Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
Machine Details
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Please enter as much information as possible relating to the machine/plant being assessed. I.E. Serial number of machine, Type, Model, Manufacturer, Power Supply, Location, Building, etc.
Citation and Commencement
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Has the equipment been brought into use by yourself/Company prior to 5th December 1998
This regulation aims to ensure that when work equipment is first provided for use in the workplace after 5 December 1998, it meets certain health and safety requirements. It contains duties that complement those on manufacturers and suppliers in other legislation regarding the initial integrity of equipment.
196 There are legal requirements covering all those involved in the chain of supply of work which are designed to ensure that new work equipment is safe. For example, section 6 of the HSW Act places general duties on designers, manufacturers, importers and suppliers to ensure this so far as is reasonably practicable.
197 Existing legislation on the manufacture and supply of new work equipment is increasingly being supplemented by new and more detailed regulations implementing EC Directives made under Article 100A of the Treaty of Rome. These new regulations place duties on the manufacturer and supplier of new work equipment. -
Has equipment been brought into use by yourself/your company prior to 5th December 1998?
Suitability of Work Equipment
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(1) Every employer shall ensure that work equipment is so constructed or adapted as to be suitable for the purpose for which it is used or provided.
(2) In selecting work equipment, every employer shall have regard to the working conditions and to the risks to the health and safety of persons which exist in the premises or undertaking in which that work equipment is to be used and any additional risk posed by the use of that work equipment. -
Is the work equipment suitable for the tasks which it is undertaking? if no, please give details
Maintenance
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(1) Every employer shall ensure that work equipment is maintained in an efficient state, in efficient working order and in good repair.
(2) Every employer shall ensure that where any machinery has a maintenance log, the log is kept up to date.
The extent and complexity of maintenance can vary substantially from simple checks on basic equipment to integrated programmes for complex plant. In all circumstances, for maintenance to be effective it needs to be targeted at the parts of work equipment where failure or deterioration could lead to health and safety risks. Maintenance should address those parts which have failed or are likely to deteriorate and lead to health and safety risks. -
Has the work equipment been inspected after installation or subsequently inspected to identify any deterioration? Are any future inspections planned or logged? If no, please give more details
Inspection
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Every employer shall ensure that, where the safety of work equipment depends on the installation conditions, it is inspected –
(a) after installation and before being put into service for the first time; or
(b) after assembly at a new site or in a new location,
to ensure that it has been installed correctly and is safe to operate.
(2) Every employer shall ensure that work equipment exposed to conditions causing deterioration which is liable to result in dangerous situations is inspected –
(a) at suitable intervals; and
(b) each time that exceptional circumstances which are liable to jeopardise the safety of the work equipment have occurred,
to ensure that health and safety conditions are maintained and that any deterioration can be detected and remedied in good time.
Where work equipment is of a type where the safe operation is critically dependent on it being properly installed (or re-installed), and where failure to carry this out would lead to a significant risk to the operator, or other worker, you should arrange for a suitable inspection to be carried out before it is put into service.
The frequency of inspections should be based on how quickly the work equipment or parts of it are likely to deteriorate and therefore give rise to a significant risk. This should take into account the type of equipment, how it is used and the conditions to which it is exposed.
The inspection frequency may be different for the same type of equipment because the rate of deterioration can vary in different situations. Where equipment is subject to frequent use in a harsh outdoor environment (for example, at a coastal site or on a construction site), it is likely to need more frequent inspection than if it is used occasionally in an indoor environment such as a warehouse.
To ensure that appropriate inspection intervals and procedures are in place, they should be reviewed in the light of experience. Intervals between inspections can be lengthened if an inspection history has shown that deterioration is negligible or the interval between inspections should be shortened if substantial amounts of deterioration are detected at each inspection. -
Is the equipment suitably maintained and is any maintenance regularly logged? If no, please give more details
Conformity with Community Requirements
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(1) Every employer shall ensure that an item of work equipment conforms at all times with any essential requirements, other than requirements which, at the time of its being first supplied or put into service in any place in which these Regulations apply, did not apply to work equipment of its type.
(2) In this regulation 'essential requirements', in relation to an item of work equipment, means requirements relating to the design and construction of work equipment of its type in any of the instruments listed in Schedule 1 (being which give effect to Community directives concerning the safety of products).*
(3) This regulation applies to items of work equipment provided for use in the premises or undertaking of the employer for the first time after 31st December 1992.
This regulation aims to ensure that when work equipment is first provided for use in the workplace after 5 December 1998, it meets certain health and safety requirements. It contains duties that complement those on manufacturers and suppliers in other legislation regarding the initial integrity of equipment.
196 There are legal requirements covering all those involved in the chain of supply of work equipment which are designed to ensure that new work equipment is safe. For example, section 6 of the HSW Act places general duties on designers, manufacturers, importers and suppliers to ensure this so far as is reasonably practicable.
Regulation 10 places a duty on you as a user of work equipment. When first providing work equipment for use in the workplace you should ensure that it has been made to the requirements of the legislation implementing any product Directive that is relevant to the equipment. This means that in addition to specifying that work equipment should comply with current health and safety legislation, you should also specify that it should comply with the legislation implementing any relevant EC Directive. Where appropriate, you can check to see that the equipment bears a CE marking and is accompanied by the relevant certificates or declarations (ask for a copy of the EC Declaration of Conformity), as required by relevant product Directives. -
Does equipment comply with appropriate European Regulations? if no, please give more details
Assess to Dangerous Machinery
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(1) Every employer shall ensure that measures are taken in accordance with paragraph (2) which are effective –
(a) to prevent access to any dangerous part of machinery or to any rotating stock-bar; or
(b) to stop the movement of any dangerous part of machinery or rotating stock-bar before any part of a person enters a danger zone.
(2) The measures required by paragraph (1) shall consist of –
(a) the provision of fixed guards enclosing every dangerous part or rotating stock-bar where and to the extent that it is practicable to do so, but where or to the extent that it is not, then (b) the provision of other guards or protection devices where and to the extent that it is practicable to do so, but where or to the extent that it is not, then (c) the provision of jigs, holders, push-sticks or similar protection appliances used in conjunction with the machinery where and to the extent that it is practicable to do so,
and the provision of such information, instruction, training and supervision as is necessary.*
(3) All guards and protection devices provided under sub-paragraphs (a) or (b) of paragraph (2) shall –
(a) be suitable for the purpose for which they are provided;
(b) be of good construction, sound material and adequate strength;
(c) be maintained in an efficient state, in efficient working order and in good repair;
(d) not give rise to any increased risk to health or safety;
(e) not be easily bypassed or disabled;
(f) be situated at sufficient distance from the danger zone;
(g) not unduly restrict the view of the operating cycle of the machinery, where such a view is necessary;
(h) be so constructed or adapted that they allow operations necessary to fit or replace parts and for maintenance work, restricting access so that it is allowed only to the area where the work is to be carried out and, if possible, without having to dismantle the guard or protection device.
Regulation 11(1) requires employers to take effective measures to prevent access to dangerous parts of machinery or stop their movement before any part of a person enters a danger zone. This regulation also applies to contact with a rotating stock-bar which projects beyond the headstock of a lathe. 205 The term ‘dangerous part’ has been established in health and safety law through judicial decisions. In practice, this means that if a piece of work equipment could cause injury if it is being used in a foreseeable way, it can be considered a dangerous part. -
Is access to the dangerous parts of the machinery that could cause injury adequately prevented? This would include during setting and adjustment, cleaning and maintenance. If no, please give more details
Position of Guarding
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(1) Every employer shall take measures to ensure that the exposure of a person using work equipment to any risk to his health or safety from any hazard specified in paragraph (3) is either prevented, or, where that is not reasonably practicable, adequately controlled.
(2) The measures required by paragraph (1) shall – (a) be measures other than the provision of personal protective equipment or of information, instruction, training and supervision, so far as is reasonably practicable; and (b) include, where appropriate, measures to minimise the effects of the hazard as well as to reduce the likelihood of the hazard occurring.
(3) The hazards referred to in paragraph (1) are – (a) any article or substance falling or being ejected from work equipment;
(b) rupture or disintegration of parts of work equipment; (c) work equipment catching fire or overheating;
(d) the unintended or premature discharge of any article or of any gas, dust, liquid, vapour or other substance which, in each case, is produced, used or stored in the work equipment; (e) the unintended or premature explosion of the work equipment or any article or substance produced, used or stored in it.
(4) For the purposes of this regulation 'adequately' means adequately having regard only to the nature of the hazard and the nature and degree of exposure to the risk. Examples of hazards that the regulation covers are:
(a) material falling from equipment, for example a loose board falling from scaffolding, a straw bale falling from a tractor foreloader or molten metal spilling from a ladle;
(b) material held in the equipment being unexpectedly thrown out, for example swarf ejected from a machine tool;
(c) parts of the equipment breaking off and being thrown out, for example an abrasive wheel bursting;
(d) parts of the equipment coming apart, for example collapse of scaffolding or falsework;
(e) overheating or fire due, for example, to friction (bearings running hot, conveyor belt on jammed roller), electric motor burning out, thermostat failing, cooling system failure;
(f) explosion of the equipment due to pressure build-up, perhaps due to the failure of a pressure-relief valve or the unexpected blockage or sealing off of pipework;
(g) explosion of substances in the equipment, due, for example, to exothermic chemical reaction or unplanned ignition of a flammable gas or vapour or finely divided organic material (for example flour, coal dust), or welding work on a container with flammable residues.
Your risk assessment carried out under regulation 3 of the Management Regulations should identify these hazards and assess the risks associated with them. You will need to consider the likelihood of such events occurring and the consequent danger if they do occur, in order to identify measures you should take to comply with this regulation -
Is guarding positioned so that it does not restrict the operators view, and is position far enough away from the danger zone to prevent contact? If no, please give more details
Setting and Adjustment of Machinery
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Regulation 5 requires that equipment is maintained. Regulation 22 requires that equipment is constructed or adapted in a way that takes account of the risks associated with carrying out maintenance work, such as routine and planned preventive maintenance, as described in the guidance to regulation 5. Compliance with this regulation will help to ensure that when maintenance work is carried out, it
is possible to do it safely and without risk to health, as required by Section 2 of the HSW Act; it will also help to comply with regulation 5(1), since ‘used’ includes maintained. Regulation 11(3)(h) contains a requirement linked to regulation 22, but focusing on the narrower aspect of the design of guards for such work. Many accidents have occurred during maintenance work, often as a result of failure to adapt the equipment to reduce the risk.
293 In most cases the need for safe maintenance will have been considered at the design stage and attended to by the manufacturer, and you will need to do little other than review the measures provided. In other cases, particularly when a range of interconnecting components may be put together, for example in a research laboratory or a production line, you will need to consider when carrying out your risk assessment whether any extra features need to be incorporated so that maintenance can be done safely and without risks to health.
294 Ideally, there is no risk associated with the maintenance operation. For example, lubrication points on machines may be designed so that they can be accessed safely even while the machine is in motion, or adjustment points positioned so that they can be used without opening guards.
295 If, however, the maintenance work might involve a risk, this regulation requires that the installation should be designed so that the work can, so far as is reasonably practicable, be carried out with the equipment stopped or inactive. This will probably be the case for most equipment.
296 If equipment will have to be running or working during a maintenance operation and this presents risks, you should take measures to enable the operation of the equipment in a way that reduces the risk. These measures include further safeguards or functions designed into the equipment, such as limiting the power, speed or range of movement that is available to dangerous parts or providing protection during maintenance operations. Examples are:
(a) providing temporary guards;
(b) limited movement controls;
(c) crawl speed operated by hold-to-run controls;
(d) using a second low-powered visible laser beam to align a powerful invisible one.
297 Other measures that can be taken to protect against any residual risk include wearing personal protective equipment and provision of instruction and supervision. Although the actual use of these measures falls outside the scope of this regulation, the work equipment should as far as possible be installed to be compatible with their use. -
Can setting and adjustments be carried out safely? If no, please give more details
Cleaning
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Most machinery will present more than one mechanical hazard, and you need to deal with the risks associated with all of these. For example, at belt conveyors there is a risk of entanglement with the rotating shafts and of being trapped by the intake between drum and moving belt – so you should adopt appropriate safety measures.
213 Any risk assessment carried out under regulation 3 of the Management Regulations should not just deal with the machine when it is operating normally, but must also cover activities such as setting, maintenance, cleaning or repair. The assessment may indicate that these activities require a different combination of protective measures from those appropriate to the machine doing its normal work. In particular, parts of machinery that are not dangerous in normal use because they are not then accessible may become accessible and therefore dangerous while this type of work is being carried out.
214 Certain setting or adjustment operations which may have to be done with the machine running may require a greater reliance on the provision of information, instruction, training and supervision than for normal use. -
Can cleaning be carried out safely? If no, please give more details
Loading/Unloading
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Many machines require products or materials to be loaded on them or in them. This activity must not put individuals at risk of injury, and suitable control measures must be in place to prevent such incidents occurring. This might include floor sensors (for vehicle loading) or light guards to stop machinery whilst the loading is being carried out..
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Can the loading and unloading of products be carried out safely? If no, please give more details
Protection Against Specified Hazards
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(1) Every employer shall take measures to ensure that the exposure of a person using work equipment to any risk to his health or safety from any hazard specified in paragraph (3) is either prevented, or, where that is not reasonably practicable, adequately controlled.
(2) The measures required by paragraph (1) shall –
(a) be measures other than the provision of personal protective equipment or of information, instruction, training and supervision, so far as is reasonably practicable; and
(b) include, where appropriate, measures to minimise the effects of the hazard as well as to reduce the likelihood of the hazard occurring.
(3) The hazards referred to in paragraph (1) are –
(a) any article or substance falling or being ejected from work equipment;
(a) any article or substance falling or being ejected from work equipment;
(b) rupture or disintegration of parts of work equipment;
(c) work equipment catching fire or overheating;
(d) the unintended or premature discharge of any article or of any gas, dust, liquid, vapour or other substance which, in each case, is produced, used or stored in the work equipment;
(e) the unintended or premature explosion of the work equipment or any article or substance produced, used or stored in it
(4) For the purposes of this regulation 'adequately' means adequately having regard only to the nature of the hazard and the nature and degree of exposure to the risk. -
Is the operator suitably protected from specified hazards that could cause risk to his health and safety? If no, please give details
High and Very Low Temperature
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Every employer shall ensure that work equipment, parts of work equipment and any article or substance produced, used or stored in work equipment which, in each case, is at a high or very low temperature shall have protection where appropriate so as to prevent injury to any person by burn, scald or sear.
226 Regulation 13 deals with the risk of injury from contact with hot or very cold work equipment, parts of work equipment or articles or substances in the work equipment. It does not cover any related risk such as radiant heat or glare.
Accessible surfaces of equipment or machinery, when hot or very cold, represent sources of risk of burn or other injury such as frostbite. Examples of relevant equipment might include a flat-iron, foundry equipment, drop forging, hot pressing, liquid nitrogen tank, gas cooker, blast furnace, snow-making machine, cold store, steam pipe etc. and employees may have to work close to the equipment. Touching such surfaces may take place intentionally, for example to operate a handle of the equipment, or unintentionally, when someone is near the equipment. In many cases, surfaces of equipment or devices have to be hot and accessible to operate, for example cooker hotplates, soldering iron bit, heated rolls. In such cases no engineering protective measures can be taken. -
Does operation of the work equipment expose operators to surfaces that are at height or very low temperatures?
Warning
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(1) Every employer shall ensure that work equipment incorporates any warnings or warning devices which are appropriate for reasons of health and safety.
(2) Without prejudice to the generality of paragraph (1), warnings given by warning devices on work equipment shall not be appropriate unless they are unambiguous, easily perceived and easily understood.
303 Warnings or warning devices may be appropriate where risks to health or safety remain after other hardware measures have been taken. They may be incorporated into systems of work (including permit-to-work systems), and can enforce measures of information, instruction and training. A warning is normally in the form of a notice or similar. Examples are positive instructions (‘hard hats must be worn’), prohibitions (‘not to be operated by people under 18 years’), restrictions (‘do not heat above 60 ºC’). A warning device is an active unit giving a signal; the signal may typically be visible or audible, and is often connected into equipment so that it is active only when a hazard exists.
304 In some cases, warnings and warning devices will be specified in other legislation, for example automatic safe load indicators on mobile cranes on construction sites, or ‘X-rays on’ lights.
Warnings
305 Warnings can be permanent printed ones; these may be attached to or incorporated into the equipment or positioned close to it. There may also be a need
for portable warnings to be posted during temporary operations such as maintenance; these may form part of a permit-to-work system.
306 In some cases words can be augmented or replaced by appropriate graphical signs. So as to be readily understood, such signs will normally need to be from a nationally or internationally agreed standard set. The Health and Safety (Safety Signs and Signals) Regulations 1996 are relevant here.
307 Warning devices can be:
(a) audible, for example reversing alarms on construction vehicles;
(b) visible, for example a light on a control panel that a fan on a microbiological cabinet has broken down or a blockage has occurred on a particular machine;
(c) an indication of imminent danger, for example machine about to start, or development of a fault condition (ie pump failure or conveyor blockage indicator on a control panel); or
(d) the continued presence of a potential hazard (for example, hotplate or laser on).
A particular warning may use both types of device simultaneously, for example, some automatic safe load indicators on mobile cranes.
308 Warnings must be easily perceived and understood, and unambiguous. It is important to consider factors which affect people’s perception of such devices, especially for warnings of imminent danger. Visual warnings will be effective only if a person frequently looks in a particular direction, and therefore may not be as widely applicable as audible signals. Appropriate choice of colour and flashing can catch attention, and also reinforce the warning nature of a visual signal. The sound given by an audible signal should be of such a type that people unambiguously perceive it as a warning. This means that it must be possible to distinguish between the warnings given by separate warning devices and between the warnings and any other, unrelated, signals which may be in operation at the time. It may not be possible to rely on audible signals in a noisy environment, nor in circumstances where many such signals are expected to be active at one time. -
Are the appropriate warning notices or devices in place and where appropriate, are these working effectively? If no, please give more details
Position of Controls
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Except where necessary, the employer shall ensure that no control for work equipment is in a position where any person operating the control is exposed to a risk to his health or safety.
(3) Every employer shall ensure where appropriate –
(a) that, so far as is reasonably practicable, the operator of any control is able to ensure from the position of that control that no person is in a place where he would be exposed to any risk to his health or safety as a result of the operation of that control, but where or to the extent that it is not reasonably practicable; -
Are controls positioned where they can easily be reached and not put people in danger? If no, please give details
Marking of Controls
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It should be possible to identify easily what each control does and on which equipment it takes effect. Both the controls and their markings should be clearly visible. As well as having legible wording or symbols, factors such as the colour, shape and position of controls are important; a combination of these can often be used to reduce ambiguity. Some controls may need to be distinguishable by touch, for example inching buttons on printing machines. Few controls will be adequately identifiable without marking of some sort.
256 The marking and form of many controls is covered by national, European and international standards either generic or specific to the type of equipment (BS 3641). However, additional marking may often be desirable. -
Are controls serving the work equipment clearly identifiable and marked with their mode of operation? If no, please give details
Fields of Vision
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The provisions of regulation 17(3)(a) apply where physical safeguarding methods employed in accordance with regulation 11(2)(a) and (b) do not completely prevent access to dangerous parts of work equipment, or where people are at risk from other aspects of the operation, eg noise, or harmful radiation. The preferred aim is to position controls so that operators of equipment are able to see from the control position that no one is at risk from anything they set going. To be able to do this, operators need to have a view of any part of the equipment that may put anyone at risk. A direct view is best, but supplementing by mirrors or more sophisticated visual or sensing facilities may be necessary.
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Is it possible to view the area in which the work equipment will operate when started, from the start control position? If no, please give details
Audible Warning
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Warnings given in accordance with regulation 17(3)(c) should be given sufficiently in advance of the equipment actually starting to give those at risk time to get clear or take suitable actions to prevent risks. This may take the form of a device by means of which the person at risk can prevent start-up or warn the operator of their presence.
266 The provisions of regulation 17 do not preclude people from remaining in positions where they are at risk. Their aim is to prevent an operator unintentionally placing people at risk. Regulation 11, in its hierarchical approach to safeguarding, recognises that in exceptional circumstances people may have to approach dangerous parts of machinery, such as for maintenance purposes. Access to such positions should only be allowed under strictly controlled conditions and in accordance with regulation 11. -
Are there suitable warning devices to warn people in advance of work equipment starting, where they could be in a position of danger? If no, please give details
Stability
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Every employer shall ensure that work equipment or any part of work equipment is stabilised by clamping or otherwise where necessary for purposes of health or safety.
283 There are many types of work equipment that might fall over, collapse or overturn unless suitable precautions are taken to fix them to the ground by bolting, tying, fastening or clamping them in some way and/or to stabilise them by ballasting or counterbalancing. Where ballasting or counterbalancing is employed for portable equipment, you should reappraise the stabilising method each time the equipment is repositioned.
284 Most machines used in a fixed position should be bolted or otherwise fastened down so that they do not move or rock during use. This can be done by fastening the equipment to an appropriate foundation or supporting structure. Other means could include lashing or tying to a supporting structure or platform.
285 Where the stability of the work equipment is not inherent in its design or operation or where it is mounted in a position where its stability could be compromised, for example by severe weather conditions, additional measures should be taken to ensure its stability. Ladders should be at the correct angle, and tied or footed. -
Is the machine stable under its own weight or bolted to the floor? If no, please give more details
Portable Equipment
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There are many types of work equipment that might fall over, collapse or overturn unless suitable precautions are taken to fix them to the ground by bolting, tying, fastening or clamping them in some way and/or to stabilise them by ballasting or counterbalancing. Where ballasting or counterbalancing is employed for portable equipment, you should reappraise the stabilising method each time the equipment is repositioned.
Certain types of mobile work equipment, for example access platforms, while inherently stable, can have their stability increased during use by means of outriggers or similar devices. While this equipment cannot be ‘clamped’ or ‘fixed’, steps must be taken to ensure that the equipment is always used within the limits of its stability at any given time. -
Does portable equipment have the ability to secure it in its working position? If no, please give details
Lighting Levels
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Every employer shall ensure that suitable and sufficient lighting, which takes account of the operations to be carried out, is provided at any place where a person uses work equipment.
287 Any place where a person uses work equipment should be suitably and sufficiently lit. If the ambient lighting provided in the workplace is suitable and sufficient for the tasks involved in the use of the equipment, special lighting need not be provided. But if the task involves the perception of detail, for example precision measurements, you would need to provide additional lighting to comply with the regulation. The lighting should be adequate for the needs of the task.
288 You should provide local lighting on the machine for the illumination of the work area when the construction of the machine and/or its guards render the normal lighting inadequate for the safe and efficient operation of the machine, for example on sewing machines. Local lighting may be needed to give sufficient view of a dangerous process or to reduce visual fatigue. Travelling cranes may obscure overhead lighting for the driver and others, particularly when there is no natural light available (night working), and supplementary lighting may be necessary.
You should also provide additional lighting in areas not covered by general lighting when work, such as maintenance or repairs, for example, is carried out in them. The arrangements for the provision of lighting could be temporary, by means of hand or other portable lights, for example by fixed lighting inside enclosures, such as lift shafts. The standard of lighting required will be related to the purpose for which the work equipment is used or to the work being carried out. Lighting levels should be checked periodically to ensure that the intensity is not diminished by dust and grime deposits. Where necessary, you should clean luminaires and reflectors at regular intervals to maintain lighting efficiency.
290 Where access is foreseeable on an intermittent but regular basis, you should always consider providing permanent lighting.
291 This regulation complements the requirement for sufficient and suitable workplace lighting in the Workplace (Health, Safety and Welfare) Regulations 1992 and the Electricity at Work Regulations 1989. Guidance is contained in HSE’s guidance Lighting at work.11 -
Are lighting levels adequate for the type of work being carried out, this must be both during the day and night where applicable. Has a lighting survey been carried out to determine the adequacy of the lighting levels? If no, please give details
Safe Maintenance
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Every employer shall take appropriate measures to ensure that work equipment is so constructed or adapted that, so far as is reasonably practicable, maintenance operations which involve a risk to health or safety can be carried out while the work equipment is shut down, or in other cases – (a) maintenance operations can be carried out without exposing the person carrying them out to a risk to his health or safety; or
(b) appropriate measures can be taken for the protection of any person carrying out maintenance operations which involve a risk to his health or safety.
292 Regulation 5 requires that equipment is maintained. Regulation 22 requires that equipment is constructed or adapted in a way that takes account of the risks associated with carrying out maintenance work, such as routine and planned preventive maintenance
In most cases the need for safe maintenance will have been considered at the design stage and attended to by the manufacturer, and you will need to do little other than review the measures provided. In other cases, particularly when a range of interconnecting components may be put together, for example in a research laboratory or a production line, you will need to consider when carrying out your risk assessment whether any extra features need to be incorporated so that maintenance can be done safely and without risks to health.
294 Ideally, there is no risk associated with the maintenance operation. For example, lubrication points on machines may be designed so that they can be accessed safely even while the machine is in motion, or adjustment points positioned so that they can be used without opening guards.
295 If, however, the maintenance work might involve a risk, this regulation requires that the installation should be designed so that the work can, so far as is reasonably practicable, be carried out with the equipment stopped or inactive. This will probably be the case for most equipment.
296 If equipment will have to be running or working during a maintenance operation and this presents risks, you should take measures to enable the operation of the equipment in a way that reduces the risk. These measures include further safeguards or functions designed into the equipment, such as limiting the power, speed or range of movement that is available to dangerous parts or providing protection during maintenance operations. Examples are:
(a) providing temporary guards;
(b) limited movement controls;
(c) crawl speed operated by hold-to-run controls;
(d) using a second low-powered visible laser beam to align a powerful invisible one. -
Can maintenance be carried out safely on the machine? If no, please give details
Competence and Training
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Adequate INFORMATION, INSTRUCTION, TRAINING AND SUPERVISION are always important, even if the hazard is protected by hardware measures, however, they are especially important when the risk cannot be adequately eliminated by the hardware measures in regulation 11(2)(a) to (c). It may be necessary to lay down procedures to define what information, instruction, training and supervision must be given, and to restrict use of the equipment to those who have received such instructions etc.
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Are the employees who carry out maintenance, competent to carry out the work they undertake?<br>Is there a training matrix available that indicates the competence of all maintenance personnel and the training they have received? If No, please give details
Checking of Safety Devices
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Guards and protection devices must be maintained in an efficient state, in efficient working order and in good repair. This is an important requirement as many accidents have occurred when guards have not been maintained. It is a particular example of the general requirement under regulation 5 to maintain equipment. Compliance can be achieved by the use of an effective check procedure for guards and protection devices, together with any necessary follow-up action. In the case of protection devices or interlocks, some form of functional check or test is desirable.
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Is work equipment regularly checked and maintained to ensure that the safety related features are functioning correctly, and are records of such maintenance retained? If No, please give details
Authorised Persons
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(1) Every employer shall ensure that all persons who use work equipment have received adequate training for purposes of health and safety, including training in the methods which may be adopted when using the work equipment, any risks which such use may entail and precautions to be taken.
(2) Every employer shall ensure that any of his employees who supervises or manages the use of work equipment has received adequate training for purposes of health and safety, including training in the methods which may be adopted when using the work equipment, any risks which such use may entail and precautions to be taken.
What is ‘adequate training’?
181 It is not possible to detail here what constitutes ‘adequate training’ as requirements will vary according to the job or activity and work equipment etc. In general, you will need to:
(a) evaluate the existing competence of employees to operate the full range of work equipment that they will use;
(b) evaluate the competence they need to manage or supervise the use of work equipment; and
(c) train the employee to make up any shortfall between their competence and that required to carry out the work with due regard to health and safety.
182 Account should be taken of the circumstances in which the employee works. For example do they work alone or under close supervision of a competent person? -
Is there an authorised persons list detailing who is trained and competent to operate the equipment? If No, please give details
Information, Instruction and Training
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Every employer shall ensure that all persons who use work equipment have available to them adequate health and safety information and, where appropriate, written instructions pertaining to the use of the work equipment.
(2) Every employer shall ensure that any of his employees who supervises or manages the use of work equipment has available to him adequate health and safety information and, where appropriate, written instructions pertaining to the use of the work equipment.
Regulation 8 places a duty on employers to make available all relevant health and safety information and, where appropriate, written instructions on the use of work equipment to their workforce. Workers should have easy access to such information and instructions and be able to understand them.
Written instructions
171 Regulation 8 refers to written instructions. This can include the information provided by manufacturers or suppliers of work equipment such as instruction sheets or manuals, instruction placards, warning labels and training manuals. It can also include in-house instructions and instructions from training courses. There are duties on manufacturers and suppliers to provide sufficient information, including drawings, to enable the correct installation, safe operation and maintenance of the work equipment. You should ask or check that they are provided. -
Are manuals and instructions available, and have the operators been adequately trained on the safe use of the work equipment? If No, please give details
Competence for Operation
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Training needs are likely to be greatest on recruitment. However, training needs are also required:
(a) if the risks to which people are exposed change due to a change in their working tasks; or
(b) because new technology or equipment is introduced; or
(c) if the system of work changes.
184 Also, you should provide refresher training if necessary. Skills decline if they are not used regularly. Pay particular attention to people who deputise for others on occasions – as they may need more frequent refresher training than those who do the work regularly. -
Are operators adequately trained to operate the machinery they operate, particularly where they are moved to other parts of the plant. Is these a training matrix that shows who is competent to operate what section of the line? If No, please give details
Marking of Equipment
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There are many circumstances in which marking of equipment is appropriate for health or safety reasons. Stop and start controls for equipment need to be identified. The maximum rotation speed of an abrasive wheel should be marked upon it. The maximum safe working load (rated capacity) should be marked on lifting equipment. Gas cylinders should indicate (normally by colour) the gas in them. Storage and feed vessels containing hazardous substances should be marked to show their contents, and any hazard associated with them. Pipework for water and compressed air and other mains services should be colour-coded to indicate contents.
300 Some legislation lays down specific circumstances in which markings are needed, and what form they should take. Examples of Regulations requiring particular markings are the Ionising Radiations Regulations 1999, and the Dangerous Substances and Explosive Atmospheres Regulations 2002 (regulations 6 and 7). Pressure vessels are subject to various regulations, which include requirements for marking the vessel with specific information.
301 You should consider any other marking that might be appropriate for your own purposes, for example numbering machines to aid identification, particularly if the controls or isolators for the machines are not directly attached to them and there could otherwise be confusion.
302 Markings may use words, letters, numbers, or symbols, and the use of colour or shape may be significant. There are nationally or internationally agreed markings relating to some hazards, for example the international symbols for radiation and lasers. Markings should as far as possible conform to such published standards as BS 5378 or as required by any appropriate legislation such as the Health and Safety (Safety Signs and Signals) Regulations 1996. -
Are the contents of pipes and the direction of flow marked on pipework? Is the speed and direction of grinding wheels marked? Are all the pressure vessels marked with safe working pressures? are other parts of the work equipment suitably marked where this is required for safety? If No, please give details
Assessment of Risk
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Taking in to account all of the control measures listed, and all of the additional controls that need to be put in to place, complete the following risk assessment to identify the level of risk posed by the operation of the work equipment.
ACTION PLANS
Where it is identified that the use of the assessed work equipment gives rise to danger, it is imperative that short, medium and long term control measures are put in place to mitigate the risk posed by the use of the equipment.
Where there is a high probability of injury, immediate steps must be taken to put in place control measures to prevent injury from happening. The results of any control measures put in place should be reflected within the risk assessment.
SCORES
0 to 10 = Low risk - Action to be taken if reasonably practicable.
11 to 50 = Significant Risk - Action to be taken within one month to deal with any safety issues raised.
51 to 500 = Very High Risk - Action to be taken immediately to deal with the safety issues raised.
501 and above = Extreme Risk - Stop the operation an put the necessary safeguards in place to prevent injury.
Where the score indicates a significant risk or above, wherever possible, control measures should be put in place immediately to deal with the specific risks that could cause injury. This may just involve the communication of a safe working procedure, or the display of warning notices until such time more robust controls are put in place. -
What is the most likely type of injury to occur to people working on maintaining the work equipment? You should take into account existing control measures in place when formulating your answer.
- Scratch or Bruise
- Laceration or mild health effect
- Break of minor bone ( finger, toe) or temporary minor illness
- Break of major bone or minor illness (permanent)
- Loss of limb or serious illness of a temporary nature
- Loss of limbs, eyes or serious illness of a permanent nature
- Fatality
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What number of people are at risk from the hazard, at any one time?
- 1-2 Persons
- 3-7 Persons
- 8-15 Persons
- 16-50 Persons
- 50+ Persons
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How often is the person exposed to the hazard?
- infrequently
- Annually
- Monthly
- Weekly
- Daily
- Hourly
- Constantly
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How likely is the operative to come in to contact with the hazard?
- Impossible - Will not occur
- Almost impossible - Possible only in extreme circumstances
- Highly unlikely - Though conceivable
- Unlikely - But could occur
- Possible - But unusual
- Even Chance - Could happen
- Probable - Not surprised
- Likely - To be expected
- Certain - No doubt
