Safety, Health & Environment Section
FM SHE 046
A Guide to the Safe Use of Lifting
Equipment Lifting Operations and
Lifting Equipment Regulations
(LOLER) 1998
April 2011
Version 3.0
Document review due: April 2013
Please Note: This is a controlled document, please ensure you are using the most
recent version.
Page 1 of 9
Contents
Page
1. Introduction
3
2. Definition of Lifting Equipment
3
3. Risk Assessment
3
4. Key Requirements of LOLER
4
4.1 Suitability of Lifting Equipment
4
4.2 Strength and Stability
4
4.3 Lifting Equipment Used for Lifting Persons
4
4.4 Positioning and Installation
5
4.5 Marking of Lifting Equipment
5
4.6 Organisation of Lifting Operations
5
4.7 Thorough Examination and Inspection
6
4.7.1 Prior to first use
6
4.7.2 Periodic examinations once equipment is in service
6
4.7.3 After adverse incidents
7
4.7.4 Inspection of Lifting Equipment by the UCLan Consultant Engineer 7
4.7.5 Transferring Equipment to or Receiving from another Employer
7
4.8 Reports and Defects
8
4.9 Keeping of Information
8
5. References / Useful Links
9
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A Guide to the Safe Use of Lifting Equipment Lifting Operations and
Lifting Equipment Regulations (LOLER) 1998
1. Introduction
The Lifting Operations and Lifting Equipment Regulations 1998 (LOLER) and its
associated Approved Code of Practice (ACoP) replace existing legal requirements
relating to the use of lifting equipment. The Regulations aim to reduce risks to
people's health and safety from lifting equipment provided for use at work. The
Provision and Use of Work Equipment Regulations (PUWER) 1998 apply to all work
equipment including lifting equipment but LOLER applies over and above the general
requirements of PUWER in respect of all lifting equipment.
Failure to comply with the requirements of LOLER is a criminal offence and liable to
lead to enforcement action or prosecution by the Health and Safety Executive (HSE).
2. Definition of Lifting Equipment
LOLER defines lifting equipment as "work equipment used at work for lifting and
lowering loads and includes attachments used for anchoring, fixing or supporting the
load." Such a definition covers a wide range of equipment including; cranes, vacuum
lifting cranes, hoists, scissors lifts, fork lift trucks, passenger lifts, mobile elevating
work platforms, vehicle inspection platform hoists, vehicle tail lifts, garage jacks, bath
hoists, dumb waiters, pallet trucks, agricultural lifting equipment such as front-end
loaders, etc.
Attachments include chains, ropes, slings, pulleys, eyebolts, shackles, anchor points,
karabiners, harnesses and strops; examples of situations include rope and pulley
systems on building sites and ropes used for climbing or work positioning in
arboriculture.
Equipment that does not have as its principal function a use for lifting or lowering is
generally excluded from LOLER, e.g. three-point linkage on tractors and horizontal
conveyors or horizontal winching operations, however, the safety of such equipment
would be subject to PUWER.
LOLER applies whether the equipment is owned, borrowed or hired, old or
new.
3. Risk Assessment
The Management of Health & Safety at Work Regulations 1999 requires a competent
person to carry out a suitable and sufficient risk assessment, in order to identify the
nature and level of risks associated with a lifting operation. Factors requiring
consideration include:

the type of load being lifted, its weight, shape and what it consists of;

the risk of a load falling or striking a person or other object and the
subsequent consequences;

the risk of the lifting equipment failing or falling over while in use and
subsequent consequences.
Comprehensive guidance and the University’s standard risk assessment form can be
downloaded from the Safety, Health & Environment Section website at:
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http://www.uclan.ac.uk/information/services/fm/safety_and_health/risk_assessment_gu
idance.php
4. Key Requirements of LOLER
4.1 Suitability of Lifting Equipment
Regulation 4(1)-(2) of LOLER requires the University to ensure lifting equipment is
suitable for the purpose for which it is used or provided. By selecting the correct
lifting equipment for particular tasks and processes it is possible to eliminate or
reduce many risks to the health and safety of people in the workplace. Issues to be
considered when assessing suitability include:

ergonomic design and its compatibility with users;

material of manufacture and their suitability for conditions of use;

the equipments initially integrity

the place in which it will be used;

means of access/egress need to be safe and suitable.

need to minimise risks from slips, trips and falls from any part of the lifting
equipment (e.g. cover or fence any floor openings, suitable edge protection
where there is a risk of falling more than 2m, or less then 2m where there are
other relevant risk factors involved.

adequate protection for operators from adverse environmental conditions
(e.g. high winds).
4.2 Strength and Stability
Regulation 4 of LOLER requires that lifting equipment be sufficiently strong, stable
and suitable for the proposed use, with an appropriate factor of safety against failure
built in. Similarly the load and anything attached to it must be suitable and of
adequate strength.
Where appropriate, sufficient resistance to overturning must be provided to be put
into place and operating effectively before the equipment is used (e.g. outriggers,
stabilisers, use of ballast etc.).
Where mobile lifting equipment is fitted with pneumatic tyres, they must be inflated to
the correct pressure before lifting operations commence. The University must provide
adequate means to check this.
Where there is a significant risk of overloading and/or overturning arising from use of
the equipment it should be provided with devices such as rated capacity indicators
and limiters, which give warning when safe limits are being approached.
4.3 Lifting Equipment Used for Lifting Persons
Regulation 5 of LOLER requires the University to ensure that lifting equipment for
lifting persons does not present a risk of crushing or trapping, nor must people be at
risk of falling from the equipment or being struck by it. The equipment must have
suitable devices to prevent persons falling and that any person who is trapped is not
exposed to danger and a reliable means of rescue is available.
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The lifting or lowering of persons by equipment which is not specifically designed for
that purpose (e.g. fork lift truck, telescopic handler, etc.) should not be undertaken,
except in ‘exceptional circumstances’ where it is not practicable to gain access by a
less hazardous means.
4.4 Positioning and Installation
Regulation 6 of LOLER requires that lifting equipment must be positioned or installed
to as low as reasonably practicable prevent the risk of the equipment or the load
striking people, or the risk of the load drifting, falling freely or being released
unintentionally.
It is therefore essential that lifts over people are minimised and unauthorised access
to the work area prevented. Equipment should also be installed and positioned to
prevent crushing when the equipment is in its extreme position. Wherever possible,
hooks and other similar devices used for lifting should have either safety catches
fitted or be shaped to prevent the accidental displacement of the sling.
Where two or more items of lifting equipment are used they, or their loads, should be
prevented from coming into contact with each other.
Employers must ensure
suitable devices (e.g. gates) are provided to prevent persons falling down a lift shaft
or hoist-way. Such gates should be fitted with efficient interlocking systems which
prevent lift movement until the gates are closed.
4.5 Marking of Lifting Equipment
Regulation 7 of LOLER requires lifting machinery and any associated accessories to
be marked with their safe working load (SWL). Where it is not practicable to mark
the equipment itself (e.g. ropes, slings, karabiners, strops, and harnesses for rope
access), a coding system should be used to provide the user with the SWL (e.g.
colour coding, label).
This also applies where the SWL is dependant upon varying configurations (e.g. fork
lift truck fitted with attachments). Any carrier of persons should also display the
maximum number of persons to be carried in addition to the SWL.
Where a significant hazard arises from the use of lifting equipment, appropriate
equipment or devices such as rated capacity indicators/limiters should be provided.
4.6 Organisation of Lifting Operations
Regulation 8 of LOLER requires the University to ensure that every lifting operation
(including lowering loads) is:
a) properly planned by a competent person i.e. person has adequate practical
and theoretical knowledge and experience of lifting operations. The plan
must address identified risks, resources required, procedures, responsibilities
etc);
b) appropriately supervised (proportionate to the risk - taking into account the
personnel involved);
c) carried out in a safe manner.
Plans should consider issues such as:

weight, shape, centre of gravity and lifting points of the load;
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
where the load is and where it is to be moved to (including route, visibility
etc);

how often the lifting equipment will be used;

how loads will be attached/detached, compatibility of lifting accessories, safe
working loads of equipment, overloading;

the environment in which the lifting is to take place;

likelihood of overturning, proximity hazards;

number of persons available, their knowledge, training and experience,
requirement for supervision;

pre-use checks;

storage of lifting equipment to prevent damage or deterioration;

if lifting persons, suitability of equipment, means of communication, failure of
equipment, reliable means of rescue etc.
4.7 Thorough Examination and Inspection
Regulation 9 of LOLER requires the University to ensure that lifting equipment is
thoroughly examined and inspected by a competent person, who should be someone
with appropriate practical and theoretical knowledge and experience of the particular
lifting equipment and have an element of independence and impartiality. The risks
arising from failure will determine how thorough the examination needs to be.
Thorough examination may be needed at several points in the life of lifting
equipment.
4.7.1 Prior to first use
Before a Faculty/Department/Service uses any lifting equipment for the first time, a
thorough examination must be carried out by a competent person unless there is
physical evidence available to show that it is safe to use. This would include if the
equipment:
(a) has not been used before and there is documentation drawn up within the 12
months prior to its first use, an initial test certificate in the form of an "EC Declaration
of Conformity" or
(b) has been obtained from another organisation (e.g. hired or borrowed) and is
accompanied by evidence that the necessary thorough examination has been carried
out, (e.g. a copy of the latest test certificate is available).
This evidence or the competent person's examination report must be kept until the
faculty/service/department ceases to use the lifting equipment, or in the case of
accessories, 2 years.
Additionally a thorough examination is required after substantial or significant
modification or repair. This covers installation in a new location or a reconfiguration.
4.7.2 Periodic examinations once equipment is in service
Lifting equipment must also be thoroughly examined at intervals specified within
LOLER or shorter intervals if the competent person considers this appropriate, or in
accordance with the intervals specified in the examination scheme for the equipment.
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i) Lifting equipment in use must be thoroughly examined at least every 12 months;
ii) Accessories (chains, slings, ropes, etc.) must be thoroughly examined at least
every 6 months;
iii) Equipment used for lifting people must be thoroughly examined at least every 6
months;
iv) For the above, the examination is in accordance with a written examination
scheme and is to identify any remedial action in good time before deterioration
affects safety.
4.7.3 After adverse incidents
Lifting equipment must also be inspected by a competent person after any incident or
circumstances which may have adversely affected the safety or integrity of the
equipment, e.g. involvement in an accident or dangerous occurrence or after long
periods out of use.
4.7.4 Inspection of Lifting Equipment by the University Consultant Engineer.
It is a requirement of LOLER that those faculties, departments and services within
the University who own and operate lifting equipment make it available for regular
inspection and implement any recommendations made by the University consultant
Engineer.
FM Development & Maintenance Section co-ordinates annual inspections and
distributes reports the Preston campus.. In order to do this comprehensively, FM
Maintenance must keep an up to date inspection schedule. You must inform FM
Maintenance if you have acquired or disposed of any lifting equipment.
If you are unsure whether an item of lifting equipment is registered or otherwise
contact the FM Helpdesk on ext: 2888, email: FMHelpdesk@uclan.ac.uk
Following inspection departments will receive an inspection report, it is the
responsibility of the department to:

return portable equipment to the location shown on the certificate for
inspection;

check the accuracy of all information on the report and advise FM
Maintenance of any changes;

keep reports with the equipment. Superseded reports must be retained for
three years.

equipment not available for inspection must not be used, FM Maintenance will
advise on the procedure for re-inspection.
equipment reported as defective must not be used, again FM Maintenance
will advise on procedure for re-inspection.

4.7.5 Transferring Equipment to or Receiving from another Employer
Lifting equipment leaving the University either temporarily or permanently must be
accompanied by a copy of its latest examination report. Conversely if you are
receiving lifting equipment from another organisation you must obtain a copy of its
latest examination report.
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4.8 Reports and Defects
Regulation 10 of LOLER requires the competent person making a:
thorough examination to:

notify any dangerous defects to the University forthwith;

report in writing to be made as soon as is practicable a) to the university and
b) to any person from whom the equipment has been hired or leased;

where the defect involves an existing or imminent risk of serious personal
injury, a copy of the report must be sent as soon as practicable to the Health
& Safety Executive (HSE);

the University must ensure that the lifting equipment is not used before the
defect is remedied, or after a time specified in a report and before the defect
is remedied.
inspection to:

notify the University immediately of any dangerous defects;

as soon as practicable, make a record of the inspection in writing.
NOTE: defective lifting equipment must not be used until such defects have been
rectified, unless the competent person indicates a timescale for the action to be
taken; the latter is for defects that do not immediately endanger people but might do
so in the near future. Such defective equipment must be either locked off to prevent
use, appropriate signage used and all users informed of prohibition, or removed from
the workplace to a secure location to prevent use, appropriately signed and users
informed.
4.9 Keeping of Information
Regulation 11 of LOLER requires the University to keep:

the EC declaration of conformity relating to lifting equipment (where received)
for so long as the equipment is operated;

reports of thorough examination of lifting equipment must be kept until use of
the equipment ceases;

reports of thorough examination of an accessory for lifting should be kept for
two years after the report has been made;

Other requirements relating to the keeping of records apply to where the
safety of lifting equipment depends on installation conditions and where there
is exposure to conditions causing deterioration.
All records may be kept in hard copy form, stored electronically or on computer disk,
as long as they are readily retrievable
SHE Section
April 2011
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5. References / Useful Links
HSC. (1998). Safe Use of Lifting Equipment. Lifting Operations and Lifting Equipment
Regulations 1998. Approved Code of Practice and Guidance. L113 1998.
http://www.hse.gov.uk/pubns/priced/loler.pdf
HSE. (1999). Simple Guide to the Lifting Operations and Lifting Equipment
Regulations 1998. Leaflet INDG290. http://www.hse.gov.uk/pubns/indg290.pdf
HSE. (2002). Thorough examination and testing of lifts (INDG339).
http://www.hse.gov.uk/pubns/indg339.pdf
HSE. (2008). Thorough examination of lifting equipment: A simple guide for
employers. http://www.hse.gov.uk/pubns/indg422.pdf
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