The Lifts Regulations 2016

• Citation: S.I. 2016/1093
• Sections: 292

Section 1 Citation and commencement

These Regulations may be cited as the Lifts Regulations 2016 and come into force on 8th December 2016 (“ the commencement date ”).

Section 2 Interpretation

(1) In these Regulations—

the “ 1974 Act ” means the Health and Safety at Work etc. Act 1974 ;

the “ 1978 Order ” means the Health and Safety at Work (Northern Ireland) Order 1978 ;

the “ 1987 Act ” means the Consumer Protection Act 1987 ;

the “ 1997 Regulations ” means the Lifts Regulations 1997 ;

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“ approved body ” has the meaning given to it in regulation 51 (approved bodies);

“ authorised representative ” means a person established in the United Kingdom appointed in accordance with regulation 24(1);

“ carrier ” means the part of a lift by which persons or goods are supported in order to be lifted or lowered;

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“ conformity assessment ” means the process demonstrating whether the essential health and safety requirements relating to a lift or a safety component for lifts have been fulfilled;

“ conformity assessment body ” means a person that performs conformity assessment activities, including calibration, testing, certification and inspection;

“ declaration of conformity ” means a declaration of conformity required to be drawn up in accordance with—

in relation to lifts, regulation 8(1)(a) (declaration of conformity and UK marking: installer); and

in relation to safety components for lifts, regulation 17(1)(a) (declaration of conformity and UK marking: manufacturer);

the “ Department ” means the Department for the Economy in Northern Ireland;

“ designated standard ” has the meaning given to it in regulation 2A;

the “ Directive ” means Directive 2014/33/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the member States relating to lifts and safety components for lifts (recast) ...;

“ distributor ” means a person in the supply chain, other than the manufacturer or the importer, who makes a safety component for lifts available on the market;

“ economic operator ” means an installer, manufacturer, authorised representative, importer or distributor;

“ enforcing authority ” means any person enforcing these Regulations under regulation 61 (enforcement);

“ essential health and safety requirements ” means the requirements set out in Schedule 1 (essential health and safety requirements);

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“ importer ” means a person who—

is established in the United Kingdom and places a safety component for lifts from a country outside of the United Kingdom on the market; or

is established in Northern Ireland and places a safety component for lifts on the market that has been supplied to them for distribution, consumption or use in the course of a commercial activity, whether in return for payment or free of charge, from an EEA state;

“ installer ” means a person who takes responsibility for the design, manufacture, installation and placing on the market of a lift;

“ lift ” means a lifting appliance—

serving specific levels,

having a carrier moving along guides which are rigid and inclined at an angle of more than 15 degrees to the horizontal, or along a fixed course even where it does not move along rigid guides, and,

intended for the transport of—

persons,

persons and goods, or

goods alone, if the carrier is accessible, that is to say a person may enter it without difficulty, and fitted with controls situated inside the carrier or within reach of a person inside the carrier;

“ make available on the market ” means the supply of a safety component for lifts for distribution, consumption or use on the market of Great Britain in the course of a commercial activity, whether in return for payment or free of charge, and related expressions must be construed accordingly;

“ manufacturer ” means a person who—

manufactures a safety component for lifts, or has such a safety component designed or manufactured; and

markets that safety component under that person's name or trade mark;

“ market surveillance authority ” has the meaning set out in regulation 60 (designation of market surveillance authority);

“ model lift ” means a representative lift whose technical documentation shows the way in which the essential health and safety requirements will be met for lifts that conform to the model lift defined by objective parameters and which uses identical safety components for lifts;

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“ place on the market ” means—

make a safety component for lifts available on the market of Great Britain for the first time; or

supply a lift for use on the market of Great Britain in the course of a commercial activity, whether in return for payment or free of charge,

and related expressions must be construed accordingly;

“ RAMS ” means Regulation ( EC ) 765/2008 of the European Parliament and of the Council setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation ( EEC ) No 339/93 ;

“ recall ” means—

in relation to a lift, any measure aimed at achieving the dismantling and safe disposal of a lift; and

in relation to a safety component for lifts, any measure aimed at achieving the return of a safety component for lifts that has already been made available to the installer or to the end-user,

and related expressions must be construed accordingly;

“relevant conformity assessment procedure” means—

in relation to lifts, a conformity assessment procedure referred to in regulation 47 (conformity assessment procedures for lifts); and

in relation to safety components for lifts, a conformity assessment procedure referred to in regulation 48 (conformity assessment procedures for safety components for lifts);

“ relevant economic operator ” means, in relation to a lift or a safety component for lifts, an economic operator who has obligations in respect of that lift or safety component under Part 2;

“ safety component for lifts ” means a component for lifts listed in Schedule 3 ...;

“ technical documentation ” has the meaning set out—

in relation to lifts, in regulation 7(b) (technical documentation and conformity assessment); or

in relation to safety components for lifts, regulation 16(b) (technical documentation and conformity assessment);

“ technical specification ” means a document that prescribes technical requirements to be fulfilled by a lift or a safety component for lifts;

“ UK marking ” means the marking in the form set out in Annex 2 of RAMS;

“ UK national accreditation body ” means the body appointed by the Secretary of State in accordance with Article 4 of RAMS;

“ withdraw ” means taking any measure aimed at preventing a safety component for lifts in the supply chain from being made available on the market and related expressions must be construed accordingly.

(1A) Schedules 11 to 19 reproduce the provisions of Annexes IV to XII to the Directive (respectively) with amendments to correct deficiencies in assimilated law.

(1B) A reference to any provision of Schedules 11 to 19 is a reference to the equivalent provision of the relevant Annex to the Directive as set out in the relevant Schedule.

(2) In these Regulations, a reference to a lift or a safety component for lifts being “ in conformity with Part 2 ” means that—

(a) the lift or the safety component for lifts is in conformity with the essential health and safety requirements; and

(b) each relevant economic operator has complied with the obligations imposed on them under Part 2 which must be satisfied at or before the time at which they place the lift on the market or make the safety component for lifts available on the market.

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) In these Regulations, “ risk ” means a risk to the health and safety of persons and, where appropriate, to the safety of property, except in—

(a) regulation 11 (monitoring of lifts placed on the market);

(b) regulation 21 (monitoring of safety components for lifts made available on the market);

(c) regulation 31 (monitoring of safety components for lifts made available on the market); and

(d) Schedule 1 (essential health and safety requirements).

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 2A Designated standard

(1) Subject to paragraphs (6) and (7), in these Regulations a “ designated standard ” means a technical specification which is—

(a) adopted by a recognised standardisation body or an international standardising body , for repeated or continuous application, with which compliance is not compulsory; and

(b) designated by the Secretary of State by publishing the reference to the standard and maintaining that publication in a manner the Secretary of State considers appropriate.

(2) For the purposes of paragraph (1), a “ technical specification ” means a document that prescribes technical requirements to be fulfilled by a product, process, service or system and which lays down one or more of the following—

(a) the characteristics required of a product, including—

(i) levels of quality, performance, interoperability, environmental protection, health, safety or dimensions, and

(ii) the requirements applicable to the product as regards the name under which the product is sold, terminology, symbols, testing and test methods, packaging, marking or labelling and conformity assessment procedures; and

(b) production methods and processes relating to the product, where these have an effect on the characteristics of the product.

(3) For the purposes of this regulation a “ recognised standardisation body ” means any one of the following organisations—

(a) the European Committee for Standardisation (CEN);

(b) the European Committee for Electrotechnical Standardisation (Cenelec);

(c) the European Telecommunications Standards Institute (ETSI);

(d) the British Standards Institution (BSI).

(3A) In this regulation “ international standardising body ” has the same meaning as it has for the purposes of the Agreement on Technical Barriers to Trade, part of Annex 1A to the agreement establishing the World Trade Organisation signed at Marrakesh on 15 April 1994 (as modified from time to time).

(4) When considering whether the manner of publication of a reference is appropriate in accordance with paragraph (1)(b), the Secretary of State must have regard to whether the publication will draw the standard to the attention of any person who may have an interest in the standard.

(5) Before publishing the reference to a technical specification adopted by the British Standards Institution, the Secretary of State must have regard to whether the technical specification is consistent with such technical specifications adopted by the other recognised standardisation bodies or by international standardising bodies as the Secretary of State considers to be relevant.

(6) The Secretary of State may remove from publication the reference to a standard which has been published in accordance with paragraph (1)(b).

(7) Where the Secretary of State removes the reference to a standard from publication, that standard is no longer a designated standard.

(8) In this regulation, a reference to a “ product ” is a reference to a lift or a safety component for lifts to which these Regulations apply.

(9) The Secretary of State may by regulations amend paragraph (3) to reflect any changes in the name or structure of the recognised standardisation bodies.

(10) Regulations made under paragraph (9) are to be made by statutory instrument.

(11) A statutory instrument containing regulations made under paragraph (9) is subject to annulment in pursuance of a resolution of either House of Parliament.

Section 3 Scope and application

(1) Subject to paragraph (2), these Regulations apply to—

(a) lifts permanently serving buildings or constructions; and

(b) safety components for use in such lifts.

(2) These Regulations do not apply to—

(a) lifts and safety components for lifts which have been placed on the market before the commencement date;

(b) the lifts specified in Schedule 2 (excluded lifts); and

(c) safety components for the lifts referred to in paragraph (b).

(3) Nothing in these Regulations regarding the installation of a lift affects the application of the Construction Products Regulations 2013 .

Section 4 Exception for trade fairs, exhibitions or demonstrations

Nothing in these Regulations prevents the showing of a lift or a safety component for lifts, which is not in conformity with Part 2, at a trade fair, exhibition or demonstration, provided that a visible sign clearly indicates that the lift or the safety component for lifts—

(a) is not in conformity with Part 2; and

(b) will not be placed on the market or made available on the market until it is brought into conformity with Part 2.

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

These Regulations do not apply to a lift or a safety component for lifts insofar as and to the extent that the essential health and safety requirements relate to risks wholly or partly covered by other specific enactments applicable to that lift or safety component.

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

Before placing a lift on the market, an installer must ensure that it has been designed, manufactured, installed and tested in accordance with the essential health and safety requirements.

Section 7 Technical documentation and conformity assessment

Before placing a lift on the market, an installer must—

(a) have a relevant conformity assessment procedure carried out; and

(b) draw up the technical documentation referred to—

(i) for a lift in respect of which the conformity assessment procedure in regulation 47(1)(a) is being carried out, in point 3 of Part B of Module B in Schedule 11 ;

(ii) for a lift in respect of which the conformity assessment procedure in regulation 47(1)(b) or 47(1)(d) is being carried out, in point 3.1(d) of Module H1 in Schedule 18 ;

(iii) for a lift in respect of which the conformity assessment procedure in regulation 47(1)(c) is being carried out, in point 3 of Module G in Schedule 15 .

Section 8 Declaration of conformity and UK marking

(1) Where the conformity of a lift with the essential health and safety requirements has been demonstrated by a relevant conformity assessment procedure, before placing the lift on the market, the installer must—

(a) draw up a declaration of conformity in accordance with regulation 49 ( ... declaration of conformity);

(b) ensure that the declaration of conformity accompanies the lift; and

(c) affix the UK marking in accordance with regulation 50 ( UK marking).

(2) The installer must keep the ... declaration of conformity up-to-date.

(3) Where a lift is subject to more than one enactment requiring the drawing up of a declaration of conformity, the installer must draw up a single declaration of conformity which identifies each enactment by its title.

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

An installer must keep the technical documentation, the ... declaration of conformity and, where applicable, any approval decision, drawn up in respect of a lift for a period of 10 years beginning on the day on which the lift is placed on the market.

Section 10 Labelling and instructions

(1) Before placing a lift on the market, an installer must—

(a) ensure that it is labelled with—

(i) the name, registered trade name or registered trade mark of the installer;

(ii) a single postal address at which the installer can be contacted; and

(iii) the type, batch or serial number of the lift or other element allowing the lift to be identified; and

(b) ensure that it is accompanied by the instructions referred to in paragraph 7(2) of Schedule 1 .

(2) the information referred to in paragraph (1) must be clear, legible and in easily understandable English.

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 11 Monitoring of lifts placed on the market

(1) When appropriate, having regard to the risks to the health and safety of end-users presented by a lift, the installer must investigate complaints that lifts installed by it are not in conformity with Part 2.

(2) An installer must keep a register and promptly make entries in that register of any—

(i) complaints; and

(ii) lifts that are not in conformity with Part 2.

(3) An installer must keep an entry made in the register for a period of at least 10 years beginning on the day on which the obligation to make the entry arose.

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

(1) An installer who considers, or has reason to believe, that a lift which that installer has placed on the market is not in conformity with Part 2, must immediately take the corrective measures necessary to bring that lift into conformity.

(2) Where the lift presents a risk, the installer must immediately inform the market surveillance authority ... of the risk, giving details of—

(a) the respect in which the lift is considered not to be in conformity with Part 2; and

(b) any corrective measures taken.

Section 13 Provision of information and cooperation

(1) Following a reasoned request from the enforcing authority, and within such period as the enforcing authority may specify, an installer must provide the authority with all the information and documentation necessary to demonstrate that a lift is in conformity with Part 2—

(a) in paper or electronic form; and

(b) in a language that can be easily understood by the enforcing authority.

(2) An installer must, at the request of the enforcing authority, cooperate with the authority on any action taken to—

(a) evaluate a lift in accordance with regulation 64 (evaluation of lifts or safety components for lifts presenting a risk); or

(b) eliminate the risks posed by a lift which the installer has placed on the market.

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

The person responsible for work on a building or construction where a lift is to be installed and the installer must—

(a) provide each other with the necessary information, and

(b) take the appropriate steps,

in order to ensure the proper operation and safe use of the lift, in particular they must take all necessary measures to ensure that shafts intended for lifts do not contain any piping or wiring or fittings other than that necessary for the operation and safety of the lift.

Section 15 Design and manufacture in accordance with essential health and safety requirements

Before placing a safety component for lifts on the market, a manufacturer must ensure that it has been designed and manufactured in accordance with the essential health and safety requirements.

Section 16 Technical documentation and conformity assessment

Before placing a safety component for lifts on the market, a manufacturer must—

(a) have a relevant conformity assessment procedure carried out; and

(b) draw up the technical documentation referred to—

(i) for a safety component for lifts in respect of which the conformity assessment procedure in regulation 48(a) or 48(b) is being carried out, in point 3 of Part A of Module B in Schedule 11 ;

(ii) for a safety component for lifts in respect of which the conformity assessment procedure in regulation 48(c) is being carried out, in point 3.1(d) of Module H in Schedule 14 .

Section 17 Declaration of conformity and UK marking

(1) Where the conformity of a safety component for lifts with the essential health and safety requirements has been demonstrated by a relevant conformity assessment procedure, before placing the safety component for lifts on the market, the manufacturer must—

(a) draw up a declaration of conformity in accordance with regulation 49 ( ...declaration of conformity);

(b) ensure that it accompanies the safety component for lifts; and

(c) affix the UK marking in accordance with regulation 50 ( UK marking).

(2) The manufacturer must keep the ... declaration of conformity up-to-date.

(3) Where a safety component for lifts is subject to more than one enactment requiring the drawing up of a declaration of conformity, the manufacturer must draw up a single declaration of conformity which identifies each enactment by its title.

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

A manufacturer must keep the technical documentation, the ... declaration of conformity and, where appropriate, any approval decision, drawn up in respect of a safety component for lifts for a period of 10 years beginning on the day on which the safety component for lifts is placed on the market.

Section 19 Labelling and instructions

(1) Before placing a safety component for lifts on the market, a manufacturer must—

(a) ensure that it is labelled with—

(i) the name, registered trade name or registered trade mark of the manufacturer;

(ii) a single postal address at which the manufacturer can be contacted; and

(iii) the type, batch or serial number of the safety component for lifts or other element allowing the safety component to be identified;

(b) ensure that it is accompanied by the instructions referred to in paragraph 7(1) of Schedule 1 .

(2) The information referred to in paragraph (1) must be clear, legible and in easily understandable English.

(3) Where the size or nature of the safety component for lifts does not allow the information referred to in paragraph (1)(a) to be indicated on the safety component for lifts, that information must be provided on the label referred to in regulation 50(2).

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 20 Compliance procedures for series production

(1) A manufacturer of safety components for lifts which are manufactured by series production must ensure that, before placing the safety component on the market, procedures are in place to ensure that any safety components so manufactured will be in conformity with Part 2.

(2) In doing so, the manufacturer must take adequate account of—

(a) any change in safety component for lifts design or characteristics; and

(b) any change in a designated standard or in another technical specification by reference to which the ... declaration of conformity was drawn up.

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

(1) When appropriate, having regard to the risks to the health and safety of end-users presented by a safety component for lifts, the manufacturer must—

(a) carry out sample testing of safety components for lifts manufactured by it which are made available on the market;

(b) investigate complaints that safety components for lifts manufactured by it are not in conformity with Part 2;

(c) keep distributors and installers informed of actions carried out under sub-paragraphs (a) and (b).

(2) A manufacturer must keep a register and promptly make entries in that register of any—

(i) complaints;

(ii) safety components for lifts that are not in conformity with Part 2; and

(iii) safety component for lifts recalls.

(3) A manufacturer must keep an entry made in the register for a period of at least 10 years beginning on the day on which the obligation to make the entry arose.

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

(1) A manufacturer who considers, or has reason to believe, that a safety component for lifts which that manufacturer has placed on the market is not in conformity with Part 2, must immediately take the corrective measures necessary to—

(a) bring the safety component for lifts into conformity;

(b) withdraw the safety component for lifts; or

(c) recall the safety component for lifts.

(2) Where the safety component for lifts presents a risk, the manufacturer must immediately inform the market surveillance authority ... of the risk, giving details of—

(a) the respect in which the safety components for lifts is considered not to be in conformity with Part 2; and

(b) any corrective measures taken.

Section 23 Provision of information and cooperation

(1) Following a reasoned request from the enforcing authority, and within such period as the enforcing authority may specify, a manufacturer must provide the authority with all the information and documentation necessary to demonstrate that a safety component for lifts is in conformity with Part 2—

(a) in paper or electronic form; and

(b) in a language that can be easily understood by the enforcing authority.

(2) A manufacturer must, at the request of the enforcing authority, cooperate with the authority on any action taken to—

(a) evaluate a safety component for lifts in accordance with regulation 64 (evaluation of lifts or safety components for lifts presenting a risk); or

(b) eliminate the risks posed by a safety component for lifts which the manufacturer has placed on the market.

Section 24 Appointment of authorised representatives

(1) An installer or a manufacturer may, by written mandate, appoint a person established in the United Kingdom as their authorised representative to perform specified tasks on the installer or the manufacturer's behalf.

(2) The mandate must allow the authorised representative to do at least the following—

(a) in relation to lifts covered by the mandate, perform the installer's obligations under—

(i) regulation 9 (retention of technical documentation and ... declaration of conformity); and

(ii) regulation 13 (provision of information and cooperation);

(b) in relation to safety components for lifts covered by the mandate, perform the manufacturer's obligations under—

(i) regulation 18 (retention of technical documentation and ... declaration of conformity); and

(ii) regulation 23 (provision of information and cooperation).

(3) An installer or manufacturer may not be appointed to perform the installer's or manufacturer's obligations—

(a) in relation to lifts, under regulation 6 (design, manufacture, installation and testing in accordance with essential health and safety requirements), regulation 7 (technical documentation and conformity assessment) or regulation 8 ( ... declaration of conformity and UK marking);

(b) in relation to safety components for lifts, under regulation 15 (design and manufacture in accordance with essential health and safety requirements), regulation 16 (technical documentation and conformity assessment) or regulation 17 ( ... declaration of conformity and UK marking).

(4) An authorised representative must comply with all the duties imposed on the installer or the manufacturer in relation to each obligation under these Regulations that the authorised representative is appointed by the installer or the manufacturer to perform.

(5) As far as those duties are concerned, as well as the penalties for failure to comply with those duties, references in these Regulations (except in this regulation) to the installer or to the manufacturer are to be taken as including a reference to the authorised representative.

(6) An installer or a manufacturer who has appointed an authorised representative to perform on their behalf an obligation under these Regulations remains responsible for the proper performance of that obligation.

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

An importer must not place a safety component for lifts on the market unless it is in conformity with the essential health and safety requirements.

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

(1) Before placing a safety component for lifts on the market, an importer must ensure that—

(a) a relevant conformity assessment procedure has been carried out by the manufacturer;

(b) the manufacturer has drawn up the technical documentation;

(c) the safety component for lifts—

(i) bears the UK marking; and

(ii) is accompanied by the ... declaration of conformity and any required labels; and

(d) the manufacturer has complied with the requirement in regulation 19 (labelling and instructions).

(2) In paragraph 1(c)(ii), “ required labels ” means any labels that are required to be attached to the safety component for lifts pursuant to regulation 19(3).

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

(1) Where an importer considers, or has reason to believe, that a safety component for lifts is not in conformity with the essential health and safety requirements, the importer must not place the safety component for lifts on the market.

(2) Where the safety component for lifts presents a risk, the importer must inform the manufacturer and the market surveillance authority of that risk.

Section 28 Information identifying importer

(1) Before placing a safety component for lifts on the market , an importer must indicate on the safety component for lifts—

(a) the name, registered trade name or registered trade mark of the importer; and

(b) a postal address at which the importer can be contacted.

(2) The information specified in paragraph (1) must be in a language which can be easily understood by end-users and the market surveillance authority .

(3) Paragraph (1) does not apply where—

(a) either—

(i) it is not possible to set out the information specified in paragraph (1) on the safety component for lifts; or

(ii) the importer has imported the safety component from an EEA state or Switzerland and places it on the market within the period of seven years beginning with IP completion day; and

(b) before placing the safety component for lifts on the market, the importer sets out the information specified in paragraph (1)—

(i) on the packaging; or

(ii) in a document accompanying the safety component for lifts.

Section 29 Instructions

(1) When placing a safety component for lifts on the market, an importer must ensure that it is accompanied by the instructions referred to in paragraph 7 of Schedule 1 and that they are clear, legible and in easily understandable English.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 30 Storage and transport

Where an importer has responsibility for a safety component for lifts, the importer must ensure that the conditions under which the safety component for lifts is stored or transported do not jeopardise its conformity with the essential health and safety requirements.

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

(1) When appropriate, having regard to the risks to the health and safety of end-users presented by a safety component for lifts, the importer must—

(a) carry out sample testing of safety components for lifts made available on the market by the importer;

(b) investigate complaints that safety components for lifts made available on the market by the importer are not in conformity with Part 2;

(c) keep distributors and installers informed of any actions carried out under sub-paragraphs (a) and (b).

(2) An importer must keep a register and must promptly make entries in that register of any—

(i) complaints;

(ii) safety components for lifts that are not in conformity with Part 2; and

(iii) safety components for lifts recalls.

(3) An importer must keep an entry made in the register for a period of at least 10 years beginning on the day on which the obligation to make the entry arose.

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

(1) An importer who considers, or has reason to believe, that a safety component for lifts which that importer has placed on the market is not in conformity with Part 2, must immediately take the corrective measures necessary to—

(a) bring the safety component for lifts into conformity;

(b) withdraw the safety component for lifts; or

(c) recall the safety component for lifts.

(2) Where the safety component for lifts presents a risk, the importer must immediately inform the market surveillance authority, and the competent national authorities of any other member State in which the importer made the safety component for lifts available on the market, of the risk, giving details of—

(a) the respect in which the safety components for lifts is considered not to be in conformity with Part 2; and

(b) any corrective measures taken.

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

An importer must, for a period of 10 years beginning on the day on which the safety component for lifts is placed on the market—

(a) keep a copy of the ... declaration of conformity and, where applicable, any approval decision, at the disposal of enforcing authorities; and

(b) ensure that the technical documentation can be made available to enforcing authorities, upon request.

Section 34 Provision of information and cooperation

(1) Following a reasoned request from the enforcing authority, and within such period as the enforcing authority may specify, an importer must provide the authority with all the information and documentation necessary to demonstrate that a safety component for lifts is in conformity with Part 2—

(a) in paper or electronic form; and

(b) in a language that can be easily understood by the enforcing authority.

(2) An importer must, at the request of the enforcing authority, cooperate with the authority on any action taken to—

(a) evaluate a safety component for lifts in accordance with regulation 64 (evaluation of lifts or safety components for lifts presenting a risk); or

(b) eliminate the risks posed by a safety component for lifts which the importer has placed on the market.

Section 35 Cases in which obligations of manufacturers apply to importers

(1) An economic operator who would, but for this regulation, be considered an importer (“A”), is to be considered a manufacturer for the purposes of these Regulations and is subject to the relevant obligations of the manufacturer under this Part, where A—

(a) places a safety component for lifts on the market under A's own name or trademark; or

(b) modifies a safety component for lifts already placed on the market in such a way that it may affect whether the safety component for lifts is in conformity with Part 2.

Section 36 Duty to act with due care

When making a safety component for lifts available on the market, a distributor must act with due care to ensure that it is in conformity with Part 2.

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

(1) Before making a safety component for lifts available on the market, the distributor must ensure that—

(a) the safety component for lifts—

(i) bears the UK marking;

(ii) is accompanied by the ... declaration of conformity and the required documents; and

(iii) is accompanied by the instructions referred to in paragraph 7 of Schedule 1 and that they are clear, legible and in easily understandable English;

(b) the manufacturer has complied with the requirements set out in regulation 19 (labelling and instructions); and

(c) the importer has complied with the requirements set out in regulation 28 (information identifying importer).

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) In paragraph 1(a)(ii), “ required documents ” means any labels or documents that are required to be provided with the safety component for lifts pursuant to—

(a) regulation 19(3); and

(b) regulation 28(3).

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

(1) Where a distributor considers, or has reason to believe, that a safety component for lifts is not in conformity with the essential health and safety requirements, the distributor must not make the safety component for lifts available on the market.

(2) Where the safety component for lifts presents a risk, the distributor must inform the following persons of that risk—

(a) the manufacturer or the importer; and

(b) the market surveillance authority.

Section 39 Storage and transport

Where a distributor has responsibility for a safety component for lifts, the distributor must ensure that the conditions under which the safety component for lifts is stored or transported do not jeopardise its conformity with the essential health and safety requirements.

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

(1) A distributor, who considers, or has reason to believe, that a safety component for lifts which the distributor has made available on the market is not in conformity with Part 2, must make sure that the necessary corrective measures are taken to—

(a) bring that safety component for lifts into conformity;

(b) withdraw the safety component for lifts; or

(c) recall the safety component for lifts.

(2) Where the safety component for lifts presents a risk, the distributor must immediately inform the market surveillance authority ... of that risk, giving details of—

(a) the respect in which the safety component for lifts is considered not to be in conformity with Part 2; and

(b) any corrective measures taken.

Section 41 Provision of information and cooperation

(1) Following a reasoned request from an enforcing authority, and within such period as the authority may specify, a distributor must provide the authority with all the information and documentation, in paper or electronic form, necessary to demonstrate that a safety component for lifts is in conformity with Part 2.

(2) A distributor must, at the request of the enforcing authority, cooperate with the authority on any action taken to—

(a) evaluate a safety component for lifts in accordance with regulation 64 (evaluation of lifts or safety components for lifts presenting a risk); and

(b) eliminate the risks posed by a safety component for lifts which the distributor has made available on the market.

Section 42 Cases in which obligations of manufacturers apply to distributors

(1) An economic operator who would, but for this regulation, be considered a distributor (“A”), is to be considered a manufacturer for the purposes of these Regulations and is subject to the relevant obligations of the manufacturer under this Part, where A—

(a) places a safety component for lifts on the market under A's own name or trademark; or

(b) modifies a safety component for lifts already placed on the market in such a way that it may affect whether the safety component for lifts is in conformity with Part 2.

Section 43 Translation of declaration of conformity

(1) Before placing a lift on the market or making a safety component for lifts available on the market, an economic operator must ensure that the EU declaration of conformity is prepared in, or translated into, the language required by the relevant state in which the lift is to be placed on the market or the safety component for lifts is to be made available on the market.

(2) Where the lift is to be placed on the market or the safety component for lifts is to be made available on the market in Northern Ireland , the language required is English.

Section 44 Identification of economic operators

(1) An economic operator (“E”), who receives a request in relation to a safety component for lifts from the market surveillance authority before the end of the relevant period, must, within such period as the authority may specify, identify to the authority—

(a) any other economic operator who has supplied E with the safety component for lifts; and

(b) any other economic operator to whom E has supplied the safety component for lifts.

(2) The relevant period is—

(a) for the information in paragraph (1)(a), a period of 10 years beginning on the day on which E was supplied with the safety component for lifts;

(b) for the information in paragraph (1)(b), a period of10 years beginning on the day on which E supplied the safety component for lifts.

Section 45 Prohibition on improper use of UK marking

(1) An economic operator must not affix the UK marking to a lift or a safety component for lifts unless—

(a) that economic operator is the installer or the manufacturer; and

(b) the conformity of the lift or the safety component for lifts with the essential health and safety requirements has been demonstrated by a relevant conformity assessment procedure.

(2) An economic operator must not affix a marking to a lift or a safety component for lifts (other than the UK marking) which purports to attest that the lift or the safety component for lifts is in conformity with the essential health and safety requirements.

(3) An economic operator must not affix to a lift or a safety component for lifts a marking, sign or inscription which is likely to mislead any other person as to the meaning or form of the UK marking.

(4) An economic operator must not affix to a lift or a safety component for lifts any other marking if the visibility, legibility and meaning of the UK marking would be impaired as a result.

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

(1) In this regulation—

(a) any reference to an Article or an Annex is a reference to an Article of or an Annex to the Directive;

(b) “ CE marking ” has the meaning given to it in Article 2(21);

(c) “ harmonised standard ” has the meaning given to it in Article 2(13).

(2) Paragraph (3) applies where, before placing a lift on the market, the installer—

(a) ensures that the lift has been designed, manufactured, installed and tested in accordance with the essential health and safety requirements set out in Annex I;

(b) ensures that the conformity assessment procedure that applies to that lift in accordance with Article 16 has been carried out;

(c) draws up the technical documentation referred to in Article 7(2);

(d) ensures that the technical documentation and other records and correspondence relating to the conformity assessment procedures are prepared in or translated into English;

(e) affixes a CE marking and other markings, in accordance with Articles 18 and 19(1) to (5);

(f) draws up an EU declaration of conformity, in accordance with Article 17; and

(g) ensures that the EU declaration of conformity is prepared in or translated into English.

(3) Where this paragraph applies—

(a) the requirements of regulations 6, 7, 8(1) and 8(3) are to be treated as being satisfied;

(b) regulations 2(2)(a), 8(2), 9, 24(2), 24(3) and 45 apply subject to the modifications in paragraph (10);

(c) Part 3 does not apply; and

(d) regulation 68 does not apply.

(4) Paragraph (5) applies where, before placing a safety component for lifts on the market, the manufacturer—

(a) ensures that the safety component has been designed and manufactured in accordance with Article 5(2);

(b) ensures that the conformity assessment procedure that applies to that safety component in accordance with Article 15 has been carried out;

(c) ensures that the relevant technical documentation referred to in Article 8(2) is drawn up;

(d) ensures that the technical documentation and other records and correspondence relating to the conformity assessment procedures are prepared in or translated into English;

(e) affixes a CE marking and other markings, in accordance with Articles 18 and 19(1) to (5);

(f) draws up an EU declaration of conformity, in accordance with Article 17; and

(g) ensures that the EU declaration of conformity is prepared in or translated into English.

(5) Where this paragraph applies—

(a) the requirements of regulations 15, 16, 17(1) and (17)(3) are to be treated as being satisfied;

(b) regulations 2(2)(a), 17(2), 18, 20(2), 24(2), 24(3) and 45 apply subject to the modifications in paragraph (10);

(c) Part 3 does not apply; and

(d) regulation 68 does not apply.

(6) Paragraph (7) applies where, before placing a safety component for lifts on the market, the importer ensures that—

(a) the conformity assessment procedure that applies to that lift in accordance with Article 15 has been carried out;

(b) the manufacturer has drawn up the relevant technical documentation referred to in Article 8(2); and

(c) the safety component for lifts—

(i) bears the CE marking; and

(ii) is accompanied by the EU declaration of conformity drawn up in accordance with Article 17.

(7) Where this paragraph applies—

(a) the requirements of regulation 26(1)(a) to (c)(i) are to be treated as being satisfied;

(b) any requirement of regulation 26(1)(c)(ii), insofar as it relates to the declaration of conformity, is to be treated as being satisfied; and

(c) regulations 2(2)(a), 27(1), 30 and 33 apply subject to the modifications in paragraph (10).

(8) Paragraph (9) applies where, before making a safety component for lifts available on the market, a distributor ensures that the safety component for lifts—

(a) bears the CE marking; and

(b) is accompanied by an EU declaration of conformity drawn up in accordance with Article 17.

(9) Where this paragraph applies—

(a) the requirements of regulations 37(1)(a)(i) are to be treated as being satisfied;

(b) any requirement of regulation 37(1)(a)(ii), insofar as it relates to the declaration of conformity, is to be treated as being satisfied; and

(c) regulations 2(2)(a), 38(1) and 39 apply subject to the modifications in paragraph (10).

(10) The modifications referred to in paragraphs (3)(b), (5)(b), (7)(c) and 9(c) are that—

(a) any reference to “declaration of conformity” is to be read as a reference to the EU declaration of conformity;

(b) any reference to “UK marking” is to be read as a reference to the CE marking;

(c) any reference to “essential health and safety requirements” is to be read as a reference to the essential health and safety requirements referred to in Annex I;

(d) any reference to “designated standard” is to be read as a reference to a harmonised standard;

(e) any reference to “relevant conformity assessment procedure” is to be read as a reference to the conformity assessment procedure that applies to the lift or the safety component for the lift in accordance with Article 15 or Article 16, as the case may be;

(f) any reference to “ technical documentation ” is a reference to the relevant technical documentation set out in Annexes IV to XII.

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

(1) In this regulation, any reference to an Article or an Annex is a reference to an Article of or an Annex to the Directive.

(2) Paragraph (3) applies where, prior to the manufacture of a safety component, the manufacturer ensures that the conformity assessment procedure set out in Annex IV, Part A and referred to in Article 15(a) and (b) as EU-type examination, has been carried out in relation to a model of the safety component in accordance with Article 15(a) or (b).

(3) Where this paragraph applies—

(a) the requirement in regulation 48(a) or (b) to submit the model of the safety component for the conformity assessment procedure referred to in that regulation as Type examination is to be treated as being satisfied;

(b) any reference to “relevant conformity assessment procedure” in regulations 16(a), 17(1), 26(1)(a), 45(1)(b) and 49(b) is to be read as including the conformity assessment procedure referred to in Article 15(a) or (b) as EU-type examination; and;

(c) any reference to “technical documentation” in regulations 16(b), 18, 26(1)(b) and 33(b) is to be read as including the technical documentation relating to the design of the safety component referred to in Annex IV, Part A.

(4) Paragraph (5) applies where, a lift is designed and manufactured in accordance with a model lift that has undergone the conformity assessment procedure set out in Annex IV, Part B, referred to in Article 16(1)(a) as EU-type examination.

(5) Where this paragraph applies—

(a) the condition in regulation 47(1)(a) that the lift is designed and manufactured in accordance with a model lift which has undergone a Type examination set out in Part B of Schedule 11, is to be treated as being satisfied;

(b) any reference to “relevant conformity assessment procedure” in regulations 7(a), 8(1), 45(1)(b) and 49(b) is to be read as including the conformity assessment procedure set out in Annex IV, Part B and referred to in Article 16(1)(a) as EU-type examination; and

(c) any reference to “technical documentation” in regulations 7(b) and 9 is to be read as including the technical documentation relating to the design of the lift referred to in Annex IV, Part B.

Section 45C Further use of the UK marking

(1) In this regulation—

(a) any reference to an Article or an Annex is a reference to an Article of or an Annex to the Directive;

(b) “ harmonised standard ” has the meaning given to it in Article 2(13).

(2) Paragraph (3) applies where, before placing a lift on the market, the installer—

(a) ensures that the lift has been designed, manufactured, installed and tested in accordance with the essential health and safety requirements set out in Annex I;

(b) ensures that the conformity assessment procedure that applies to that lift in accordance with Article 16 has been carried out;

(c) draws up the technical documentation referred to in Article 7(2); and

(d) ensures that the technical documentation and other records and correspondence relating to the conformity assessment procedure are prepared in or translated into English.

(3) Where this paragraph applies—

(a) the requirements of regulations 6 and 7 are to be treated as being satisfied;

(b) except for regulations 49 and 50(1) to (2), Part 3 does not apply;

(c) regulations 2(2)(a), 8(1), 9, 24, 25, 26(1)(a) and (b), 45 and 68 apply subject to the modifications in paragraph (6);

(d) regulation 49 and paragraph 1 of Schedule 5 apply subject to the modifications in paragraphs (6) and (7);

(e) regulation 8(3) applies subject to the modification in paragraph (7).

(4) Paragraph (5) applies where, before placing a safety component for lifts on the market, the manufacturer—

(a) ensures that the safety component has been designed and manufactured in accordance with Article 5(2);

(b) ensures that the conformity assessment procedure that applies to that safety component in accordance with Article 15 has been carried out;

(c) ensures that the relevant technical documentation referred to in Article 8(2) is drawn up;

(d) ensures that the technical documentation and other records and correspondence relating to the conformity assessment procedures are prepared in or translated into English.

(5) Where this paragraph applies—

(a) the requirements of regulations 15 and 16 are treated as being satisfied;

(b) except for regulations 49 and 50(1) to (2), Part 3 does not apply;

(c) regulations 2(2)(a), 17(1), 18, 20(2)(b), 25, 26(1)(a) and (b), 27(1), 30, 33(b), 38, 39, 45 and 68 apply subject to the modifications in paragraph (6);

(d) regulation 49 and paragraph 2 of Schedule 5 apply subject to the modifications in paragraphs (6) and (7);

(e) regulation 17 applies subject to the modification in paragraph (7).

(6) The modifications referred to in paragraphs (3)(c) and (d) and (5)(c) and (d) are that—

(a) any reference to “essential health and safety requirements” is to be read as a reference to the essential health and safety requirements referred to in Annex I;

(b) any reference to “designated standard” is to be read as a reference to a harmonised standard;

(c) any reference to “relevant conformity assessment procedure” is to be read as a reference to the conformity assessment procedure that applies to the lift or the safety component for the lift in accordance with Article 15 or Article 16, as the case may be;

(d) any reference to “technical documentation” is to be read as a reference to the relevant technical documentation set out in Annexes IV to XII.

(7) The modifications referred to in paragraphs (3)(d) and (e) and (5)(d) and (e) are that—

(a) in regulation 17 and Schedule 5 any reference to “enactment” is to be read as including the Directive;

(b) in regulation 49 any reference to Schedules 12 to 19 is to be read as a reference to Annexes IV to XII;

(c) in Schedule 5 any reference to “approved body” is to be read as a reference to the conformity assessment body that undertook the relevant conformity assessment procedure in accordance with Article 15 or 16, as the case may be.

Section 45D Qualifying Northern Ireland Goods

(1) Where paragraph (2) applies a safety component for lifts is to be treated as being in conformity with Part 2.

(2) This paragraph applies where—

(a) a safety component for lifts—

(i) is in conformity with Part 2, as that Part applies in Northern Ireland; and

(ii) is qualifying Northern Ireland goods; and

(b) an importer has complied with the obligations set out in paragraph (3).

(3) The obligations referred to in paragraph (2)(b) are that, before placing the safety component for lifts on the market, the importer—

(a) complies with regulation 28;

(b) ensures that—

(i) the relevant conformity assessment procedure has been carried out in accordance with Part 3, as that Part applies in Northern Ireland;

(ii) the manufacturer has drawn up the technical documentation; and

(iii) the safety component bears the CE marking.

(4) In this regulation—

“ CE marking ” has the meaning given to it in regulation 2(1), as it applies in Northern Ireland;

“ qualifying Northern Ireland goods ” has the meaning given to it in regulations made under section 8C(6) of the European Union (Withdrawal) Act 2018;

“ technical documentation ” means the documentation a manufacturer must draw up in accordance with regulation 16(b), as it applies in Northern Ireland.