to be carried in addition to the SWL. Where a significant hazard arises from the use of lifting equipment, appropriate equipment or devices such as rated capacity indicators/limiters should be provided. 4.6 Organisation of Lifting Operations Regulation 8 of LOLER requires the University to ensure that every lifting operation (including lowering loads) is: a) properly planned by a competent person i.e. person has adequate practical and theoretical knowledge and experience of lifting operations. The plan must address identified risks, resources required, procedures, responsibilities etc); b) appropriately supervised (proportionate to the risk - taking into account the personnel involved); c) carried out in a safe manner. Plans should consider issues such as: weight, shape, centre of gravity and lifting points of the load;

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where the load is and where it is to be moved to (including route, visibility etc); how often the lifting equipment will be used; how loads will be attached/detached, compatibility of lifting accessories, safe working loads of equipment, overloading; the environment in which the lifting is to take place; likelihood of overturning, proximity hazards; number of persons available, their knowledge, training and experience, requirement for supervision; pre-use checks; storage of lifting equipment to prevent damage or deterioration; if lifting persons, suitability of equipment, means of communication, failure of equipment, reliable means of rescue etc.

4.7 Thorough Examination and Inspection Regulation 9 of LOLER requires the University to ensure that lifting equipment is thoroughly examined and inspected by a competent person, who should be someone with appropriate practical and theoretical knowledge and experience of the particular lifting equipment and have an element of independence and impartiality. The risks arising from failure will determine how thorough the examination needs to be. Thorough examination may be needed at several points in the life of lifting equipment. 4.7.1 Prior to first use Before a Faculty/Department/Service uses any lifting equipment for the first time, a thorough examination must be carried out by a competent person unless there is physical evidence available to show that it is safe to use. This would include if the equipment: (a) has not been used before and there is documentation drawn up within the 12 months prior to its first use, an initial test certificate in the form of an "EC Declaration of Conformity" or (b) has been obtained from another organisation (e.g. hired or borrowed) and is accompanied by evidence that the necessary thorough examination has been carried out, (e.g. a copy of the latest test certificate is available). This evidence or the competent person's examination report must be kept until the faculty/service/department ceases to use the lifting equipment, or in the case of accessories, 2 years. Additionally a thorough examination is required after substantial or significant modification or repair. This covers installation in a new location or a reconfiguration. 4.7.2 Periodic examinations once equipment is in service Lifting equipment must also be thoroughly examined at intervals specified within LOLER or shorter intervals if the competent person considers this appropriate, or in accordance with the intervals specified in the examination scheme for the equipment.

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i) Lifting equipment in use must be thoroughly examined at least every 12 months; ii) Accessories (chains, slings, ropes, etc.) must be thoroughly examined at least every 6 months; iii) Equipment used for lifting people must be thoroughly examined at least every 6 months; iv) For the above, the examination is in accordance with a written examination scheme and is to identify any remedial action in good time before deterioration affects safety. 4.7.3 After adverse incidents Lifting equipment must also be inspected by a competent person after any incident or circumstances which may have adversely affected the safety or integrity of the equipment, e.g. involvement in an accident or dangerous occurrence or after long periods out of use. 4.7.4 Inspection of Lifting Equipment by the University Consultant Engineer. It is a requirement of LOLER that those faculties, departments and services within the University who own and operate lifting equipment make it available for regular inspection and implement any recommendations made by the University consultant Engineer. FM Development & Maintenance Section co-ordinates annual inspections and distributes reports the Preston campus.. In order to do this comprehensively, FM Maintenance must keep an up to date inspection schedule. You must inform FM Maintenance if you have acquired or disposed of any lifting equipment. If you are unsure whether an item of lifting equipment is registered or otherwise contact the FM Helpdesk on ext: 2888, email: Following inspection departments will receive an inspection report, it is the responsibility of the department to: return portable equipment to the location shown on the certificate for inspection; check the accuracy of all information on the report and advise FM Maintenance of any changes; keep reports with the equipment. Superseded reports must be retained for three years. equipment not available for inspection must not be used, FM Maintenance will advise on the procedure for re-inspection. equipment reported as defective must not be used, again FM Maintenance will advise on procedure for re-inspection.

4.7.5 Transferring Equipment to or Receiving from another Employer Lifting equipment leaving the University either temporarily or permanently must be accompanied by a copy of its latest examination report. Conversely if you are receiving lifting equipment from another organisation you must obtain a copy of its latest examination report.

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4.8 Reports and Defects Regulation 10 of LOLER requires the competent person making a: thorough examination to: notify any dangerous defects to the University forthwith; report in writing to be made as soon as is practicable a) to the university and b) to any person from whom the equipment has been hired or leased; where the defect involves an existing or imminent risk of serious personal injury, a copy of the report must be sent as soon as practicable to the Health & Safety Executive (HSE); the University must ensure that the lifting equipment is not used before the defect is remedied, or after a time specified in a report and before the defect is remedied.

inspection to: notify the University immediately of any dangerous defects; as soon as practicable, make a record of the inspection in writing.

NOTE: defective lifting equipment must not be used until such defects have been rectified, unless the competent person indicates a timescale for the action to be taken; the latter is for defects that do not immediately endanger people but might do so in the near future. Such defective equipment must be either locked off to prevent use, appropriate signage used and all users informed of prohibition, or removed from the workplace to a secure location to prevent use, appropriately signed and users informed. 4.9 Keeping of Information Regulation 11 of LOLER requires the University to keep: the EC declaration of conformity relating to lifting equipment (where received) for so long as the equipment is operated; reports of thorough examination of lifting equipment must be kept until use of the equipment ceases; reports of thorough examination of an accessory for lifting should be kept for two years after the report has been made; Other requirements relating to the keeping of records apply to where the safety of lifting equipment depends on installation conditions and where there is exposure to conditions causing deterioration.

All records may be kept in hard copy form, stored electronically or on computer disk, as long as they are readily retrievable SHE Section April 2011

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5. References / Useful Links HSC. (1998). Safe Use of Lifting Equipment. Lifting Operations and Lifting Equipment Regulations 1998. Approved Code of Practice and Guidance. L113 1998. HSE. (1999). Simple Guide to the Lifting Operations and Lifting Equipment Regulations 1998. Leaflet INDG290. HSE. (2002). Thorough examination and testing of lifts (INDG339). HSE. (2008). Thorough examination of lifting equipment: A simple guide for employers.

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