For HSE/LA Use Only: Lifts Guidelines
For HSE/LA Use Only: Lifts Guidelines
For HSE/LA Use Only: Lifts Guidelines
Lifts Guidelines
on the supplementary tests of in-service lifts
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WAIVER
Copyright is waived by SAFed in respect of Annex A - Certificate and
Reports. The purpose of this waiver is to enable the competent person
to call for additional site specific tests and to enable those responsible
for carrying out the tests as appropriate to adapt the reports accordingly.
All rights reserved. Except for normal review purposes, no part of this publication may
be reproduced, utilised, stored in a retrieval system or transmitted in any form by any
means electronic or mechanical, including photocopying, recording or by any
information, storage or retrieval system without the written permission of the publisher.
I
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II
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III
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FOREWORD
These revised Guidelines have been prepared by the Safety Assessment
Federation in consultation with the Health and Safety Executive, and
other interested parties within the lift industry. This publication should
not be regarded as an authoritative interpretation of the law; however,
if the guidance provided is followed, it will normally be regarded as
sufficient to comply with health and safety law in respect of
supplementary testing in support of thorough examinations.
The Health and Safety Executive believes that the contents of this
publication represent good practice in the lift industry and commends
its use.
Issue 02 February 2006
IV
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FOREWORD IV
V
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Page
2.4.2 Report of thorough examination 2.4
2.4.3 Safety at work 2.4
2.4.3.1 Employers’ duties HSWA s2 2.4
2.4.3.2 Employers’ duties HSWA s3 2.5
2.4.3.3 Self Employed persons’ duties HSWA s3 2.5
For HSE/LA Use Only
2.4.3.4 Duties of persons concerned with premises
HSWA s4 2.5
2.4.3.5 Employees’ duties HSWA s7 2.5
2.4.4 Persons working in another employer’s undertaking 2.5
VI
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Page
4.9 Suspension system 4.9
4.10 Car overload detection warning devices 4.9
4.11 Hydraulic system 4.9
4.11.1 Hydraulic cylinders in boreholes or similar locations 4.10
For HSE/LA Use Only
4.11.2 Hydraulic rupture/restrictor valves 4.10
4.12 Anti-creep devices 4.11
4.12.1 Electrical anti-creep device 4.11
4.12.2 Mechanical anti-creep device (Pawl or clamping device) 4.11
4.13 Low pressure detection devices (Switch or valve) 4.11
4.14 Traction, brake and levelling 4.11
4.15 Car/Counterweight balance 4.12
Page
Annex A.11 Devices to prevent overspeed of the ascending lift car 5.19
Annex A.12 Energy dissipation buffers 5.20
Annex A.13 Suspension system 5.21
VIII
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Page
B.5.1.2 Wear and age 6.7
B.5.1.2.1 Diametric reduction 6.7
B.5.1.2.2 Rope life 6.7
B.5.1.2.3 Unusual features 6.8
IX
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1
Introduction
For HSE/LA Use Only
Section 1
Introduction
Issue 02 February 2006
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INTRODUCTION
These revised Guidelines for the supplementary tests of in-service lifts, which
have been formulated by a Review Committee comprising owners, users, lift
manufacturers, lift maintenance companies, inspection bodies, lift consultants,
enforcement authorities and other professional bodies, chaired by the Health
and Safety Executive, supersede the existing document ‘Lifts Guidelines (LG 1):
For HSE/LA Use Only
Guidelines on the thorough examination and testing of lifts, Volumes 1 and 2’,
published by SAFed in December 1998, which is now withdrawn.
1.1 Terms
For the purpose of these Guidelines the following terms apply.
1 ACOP paragraph 294 - HSE L113: Safe Use of Lifting Equipment - Lifting Operations and
Issue 02 February 2006
Interpretation:
‘thorough examination’ in relation to a thorough examination under
paragraph (1), (2) or (3) of regulation 9 -
4 Regulation 2 (1) HSE L113: Safe Use of Lifting Equipment - Lifting Operations and Lifting
Issue 02 February 2006
2
Commentary
Legal
For HSE/LA Use Only
Section 2
Legal Commentary
Issue 02 February 2006
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LEGAL COMMENTARY
2.1 Introduction
The law places duties on persons concerned with lifts, both those who
provide or make available lifts for use and those involved with work on
lifts. This Chapter outlines those legal duties and points the reader towards
further relevant guidance material.
For HSE/LA Use Only
2.2 The law outlined
Legislation relating to the use of lifts at work includes the:
• Health & Safety at Work etc Act 1974
• Management of Health & Safety at Work Regulations 1999/3242
• Workplace (Health, Safety & Welfare) Regulations 1992/3004
• Provision & Use of Work Equipment Regulations 1998/2306
• Lifting Operations & Lifting Equipment Regulations 1998/2307
2.2.1 Health & Safety at Work etc Act 1974 (HSWA)
HSWA places a duty on employers to ensure the health and safety of
employees and others who may be affected by their work activities.
Similar duties are placed on the self-employed and persons in control
of premises. Employees, managers and directors also have
responsibilities. The HSWA also places a duty on lift owners and other
duty holders, where their work activity involves lifts being used by the
general public.
practicable, that their work places are safe and without risks to health.
The WPR cover matters such as ventilation, temperature, lighting,
electromagnetic radiation and cleanliness of the workplace as well as
certain basic welfare provisions.
PUWER places duties on any person who has control to any extent of:
For HSE/LA Use Only
• work equipment;
• a person at work who uses, supervises or manages the use of work
equipment; or
• the way in which work equipment is used at work.
‘LOLER only applies to work activities. It does not apply, for example,
to persons who provide lifting equipment principally for use by
members of the public such as lifts provided for use by the public in a
shopping centre’.7
7 Guidance paragraph 40 - HSE L113: Safe Use of Lifting Equipment - Lifting Operations and
Lifting Equipment Regulations 1998 - ACOP and Guidance
Note: Some of the issues are outlined in the HSE guidance booklet
‘Working Alone in Safety - Controlling the risks of solitary work’
3
Considerations
Practical
Practical Considerations
Issue 02 February 2006
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PRACTICAL CONSIDERATIONS
3.1 Scope
The purpose of these Guidelines is to inform competent persons
undertaking thorough examinations of examples of supplementary tests
which they could call for as part of their thorough examinations.
of the document and to the frequency with which they are performed
and where such variations are identified these should be communicated
to the lift owner. The process of assessment leading to the engineering
judgement should be justified and recorded, a notebook is deemed as
being sufficient.
4
Tests
Supplementary
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SUPPLEMENTARY TESTS
The following outlines a series of recommended supplementary tests of key
components and areas to be determined by the competent person through
a process of assessment.
The results of any supplementary tests and subsequent maintenance and repair
For HSE/LA Use Only
if required should be recorded on the Examination and Test Report(s). These
are contained within Annex A and are to be annotated in the covering
Certificate (Page 5.1).
The Examination and Test Certificate and Report(s) contained at Annex A are
available in electronic format on the SAFed website www.safed.co.uk . They
are guidance on a recommended format for reporting the results of
supplementary tests and are intended for use by companies and persons
competent to carry out the designated supplementary tests and who are bona
fide holders of this document. Such companies or persons may adjust or
otherwise alter these reports for their own use and to allow for company
identity and any special particulars relating to the lift, the test, the site and the
company carrying out the test. However in all cases the reports must contain
the data required to identify the actual lift, the site, the date and details of the
test(s) carried out and the company or person carrying out the supplementary
test(s). Responsibility for and ownership of the Certificate of Examination and
Test(s) and of completed Report(s) lies wholly with the company or person
issuing the Certificate and Report(s) and not with the Safety Assessment
Federation or its agents.
The earthing of the most remote landing lock contact should allow
Issue 02 February 2006
Where the functional test of a safety device cannot be carried out by the
competent person then that person should call for a functional test to
be made of the specific device(s).
See Annex B.1 for a non exhaustive list of electric safety devices.
The normal slowing signals for the lift should be made inoperative and
the car driven at rated speed towards the terminal floor. It should be
determined that the lift slows down automatically to a speed not greater
than the buffer design impact speed.
Where the condition of any landing door lock cannot be verified by the
competent person, that person should call for a supplementary test of the
device. Any such supplementary test should ensure that the lock prevents
the door from opening when the lift is outside of the unlocking zone. It
should also be ensured that the lift will stop if the lock circuit is opened
outside of the unlocking zone. All parts of the lock should be clean, not
excessively worn, without signs of burning and undamaged in any way.
In determining the need for and degree of any supplementary test which
may be required, the competent person should make an assessment that
takes into account some or all of the following:
Shafts and bearings should not run hot or show signs of vibration
or noise.
Issue 02 February 2006
Load nut wear and chain extension should be within acceptable limits.
See Annex A.5 for report format of an investigatory test (type A).
See Annex A.6 for report format of a comprehensive test (type B).
safety gear without the assistance of the brake or some other device.
The object of the test is to ensure the correct operation of the safety
gear system and to ensure fittings within the car remain secure, ropes
The test should be made by some suitable means to cause the safety
gear to operate.
New means of suspension and materials are being introduced into lift
For HSE/LA Use Only
designs. Where unconventional methods of suspension are used the
manufacturer’s guidelines should be followed to determine the method
and frequency of supplementary testing.
Devices that measure load to provide information to the lift drive and
other systems are not overload warning detection devices.
The test should consist of applying 200% full load static pressure for a
period of 15 minutes to the hydraulic system between and including the
non-return valve and the jack. The piston should be fully extended and
brought up to test pressure and allowed to rest for 10 minutes. The
pressure should then be observed for a further 5 minutes. For such a test
to be considered successful there should be no loss of pressure greater
than 10% during the final 5 minute period.
For HSE/LA Use Only
Note: In exceptional circumstances following assessment, the competent
person may set a lower pressure provided it adequately assesses the
integrity of the system.
In the event that the cylinder fails the pressure test and the cause of
the failure cannot be determined, the cylinder should be examined to
ascertain the cause of the problem. This may involve the removal of
the cylinder from its bore hole.
Where the gripping components of a brake are not visible for examination
and following assessment concern exists regarding performance and there is
5
bona fide holders of this document. Such companies or persons may adjust
Annex A
or otherwise alter these reports for their own use and to allow for company
identity and any special particulars relating to the lift, the test, the site and
the company carrying out the test. However in all cases the reports must
contain the data required to identify the actual lift, the site, the date and
details of the test(s) carried out and the company or person carrying out the
supplementary test(s). Responsibility for and ownership of the Certificate of
Examination and Test(s) and of completed Report(s) lies wholly with the
company or person issuing the Certificate and Report(s) and not with the
Safety Assessment Federation or its agents.
Periodicities detailed within this document are for guidance only and
all supplementary tests are to be carried out at the request and discretion
of the competent person. The report formats address the most common
Issue 02 February 2006
In cases where tests other than those specified in this document are required, the competent
person should detail exactly what is required and how the test(s) should be conducted.
Address
Location of lift(s)
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Lift I.D. / Ref Date
The report formats address the most common lift arrangements. Where non-standard
arrangements have been adopted, all examination(s) and test(s) appropriate to the
Issue 02 February 2006
equipment installed and any other test(s) instructed and detailed by the competent
person should be carried out and documented.
Circle as applicable
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Issue 02 February 2006
Signed Position
Print Name
Lift I.D. / Ref Date
Circle as applicable
impact speed?
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Gearbox Type/Model:
Manufacturer:
Circle as applicable
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Issue 02 February 2006
Gearbox Type/Model:
Manufacturer:
Circle as applicable
• Does the machine run free from excessive or unexpected noise, Yes No
vibration or heat?
• Are gear wheel teeth markings even and approximately central of Yes No
the teeth?
• Are gear teeth free of steps, pitting or ridges? Yes No
• Is gear oil clean and free of any metal particles? Yes No
• Are all rim bolts and shaft keys present and secure? Yes No
• Are all bearings and shafts running with no signs of excessive or Yes No
unexpected heat, noise or vibration?
• Is the gearbox in satisfactory condition? Yes No
mm Satisfactory?
Circle as applicable
Yes No
• Backlash: Measured mm Satisfactory? Yes No
State your comments and observations on Continuation Sheet - 2
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Governor type:
Serial number:
Circle as applicable
Complete as appropriate
Tripping speed
Marked Measured
Car up Car down
Electrical 1: m/s m/s
Electrical 2: m/s m/s
Mechanical: m/s m/s
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
For HSE/LA Use Only
If Yes, state your recommendation(s) for further action required:
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Counterweight
Indicate Car or Counterweight
Circle as applicable
• Are all linkages and moving parts free of any defects, deterioration Yes No
or wear that may prevent their free and effective operation?
• Are the surfaces of any friction elements free of any abnormal or Yes No
excessive wear that may prevent free and effective operation of
the safety gear system?
• Does the safety gear mechanism move freely and engage the guide Yes No
rails satisfactorily?
Circle as applicable
• Did the safety gear operate and stop the car as required? Yes No
Issue 02 February 2006
Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
• Are all linkages and moving parts free of any defects, deterioration Yes No
or wear that may prevent their free and effective operation?
• Are the surfaces of any friction elements free of any abnormal or Yes No
excessive wear that may prevent free and effective operation of
the safety gear system?
• Does the safety gear mechanism move freely and engage the guide Yes No
rails satisfactorily?
Circle as applicable
• Did the safety gear operate and stop the car as required? Yes No
Complete as appropriate
• What was the slide distance of the safety gear? mm
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Counterweight
Indicate Car or Counterweight
Circle as applicable
• Are all linkages and moving parts free of any defects, deterioration Yes No
or wear that may prevent their free and effective operation?
• Are the surfaces of any friction elements free of any abnormal or Yes No
excessive wear that may prevent free and effective operation of
the safety gear system?
• Does the safety gear mechanism move freely and engage the guide Yes No
rails satisfactorily?
Complete as appropriate
• State the stopping distance (Progressive types only) mm
• Does the safety gear stop the car or counterweight in the Yes N/A* No
downward direction during dynamic testing?
• Was the floor of the lift car sloping less than 5° to the Yes N/A* No
horizontal after the safety gear has activated and before it
is released?
• After the test, confirm that no deterioration has occurred Yes N/A* No
that could adversely affect the safety of the lift and
correct operation of the safety gear system.
* Some safety gear systems (slack rope type) may not be possible to operate. In such
circumstances indicate above that a dynamic test has not been made and describe
below in detail what has been inspected, the condition of the device, the probability of
successful operation and why it could not be operated.
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
• Are all linkages and moving parts free of any defects, deterioration Yes No
or wear that may prevent their free and effective operation?
• Are the surfaces of any friction elements free of any abnormal or Yes No
excessive wear that may prevent free and effective operation of
the braking device?
• Does the device mechanism move freely and engage the ropes or Yes No
pulley etc. satisfactorily?
• Does the device operate satisfactorily during dynamic testing? Yes No
• After the test, confirm that no deterioration has occurred that Yes No
could adversely affect the safety of the lift and correct operation
of the system.
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Issue 02 February 2006
Signed Position
Print Name
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
• State your observations from visual inspection of suspension means and anchorages
Circle as applicable
• Are all suspension ropes/chains/belts free from signs of wear or Yes No
damage that may prevent their continued use until the next
Thorough Examination?
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Issue 02 February 2006
Signed Position
Print Name
Circle as applicable
• Does the over load device and its car indicator operate correctly Yes No
to prevent use of the lift?
• Is the load at which it is set or calibrated satisfactory to Yes No
prevent overloading?
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Issue 02 February 2006
Print Name
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Issue 02 February 2006
Signed Position
Print Name
Circle as applicable
• Does the rupture/restrictor valve operate correctly? Yes No
Note: A restrictor valve should lower the car at a speed not exceeding 0.3m/s
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
• Does the anti-creep device operate satisfactorily within the Yes No
unlocking zone at each floor?
• Does the anti-creep device operate both when the car and landing Yes No
doors are open and when they are closed at each floor?
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
• Are all linkages and moving parts free of any defects, deterioration Yes No
or wear that may prevent their free and effective operation?
• Are the surfaces of any friction elements free of any abnormal or Yes No
excessive wear that may prevent free and effective operation of
the braking device?
• Are the contact surfaces of any engaging components correctly Yes No
aligned, in good condition and free of any abnormal or excessive
wear that may prevent free and effective engagement?
• Does the device mechanism move freely and engage satisfactorily Yes No
with full load in the lift car?
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Issue 02 February 2006
Signed Position
Print Name
Circle as applicable
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
• Does the result of the supplementary test(s) indicate further Yes No
remedial work is necessary?
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Print Name
Circle as applicable
Circle as applicable
To be completed by the person or corporate body carrying out the supplementary test.
Signed Position
Issue 02 February 2006
Print Name
6
Annex B
Issue 02 February 2006
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It is not always evident that this feature is provided but if the overspeed
governor contract speed is greater than the maximum impact speed of
the buffer or the impact length of the buffer stroke is less than Table 1,
such a feature should have been provided and its operation should
therefore be checked.
B.4 Developments in British Standards of the requirements for safety gear tests
Table 2 - DEVELOPMENTS IN BRITISH STANDARDS OF THE REQUIREMENTS FOR SAFETY GEAR TESTS
Standard Summary of design Summary of test Comment
BS 2655-1 Safety gear to stop and hold car with 100% • Test at site with full load at governor • Instantaneous type safety gears used up to
load at governor tripping speed or at failure tripping speed 160 fpm
1958 of suspension
For HSE/LA Use Only
• All electrical switches except governor
switch operating
• Governor trip speed not to exceed 200 fpm
• Governor trip speeds and safety gear slide
• Check guide slide marks distance defined in graphs
BS 2655-1 Safety gear to stop and hold car with 100% • Testing not defined in BS2655 part 1 but in • Instantaneous type safety gears up
load at governor tripping speed or at failure BS2655 part 7 Testing to 150 fpm
1970 of suspension
• Test at site with full load at contract speed • Governor trip speed not to exceed 200 fpm
BS 5655-1 Safety gear to stop and hold car with 100% • Instantaneous type or instantaneous with • Instantaneous type safety gears up
load at governor tripping speed or at failure buffered effect test with full load at to 0.63m/s
1979 of suspension rated speed
• Instantaneous with buffered effect up to 1m/s
• Progressive types, test with 125% load at
• Governor trip speed not to exceed 200 fpm
levelling speed
BS 5655-1 Safety gear to stop and hold car with 100% • Instantaneous type or instantaneous with • Instantaneous type safety gears up
load at governor tripping speed or at failure buffered effect test with full load at to 0.63m/s
1986 of suspension rated speed
• Instantaneous with buffered effect up
• BS5655 part 10 1986 addressed testing and to 1m/s
required the following:
1 Instantaneous full load at rated speed
2 Progressive with type test, 125% load at
levelling speed.
3 Progressive without type test, full load at
governor tripping speed
BS EN 81 Safety gear to stop and hold car with 100% • Instantaneous type or instantaneous with
load at governor tripping speed or at failure buffered effect test with full load at
1998 of suspension rated speed
• Progressive types test with 125% load at rated
speed or at levelling speed
• British Standard PAS 32 addresses testing and
requires the following:
1 Instantaneous full load at rated speed
2 Progressive with type test, 125% load at
levelling speed
• inequality in diameter
• external evidence of internal conditions e.g. corrosion.
In the case of ropes operating in sheaves other than cast iron or steel,
the competent person should be aware of the possibility of more
advanced internal deterioration occurring than that which might be
visually obvious from the outside.
Issue 02 February 2006
B.5.2 Lubrication
Lubricants, applied during rope manufacture to provide corrosion
protection, are usually adequate for initial in-use service.
B.6.2 Replacement
When replacement of one chain is necessary, all chains on that lift
must be renewed. The maximum allowable face wear in respect of
plate link chain is 5%. Replacement of mating sprockets and/or pulleys
should also be considered when replacing the chains. Only chains,
anchorages and anchorage pins as specified by the original lift
manufacturer, or those manufactured to an equivalent specification,
should be fitted. If any of the other defects identified above are found,
the severity of the defect and the normal conditions in which use is
envisaged, will be used by the competent person to determine whether
renewal of the chain is required.
B.6.3 Lubrication
At intervals recommended by the lift manufacturer/installer and with
the chain in-situ in a slack condition, chains, anchors and pins should
be lubricated. It should be confirmed that only lubricants approved by
the lift manufacturer/installer are being used. In a hostile environment,
special lubricants may be required; these should be agreed with the lift
manufacturer/installer and the chain manufacturer.
pre 1970
The three most common types of NDT used for in-service inspections
of hoists are:
• ultrasonic examination
• dye penetrant
• magnetic particle examination.
7
Annex C
Issue 02 February 2006
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8
Bibliography
A14203 Lift Guidelines Inside_pages 5/4/06 1:52 pm Page 77
BIBLIOGRAPHY
(1) L21, Management of Health and Safety at Work Regulations 1999 -
Approved Code of Practice.
(2) L22, Provision and Use of Work Equipment Regulations 1998 -
Approved Code of Practice.