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Practical Guide to LOLER UKCS-TI-010

February 2002 Issue 1 i

Contents

Authorisation for Issue

Amendment Record

Amendment Summary

Distribution List

Preface

List of Abbreviations

Paragraph Page

1 Introduction 12 BP Recommended Guidance 13 Regulation 1 Citation and Commencement 2

3.1 Synopsis 23.2 Key Points 23.3 Roles and Responsibilities 2

4 Regulation 2 Interpretation 24.1 Synopsis 24.2 Key Points 24.3 Roles and Responsibilities 34.4 Examples 3

5 Regulation 3 Application 45.1 Synopsis 45.2 Key Points 45.3 Roles and Responsibilities 55.4 Examples 5

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UKCS-TI-010 Practical Guide to LOLER

ii February 2002 Issue 1

Contents (contd)

Paragraph Page

6 Regulation 4 Strength and Stability 66.1 Synopsis 66.2 Key Points 66.3 Roles and Responsibilities 66.4 Examples 7

7 Regulation 5 Lifting Equipment used for Lifting Persons 77.1 Synopsis 77.2 Key Points 77.3 Roles and Responsibilities 87.4 Examples 9

8 Regulation 6 Positioning and Installation 108.1 Synopsis 108.2 Key Points 108.3 Roles and Responsibilities 108.4 Examples 11

9 Regulation 7 Marking of Lifting Equipment 119.1 Synopsis 119.2 Key Points 119.3 Roles and Responsibilities 129.4 Examples 12

10 Regulation 8 Organisation of Lifting Operations 1210.1 Synopsis 1210.2 Key Points 1210.3 Roles and Responsibilities 1310.4 Examples 13

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February 2002 Issue 1 iii/iv

Contents (contd)

Paragraph Page

11 Regulation 9 Thorough Examination and Inspection 1411.1 Synopsis 1411.2 Key Points 1411.3 Roles and Responsibilities 1511.4 Examples 16

12 Regulation 10 Reports and Defects 1612.1 Synopsis 1612.2 Key Points 16

12.3 Roles and Responsibilities 17

12.4 Examples 1713 Regulation 11 Keeping of Information 18

13.1 Synopsis 1813.2 Key Points 1812.3 Roles and Responsibilities 18

13.4 Examples 1814 Schedule 1 Information to be Contained

in a Report of Thorough Examination 1914.1 Synopsis 1914.2 Key Points 1914.3 Roles and Responsibilities 19

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November 2003 Issue 1/AM02 v/vi

Authorisation for Issue

Technical Authority

Name: Peter Thompson

Signature: ________________________________________________

Date: ________________________________________________

Position: Regional Lifting Consultant

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February 2002 Issue 1 vii/viii

Amendment Record

AMOSAF.171

AmendmentNumber

Incorporated By

Name Signature Date Signature Date

For Audit Use

Checked

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November 2003 Issue 1/AM02 ix/x

Amendment Summary

Issue No Date Description

Issue 1 February 2002 First issue.

Issue 1/AM01 August 2002 Paragraph 7.4 revised to read that the use of

Billy Pugh baskets are prohibited for routineoperations.

Distribution List updated.

corrective action September 2002 Distribution List updated to add names and allBU SMS Co-ordinators.

Issue 1/AM02 November 2003 Issue Authority removed from document.

Technical Authority changed to Peter Thompsonfrom Patrick McCrory.

Distribution List updated.

documentcontrol action

August 2004 Distribution List updated.

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November 2003 Issue 1/AM02 xi/xii

Distribution List

Holders of Controlled Hard Copy

Copy Copyholder Location

01 Data Control Centre (DCC) ODL, Aberdeen

02 Contracts Manager Offshore Crane Engineering

03 Manager of BP Contracts Sparrows Offshore Ltd

Virtual Copyholders

Copy Copyholder

01 Document Technical Authority

02 G ABZ SMS Notifications

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February 2002 Issue 1 xiii

Preface

Purpose

A BP UK Group network with representatives from BP Exploration, BP Oil and BP Chemicals

was formed in December 1998 with the objective of providing Group guidance on the Lifting

Operations and Lifting Equipment Regulations 1998, SI 1998/No 2307. For the sake of

convenience, the title of the regulations has been abbreviated and is referred to throughout

industry as LOLER.

The purpose of this document is to provide common understanding of the new legislative

requirements across the BP Group, and to ensure a common approach in demonstratingcompliance with the standards.

All persons involved with management and implementation of lifting operations on BP-operated

sites must familiarise themselves with the requirements of the legislation and the related

BP guidance and procedures. A useful summary/explanation is also available in the Health and

Safety Executive Approved Code of Practice (ACoP).

To simplify reference, the content of this document has been structured in line with that of

each specific regulation of the SI 1998/No 2307, ie Regulation titles and numbers are the same.

Review and Update

This document will be subject to 12-monthly review and update, when document holders will

have the opportunity to express opinions and suggest improvements.

However, the document control system allows for continuous update of this document.

As such, any user may at any time identify an error or suggest an improvement using an

Amendment Proposal proforma which is available electronically on the UKCS SMS website,

from the Data Control Centre (DCC) Supervisor or from the Technical Authority.

All holders of this document are registered so that they can be sent updates and be kept

informed of changes or reviews.

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xiv February 2002 Issue 1

Responsibility of Copyholders

It is the responsibility of the registered copyholder of controlled hard copy versions to

maintain the accuracy of the document by ensuring that all updates are promptlyincorporated and acknowledged.

Furthermore, the registered copyholder of controlled hard copy versions must at all times

maintain custody of this document unless prior approval is given by the relevant

Technical Authority.

The roles and responsibilities of copyholders and virtual copyholders are detailed in Section 1

of the Document Control Procedure (UKCS-DCM-001).

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February 2002 Issue 1 xv/xvi

List of Abbreviations

ACoP Approved Code of Practice

AUWED Amending Directive to the Use of Work Equipment Directive

HSWA Health and Safety at Work etc Act

LOLER Lifting Operations and Lifting Equipment Regulations

MHSWR Management of Health and Safety at Work Regulations

PFEER Prevention of Fire and Explosion, and Emergency Response

PTW Permit to Work

PUWER Provision and Use of Work Equipment Regulations

RCI Rated Capacity Indicator

SI Statutory Instrument

SLI Safe Load Indicator

STL Shift Team Leader

SWL Safe Working Load

UKCS United Kingdom Continental Shelf

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February 2002 Issue 1 1

1 Introduction

On 5 December 1998 Statutory Instrument (SI) 1998/No 2307 became law.

SI 1998/No 2307 is the Lifting Operations and Lifting Equipment Regulations (LOLER)and this document has been prepared as a practical guide for all those who have

involvement, with the management and control of lifting operations or in the actual use

of equipment during their implementation.

SI 1998/No 2307 was developed under the Health and Safety at Work etc Act 1974,

SI 1974/No 1439 (HSWA) as a means of implementing the lifting provisions of the

Amending Directive to the Use of Work Equipment Directive (AUWED, 95/63/EC).

Unlike previous legislation used to control the operation and use of lifting equipment,

LOLER is industry wide, covering all workplaces subject to the HSWA, be they onshore

or offshore.

As a consequence, many of the existing regulations were revoked, including

The Offshore Installations (Operational Safety, Health and Welfare) Regulations 1976,

SI 1976/No 1019, The Construction (Lifting Operations) Regulations 1961, SI 1961/

No 1581, and The Lifting Plant and Equipment (Records of Test and Examination etc)

Regulations 1992, SI 1992/No 195.

Although LOLER covers all aspects of lifting operations and equipment, reference is

made to two other SIs upon which LOLER builds. They are the Provision and Use of

Work Equipment Regulations 1998, SI 1998/No 2306 (PUWER), and the Management of

Health and Safety at Work Regulations 1992, SI 1992/No 2051 (MHSWR). It is essential

that reference be made to these regulations when planning any lifting operations orprocuring lifting equipment.

In addition to the SI an Approved Code of Practice (ACoP) has been issued by the Health

and Safety Commission. The SI is the law, which must be complied with. The ACoP is

the guide to the law; if you comply with the requirements of the ACoP you will comply

with the law. The ACoP also contains extensive guidance to the regulations.

This document takes Regulations 1 to 11 and provides a brief synopsis of each

regulation, a list of the key points, roles and responsibilities under the regulation and,

where applicable, examples of typical applications.

Regulations 12 to 17 are not covered by this document, as they are concerned with the

armed forces, shipping and dock regulations and the repeal and revocation of previous

legislation. Similarly, Schedule 2 is not covered, as it is merely a list of revoked

instruments.

2 BP Recommended Guidance

This document forms guidance for the BP Group network following the review of LOLER

and is the master document for the development of the BP Guidance for Lifting

Equipment Supply, Control and Operations. This document is the precursor of

Element 6 Lifting Operations of the BP Golden Rules of Safety.

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2 February 2002 Issue 1

3 Regulation 1 Citation and Commencement

3.1 Synopsis

Regulation 1 lays out the overall scope and timing of the Regulations at its highest level.

3.2 Key Points

Came into effect for all lifting equipment on 5 December 1998

All lifting equipment means new, existing, second-hand and leased equipment

Although all equipment must be thoroughly examined under LOLER, equipment

examined under previous legislation (eg SI 1976/No 1019) need not be re-examined

until such time as specified on the current examination certificate

3.3 Roles and Responsibilities

None specifically associated with this regulation.

4 Regulation 2 Interpretation

4.1 Synopsis

Regulation 2 is a series of definitions used throughout the Regulations with the ACoP

giving guidance on the equipment and operations which are covered by LOLER, althoughit is stressed that the list is not exclusive and all work equipment associated with lifting

or lowering of a load is covered by the Regulations.

4.2 Key Points

Definitions of particular note are:

Lifting equipment work equipment for lifting or lowering loads including its

attachments for anchoring, fixing or supporting it

Accessory for lifting work equipment for attaching loads to machinery for lifting

(pendant, sling, shackle etc)

Note: An accessory is also an item of lifting equipment as far as application of the

Regulations is concerned.

Load that which is lifted or lowered by the lifting equipment and accessories,

including any carrier used to hold materials, persons or animals

Examination scheme suitable scheme drawn up by a competent person for such

thorough examination of lifting equipment at such intervals as may be appropriate for

the purpose described in Regulation 9 (refer to Paragraph 11)

Thorough examination a thorough examination by a competent person including

such testing as is appropriate for the purpose

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Competent person a person with appropriate practical and theoretical knowledge

and experience

Employer does not necessarily signify a contractual arrangement between an

employer and an employee. Rather the employer is an individual, partnership or

organisation that has control to any degree of lifting equipment, its management or

the way in which it is used. Refer to Paragraph 5 for a fuller description

Equipment and operations not covered by the Regulations include:

Horizontal conveyor belts

Winching a load on level ground, as the load does not leave the ground. However,

PUWER does cover this activity

Unassisted manual handling, which is covered by the Manual Handling Operations

Regulations 1992


None specifically associated with this regulation.

4.4 Examples

As the range of LOLER is all encompassing, the following list of equipment and

situations will be covered by the Regulations:

Pedestal cranes

Mobile cranes

Overhead gantry cranes

Loose lifting gear, eg chain hoists, lever hoists, slings, shackles, pendants etc

Wire line masts

Drawworks and travelling block

Lifts for persons or goods

Abseiling equipment

Sling-sets attached to containers or pieces of equipment

Runway beams and padeyes to which lifting equipment is anchored or fixed

Emergency escape equipment such as lifeboats (including any davits, winches,

ropes etc) and doughnuts found on offshore Installations although covered by Offshore

Installations (Prevention of Fire and Explosions, and Emergency Response) Regulations

1995, SI 1995/No 743 (PFEER) would also be required to follow a maintenance and

examination programme under LOLER.

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5 Regulation 3 Application

5.1 Synopsis

Regulation 3 details the where and who to which the Regulations apply. The where is

anywhere that the HSWA applies and the who is any employer whose personnel use

lifting equipment. Included within the ACoP is a detailed look at the application of

PUWER, Regulation 4, which is concerned with the selection of equipment suitable for

the anticipated tasks.

5.2 Key Points

Applies to all work locations covered by the HSWA, which includes offshore

Installations within UK territorial waters and the United Kingdom Continental

Shelf (UKCS)

The Regulations impose requirements on an employer who supplies lifting equipment

for use by an employee at their work. The employer can also be:

- A self-employed person using lifting equipment

- A person who has control to any extent of:

Lifting equipment

Users, supervisors or managers of lifting equipment

The way lifting equipment is used

The regulations do not apply to:

- Equipment on a ship which is covered by merchant shipping requirements.

However, it does apply to BP project teams working on merchant ships as part of a

BP Installation workscope

The ACoP provides extensive guidance on the application of PUWER to the supply of

suitable lifting equipment. Specific areas covered are:

- Ergonomic risks assessed under MHSWR

- Material of manufacture suitability for use under anticipated conditions

-Means of access and egress

- Protection against slips, trips and falls

- Environmental protection for the equipment operator

- Means of measuring high wind speed if this will influence the safe operation of the

lifting equipment

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Although LOLER uses the term employer rather than Dutyholder, any duties specifically

assigned to the employer can be assumed to apply to the Dutyholder, if they have any

control over lifting operations.

The following are criteria to apply to employers:

If you have management control over lifting equipment then you are an employer

If you have management control over lifting operations then you are an employer

If you buy lifting equipment for use by others then you are an employer

If you hire lifting equipment then you are an employer

If you are a supervisor in charge of persons using lifting equipment then you are

an employer

If you direct persons to carry out work, for which lifting equipment will have to be

used at some stage then you are an employer

If you provide persons to undertake the use of lifting equipment then you are

an employer

5.4 Examples

It is worth noting the distinction in requirements between equipment hirers and users or

employers. For example, the supplier of lifting equipment on hire has a duty to provide

physical evidence that a thorough examination has been carried out and that theequipment is fit for use; the recipient/employer has a duty to ensure that such

certification is in place. When the equipment has been accepted by the user/employer

then the duties for safe operation and subsequent inspection and examination fall to the

user/employer not the supplier.

Where the supplier also provides the equipment operator, for example with a mobile

crane, then the supplier assumes full responsibility for all use, maintenance and

examination of the equipment.

Another common example would concern the control of rigging lofts. The supplier of the

loft is an employer under LOLER and has responsibility for ensuring that the equipment

provided is fit for safe use and accompanied by appropriate certification (refer toParagraph 11 for more detail). The recipient of the loft is also an employer and assumes

a different set of responsibilities concerning the safe operational use of the equipment

and periodic thorough examination.

Where a company provides personnel to undertake work which will involve the use of

lifting equipment then that company is regarded as an employer and has a duty under

LOLER to provide persons competent to undertake the work. A duty also rests with the

controller of the work to ensure that the competency of the persons provided can

be assured.

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6 Regulation 4 Strength and Stability

6.1 Synopsis

Regulation 4 calls upon the employer to ensure that the lifting equipment and its load is

of adequate strength and stability for the anticipated use. In particular, the ACoP details

numerous factors which must be considered before the lifting equipment is used.

Attention must be paid not only to the equipment itself but also to the mounting or fixing

points of installed equipment and the ground conditions for mobile equipment.

This regulation is especially applicable if the use or configuration of the equipment

changes after it has been installed.

6.2 Key Points

To ensure adequate strength and stability the following must be ensured:

Take account of the combination of forces which the equipment may be subjected to

Assess the implication of the weight of any accessories

Ensure that the equipment is not susceptible to in-service failure modes (fracture,

wear or fatigue)

Have an appropriate factor of safety against foreseeable failure modes

Take account of any combination of destabilising forces

Provide resistance to overturning

Ensure that necessary positioning or stabilising arrangements are in place before use

Maintain the stability of mobile equipment when in use

Provide rail-mounted equipment with devices to prevent derailing

Lay rails in such a way that they provide suitable support for rail-mounted equipment

Provide a means of checking the pressure of pneumatic tyres for mobile equipment

Where there is a significant risk of overload, for example offloading a supply vessel onto

a Platform, then the lifting equipment should be fitted with equipment which provides an

audible and/or visual warning before an overload situation is reached.


The person in control of lifting equipment or lifting operations (Deck Co-ordinators, Shift

Team Leaders (STLs) and Deck Foremen of offshore Installations) must assume

responsibility for the continuing strength and stability of the equipment. This can be

achieved through the appointment of a competent person to assess the lifting

equipment, for example, the design and construction function checking the integrity of

crane pedestals and tie-backs on an offshore Installation.

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Although the load does not fall within LOLER it is incumbent upon the employer (person

in control of the lifting operations) to ensure that any lifting points on the load are of

adequate strength, under regulations governing the load, for example BS 7072 for

offshore containers.

6.4 Examples

Permanent points provided on a load to assist with lifting are regarded as part of the load

and do not fall under LOLER, for example padeyes built into a container.

However, screw-in eyebolts would be regarded as lifting accessories and would be

covered by LOLER.

The equipment typically used for warning of overload is a Rated Capacity Indicator (RCI)

(previously called Safe Load Indicator (SLI)).

7 Regulation 5 Lifting Equipment

used for Lifting Persons

7.1 Synopsis

This regulation takes precedence over all other LOLER regulations when the lifting of

persons is to be carried out.

Primarily concerned with passenger lifts and liftcars, this regulation requires that lifting

equipment for lifting persons must be designed so that persons cannot be harmed while

travelling or working from the carrier, fall from the carrier and escape in an emergency.

In addition, there should be devices in place to prevent the carrier falling.

Lifting of persons in equipment, which is not specifically designed for that purpose,

should only be carried out under exceptional circumstances following a risk assessment

and appointment of suitable supervision, not as a matter of routine.

7.2 Key Points

The first paragraph of this regulation requires the employer to ensure that:

The lifting equipment should be such as to prevent the passenger from beingcrushed, trapped, struck or falling from the carrier, normally by fully enclosing the

carrier. This sub-paragraph refers particularly to liftcars

While carrying out activities from the carrier, measures should be in place so as to

prevent the passenger from being crushed, trapped, struck or falling from the carrier.

In particular the risk assessment should identify:

- Any external equipment or structures which the person in the carrier may strike

- The need for non-slip flooring

- Devices required to prevent any doors inadvertently opening

-The need for safety harnesses and lanyards

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Devices, such as multiple ropes with independent anchorage, multiple cylinders and

check valves for hydraulically-powered systems, should be in place to prevent the

carrier falling on failure of the primary means of support

If a person becomes trapped in a carrier they should not be exposed to any danger

and can be freed. The passenger should be able to summon assistance and be

competent to use emergency lowering or self-rescue equipment provided

The second paragraph is solely concerned with operations undertaken in mines under

the Mines (Shafts and Windings) Regulations 1993.

Where practicable access should always be gained by equipment specifically designed

for lifting persons, particularly for regular or routine operations. However, in exceptional

circumstances, equipment primarily designed for lifting materials can be fitted with a

suitable carrier or working platform and used for lifting persons (cranes, fork-lift trucks

and telescopic handlers are examples). If this type of equipment is to be used, suitableprecautions must be undertaken, as follows:

A risk assessment must be carried out to confirm that the equipment can be

used safely

A means of communication must be provided between the passenger and the lifting

equipment operator (may be hand signals but radio communication is preferred)

The equipment must be manned at all times during person-lifting operations

A reliable means of rescue is available in the event of equipment failure

Appropriate supervision is made available for the operations

If a crane is to be used for lifting persons then the following must be in place:

- Free-fall capability lockout

- Hoisting and lowering limiters

- Rated capacity indicator and limiter

- Schedule of daily inspections of the crane and carrier by a competent person

- Adequate instruction for all persons involved passenger, operator, supervisor etc

7.3 Roles and ResponsibilitiesBuyers of equipment which will be used for lifting persons have a duty to ensure that it

complies with the safety requirements stated above.

Controllers of lifting equipment or operations have a duty to ensure that equipment

which is not designated for lifting persons is not used in this manner.

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August 2002 Issue 1/AM01 9

7.4 Examples

Rope Transfer Basket Billy Pugh

The Billy Pugh transfer basket does not conform to Regulation 5 on three counts:

- It does not prevent a person from being crushed while being carried

- It does not prevent a person from falling from it

- It puts a person in danger if they become trapped in the carrier, particularly if in

the water

The use of Billy Pugh transfer baskets is therefore prohibited except for emergency,

life threatening situations. Basket transfer is only permitted using suitable LOLER

compliant devices.

Emergency Response

The use of equipment, other than that designed for the purpose, for lifting persons in

an emergency situation (for example, lifting a stretcher out of a Platform leg with an

injured party) falls outwith the considerations of this legislation and appropriate

precautions should be determined in response to the situation.

Use of Equipment Not Designed for Lifting Persons

- As stated in Paragraph 7.2, equipment, such as cranes and forklifts, which is not

specifically designed for lifting persons should only be used in exceptional

circumstances. In most cases it should be possible to design-out any requirement

for using such equipment. For example, the need to use a Platform crane to gain

access to another crane booms head or the outside of the derrick for regularmaintenance could be eliminated through the provision of adequate walkways

- Where such equipment is used on an occasional basis, for example man-riding

winches in drilling derricks, then the risk assessment should address all potential

dangers, in this case primarily from the passenger striking equipment, and

minimise the risks

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8 Regulation 6 Positioning and Installation

8.1 Synopsis

Regulation 6 is a very straightforward regulation whereby equipment must be positioned

and installed so as to minimise the risk of the equipment or its load striking a person,

or of control over the load being lost.

8.2 Key Points

In particular, lifting equipment should be installed in such a way that:

- The need to lift loads over people is minimised

- Crushing is prevented at extreme operating positions

- Loads moving along a fixed path are suitably protected to minimise the risk of the

load or equipment striking a person

- Trapping points are prevented or access limited on travelling or slewing equipment

The employer must also minimise the risk of a load:

- Drifting runway beams should be level and tag lines used to control the

movement of long or awkwardly shaped loads

- Falling freely through the fitting of suitable devices such as multiple ropes, safety

gear or check valves

-Being unintentionally released during a loss of power to the lifting equipment orthrough the collision of equipment or their loads. The use of hooks with safety

catches, motion-limiting devices and safe systems of work are possible means of

minimising these risks

Suitable devices must be provided to prevent persons from falling down shafts or

hoist ways, such as gates with interlocks


This regulation is very much concerned with pre-operational requirements and as such

the person in control of the positioning or installation takes responsibility. Withequipment which is installed on a permanent or semi-permanent basis this would

normally only be a consideration at the design stage. However, with mobile equipment,

which is positioned rather than installed, then the person with operational control must

ensure that the equipment is safely situated.

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8.4 Examples

Pedestal cranes with access ladders which slew with the crane are prime examples of

situations where trapping is a distinct possibility. This is normally overcome through

limiting access to the crane.

The supervisor in charge of the lifting operation must pay particular attention to ensure

that the risk to others caused by trapping or crushing by the load is minimised.

For example, the rigging foreman must assume responsibility for the safety of all the

people involved in the execution of the lifting operation.

9 Regulation 7 Marking of Lifting Equipment

9.1 Synopsis

It is a basic requirement to mark the Safe Working Load (SWL) of the lifting equipment

on the equipment, or to make readily available to the operator such information.

In addition, equipment must be marked as either for lifting persons or not for lifting

persons (if it could be used for such a purpose in error).

9.2 Key Points

The SWL is the maximum load that the equipment may safely lift

If it is not possible to mark the equipment with the SWL then a coding system or

labels may be used If the SWL is dependent upon the configuration of the equipment then the SWL for

each configuration should either be marked on the equipment or the information kept

with the equipment where it is readily available to the operator, for example

load-radius charts

Where the SWL changes with the operating radius of the equipment then a

load-limiting device may need to be fitted to inhibit the equipment and provide visual

and/or audible warnings

Any structural element of a piece of lifting equipment which can be separated from

the equipment (boom section, slew ring etc) should be marked to indicate the

equipment of which it is a part

Where a number of accessories are brought together and not dismantled, for example

a spreader beam with slings and shackles, the assembly should be marked to indicate

its safety characteristics

Lifting equipment and accessories should be marked with any relevant safety

information such as the thickness of plates, which may be lifted with a plate clamp

Lifting equipment designed for lifting persons should be marked as such and the

carrier should display the SWL and maximum number of persons which may

be carried

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As the controller of lifting operations the employer is responsible for ensuring that all

equipment is appropriately marked with the SWL and identified as person carrying if

appropriate.

9.4 Examples

Colour coding of lifting equipment does not necessarily in itself meet the requirements

of this regulation. The equipment should be:

Hard-stamped ferrules on wire slings

Affixed with a metal plate chain hoist

The SWL painted onto the equipment runway beams

Where there is more than one winch in a drilling derrick it may be possible for a winch

which has not been designated for man-riding, to be used for lifting persons. In such a

case, all winches shall be clearly marked as either suitable for lifting persons or not.

10 Regulation 8 Organisation of Lifting Operations

10.1 Synopsis

Regulation 8 is the basis upon which all other regulations in LOLER are formed.

This regulation calls for all lifting operations to be carried out in a safe manner, underadequate supervision and following a plan.

10.2 Key Points

The competent person planning the operation should have adequate practical and

theoretical knowledge and experience of planning lifting operations

The plan will need to address the risks identified during a risk assessment and should

identify all resources, procedures and responsibilities necessary for safe operation

The degree of planning will vary considerably depending on the type of lifting

equipment and complexity of the lifting operation and degree of risk involved

There are two elements to the plan:

- The suitability of the lifting equipment as per Regulation 4 of PUWER

- The individual lifting operation to be performed

As a means of minimising risk, the plan should consider the following areas:

- Working under suspended loads, for example in temporary offices

- Breakdown in communication during blind lifting

- Attaching/detaching the load

- Environment and location

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- Overturning

- Proximity hazards

-Lifting persons with non-dedicated equipment

- Overloading

- Pre-use checks by the operator

- Deterioration in the condition of lifting accessories

- The experience, competence and training of all associated personnel

Following a risk assessment and preparation of a standard instruction or procedure,

the person using the equipment can normally plan routine lifts on an individual basis

A routine plan should be reviewed on a regular basis to ensure that it remains valid

The level of supervision provided should be proportionate to the degree of risk

identified and should consider the experience and competence of the personnel using

the lifting equipment


Under Regulation 8 the employer or controller of lifting operations has a primary

responsibility to ensure that suitable persons are appointed for planning and supervising

of such operations.

For any lifting operation it is necessary to:

(1) Ensure that a risk assessment is in place under the MHSWR, ie the employer.

(2) Select suitable equipment for the range of tasks, ie the competent person.

(3) Plan the individual lifting operation, ie the competent person.

Although the employer has overall responsibility for lifting operations it is likely that a

hired specialist will be employed to actually provide the equipment and undertake the

planning of the operations. For example, the equipment hirer could select suitable

equipment for the task specified by the employer, a firm of lifting specialists could then

plan the activity and the maintenance contractor actually carry out the work all of

whom would be regarded as competent persons.

Particular responsibilities are placed on the deck crew and crane operator offshore to

ensure that radio communication is maintained, especially during blind lifting.

10.4 Examples

The term Competent Person is not prescriptively described in LOLER and is used to

identify a number of different roles under the Regulations. In practical terms the

competency of a person may be confirmed by formal, vocational qualification or through

first-hand knowledge of planning or supervising the lifting operations or using the

equipment.

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Standing instructions, operating manuals and environmental procedures cover many of

the routine lifting operations carried out on a daily basis. These generic plans should be

adequate to allow the competent user to undertake individual lifting operations safely.

The pedestal cranes, for instance, would require little or no additional procedures otherthan for special lifts such as utility shaft lifting operations, tandem lifts etc.

The opposite is more likely to be true with the use of portable lifting equipment where

standard procedures may not exist and the competence of the users may require

additional supervision. Special lifts are generally well covered by individual rigging

studies, where the full plan is developed and carried out by well-supervised specialist

teams. However, caution must be exercised when authorising work where the lifting

elements are not readily apparent. For example, during maintenance on a diesel engine

by diesel fitters involving the removal of a radiator utilising pull-lifts and lifting

accessories the emphasis would probably be on the engine maintenance tasks, rather

than the suitability of the lifting equipment, the lifting methodology and the competencyof the personnel involved.

In the majority of cases a Permit to Work (PTW) provides the ideal opportunity to carry

out a risk assessment and control lifting operations in such a way as to minimise any

identified risks. In particular, suitable procedures and supervision must be specified.

Reference should be made to the following publication for more explicit guidance on the

safe use of particular items of lifting equipment:

Code of Practice for Safe Use of Cranes, BS 7121

11 Regulation 9 Thorough Examination and Inspection

11.1 Synopsis

Throughout the life of any piece of lifting equipment it must be accompanied by a valid

certificate to show that it has been manufactured properly and subsequently received

thorough examinations to ensure continued integrity and fitness for safe use.

This regulation presents the owner and user of lifting equipment with a number of

options, some prescriptive, for establishing examination schemes.

The term inspection has a special meaning under LOLER and in general thorough

examination should always be used.

11.2 Key Points

The employer must identify all equipment which requires thorough examination

The employer shall ensure that lifting equipment transferred in or out of their

undertaking has a valid thorough examination record

Testing of equipment is not mandatory under LOLER, although it may be required as

part of the examination scheme prepared by a competent person

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11.2.1 Pre-service

Prior to an employer using lifting equipment for the first time a thorough examination

must be carried out, unless the equipment has not been used before and is

accompanied by an EC declaration of conformity not more than 12 months old

A thorough examination must be carried out if the safety of the lifting equipment is

dependent upon installation or assembly conditions

11.2.2 In-service

All lifting equipment deteriorates in use and therefore a thorough examination must

be carried out

A choice exists, either to have the lifting equipment thoroughly examined at intervals

no longer than those specified in the regulation or in accordance with intervals

specified in an examination scheme prepared by a competent person

Thorough examination intervals under the fixed scheme are as follows:

- Every 6 months if the equipment is used for lifting persons

- Every 6 months for lifting accessories (slings, shackles etc)

- Every 12 months for all other lifting equipment (chain hoists, lever hoists etc)

A thorough examination must be carried out following exceptional circumstances

which may have jeopardised the safety of the equipment. For example, following an

overload or change out of a major loadpath item

In addition to thorough examinations, where user risks have been identifiedinspections should be carried out. The inspection should include visual checks and

function tests and be carried out by persons competent to do so

Lifting equipment currently under a scheme of thorough examination need not be

examined under LOLER until next required under the existing scheme


Although there is a duty on the equipment supplier to provide suitable certification,

the employer must ensure that it has indeed been provided before accepting

the equipment.For all equipment which requires examination a competent person must prepare a

scheme of examination which identifies parts to be examined, resources required,

frequency and parts requiring testing. In general, the equipment controller would appoint

a specialist service provider to undertake the preparation of an equipment register and

examination scheme.

A competent person who is impartial must carry out examinations, although they need

not necessarily be independent of the employer. In practice, however, the appointment

of a specialist examination company would ensure impartiality. The body appointed to

carry out examinations should be accredited to BS EN 45004:1995 (general criteria for

the operation of various types of bodies performing inspection).

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Inspections would include pre-operation visual checks and function tests and the

equipment operator (particularly crane operators) are considered competent to perform

such tasks.

11.4 Examples

In practical terms if a scheme of examination is presently being run under revoked

legislation, ie SI 1976/No 1019, then no further action need be taken to comply with

LOLERs requirements.

The examination must be able to detect defects or weaknesses that would have an

adverse effect on safety. This may involve strip-down, load testing or NDT of equipment.

Distinction is drawn between lifting equipment and accessories in LOLER, with all

chains, ropes, slings and components used for attaching the load to the machinery used

for lifting classified as accessories. However, BP does not propose makingthis distinction.

All accessories and lifting equipment, whether man-riding or not, will undergo

examination at 6-monthly intervals as historical reliability and performance problems

does not warrant extending the examination interval. This common interval will also

avoid colour coding conflicts or other complications such as planning and scheduling

individual maintenance inspection intervals.

Fixed lifting equipment (runway beams, padeyes etc) will be examined at 12-monthly

intervals.

12 Regulation 10 Reports and Defects

12.1 Synopsis

Regulation 10 is tied directly to Regulation 9. This regulation places a duty on the

equipment examiner to provide a report of examination to the employer (and the Health

and Safety Executive in some circumstances) and for the employer to address any

defects noted in the report.

The report must contain the information specified in Schedule 1 (refer to Paragraph 14).

12.2 Key Points

Refer to Paragraph 12.3.

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The roles and responsibilities can be summarised as follows:

Competent Person Carrying Out the Thorough Examination

- Immediately report any defects to the employer and persons using the equipment

if the defect could cause the equipment to become a danger to persons

- Within 28 days complete an authenticated written report of examination in line

with Schedule 1 (refer to Paragraph 14) and submit this to the employer and

equipment hirer (if applicable)

- If any item of lifting equipment has a defect that could cause an imminent risk of

serious personal injury, then a copy of the report must be forwarded to the

relevant enforcing authority (the Health and Safety Executive)

The Employer

- Immediately withdraw the equipment from service if notified of a defect which

poses an immediate threat to persons, and do not re-use it until the defect has

been rectified

- If notified that a defect will become dangerous and the defect is not rectified

within the period specified by the competent person, then the equipment must be

withdrawn form service until rectified

12.4 Examples

In reality little difference to what happens presently, with the exception of the significantchange in the law, which requires the person/organisation carrying out the thorough

examination to forward a copy of the report to the Health and Safety Executive if

defective equipment is likely to be of immediate danger to personnel, rather than

the employer.

Such serious defects are fairly rare occurrences and it is important to remember that

only those defects judged of imminent risk need be reported to the Health and Safety

Executive. Reports would normally be restricted to the actual machine for lifting rather

than a lifting accessory.

Cracks in crane boom main chords or severe wear in the spline drive of main hoist

motors would be considered defects reportable to the Health and Safety Executive.

Damage to a crane boom lattice member or slight wear to a main hoist motor spline

would not be reported, as these do not create a situation which could cause an

immediate danger to persons.

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13 Regulation 11 Keeping of Information

13.1 Synopsis

Regulation 11 is straightforward and ensures that initial conformity certificates and

subsequent examination reports follow a piece of equipment. This allows the user of the

equipment to be sure that the equipment is safe for use.

13.2 Key Points

Lifting equipment will be supplied with an EC declaration of conformity and the

employer must retain such records for so long as they use the equipment

If lifting equipment has undergone a thorough examination prior to first use then a

copy of this report must be kept until the employer ceases to use the liftingequipment

The reports for lifting accessories subject to thorough examination prior to first use

must be kept for 2 years

Where a report of thorough examination has been issued following installation or

assembly of lifting equipment a copy of this report must be retained until the

equipment ceases to be used at that location

Thorough examination reports issued under a schedule or following the equipment

being subjected to exceptional circumstances must be retained until the next report

or for 2 years, whichever is later

Inspection reports must be retained until the next report is available

Reports should be readily available to inspectors from the Health and Safety

Executive upon request


The whole onus of this regulation is upon the employer or controller of the equipment to

ensure that the records are in order.

13.4 Examples

Normally, reports are stored at the location where equipment is being used. However,

if this is not possible they can be kept elsewhere provided they are easily accessible.

Records may be kept in hardcopy form, stored electronically or on computer disc.

Computer systems should be able to provide written copy when necessary.

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14 Schedule 1 Information to be Contained

in a Report of Thorough Examination

14.1 Synopsis

Schedule 1 is a list of 11 key pieces of information which must be recorded whenever an

item of lifting equipment undergoes a thorough examination ranging from the name of

the employer for whom the examination was carried out to the time limit by which a

defect must be rectified.

14.2 Key Points

The report must contain, among others, the following:

Unique identification of the equipment

That equipment has been installed correctly where this affects safety

The type of examination scheme being used

Identification of defective parts and the nature of the defect

Repairs, renewals or alterations necessary to remedy any defects

Time given to effect remedial action for defects which do not pose immediate danger

Date of next examination

Details of any test carried out


The equipment examiner has the responsibility to ensure that the report contains all

requested information and that it is authenticated.

Employers have a duty to ensure that all relevant information is available on a report

accompanying an item of equipment before allowing it to be used.

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