Guide to application of machinery directive - § 157 to § 381 - Annex I

ANNEX I

Essential health and safety requirements relating to the design and construction of machinery

GENERAL PRINCIPLES

§157   The General Principles

The essential health and safety requirements (EHSRs) set out in Annex I are introduced by four General Principles. The first one, dealing with risk assessment, explains a basic requirement of Annex I to identify the hazards and assess the risks associated with machinery in order to identify and apply the relevant EHSRs. The other General Principles are essential for understanding the status and the implications of the EHSRs.

These General Principles must be taken into account when applying each of the EHSRs to the design and construction of machinery.

GENERAL PRINCIPLES

1.    The manufacturer of machinery or his authorised representative must ensure that a risk assessment is carried out in order to determine the health and safety requirements which apply to the machinery. The machinery must then be designed and constructed taking into account the results of the risk assessment.

By the iterative process of risk assessment and risk reduction referred to above, the manufacturer or his authorised representative shall:

—        determine the limits of the machinery, which include the intended use and any reasonably foreseeable misuse thereof,

—        identify the hazards that can be generated by the machinery and the associated hazardous situations,

—        estimate the risks, taking into account the severity of the possible injury or damage to health and the probability of its occurrence,

—        evaluate the risks, with a view to determining whether risk reduction is required, in accordance with the objective of this Directive,

—        eliminate the hazards or reduce the risks associated with these hazards by application of protective measures, in the order of priority established in section 1.1.2 (b).

. . .

§158   Risk assessment

According to General Principle 2, the EHSRs are only applicable when the corresponding hazard exists for the machinery in question. In order to identify these hazards, taking into account all phases of the foreseeable lifetime of the machinery, the manufacturer or his authorised representative must ensure that a risk assessment is carried out according to the iterative process described in General Principle 1. For the terms ‘hazard’ and ‘risk’ – see §164: comments on section 1.1.1 (a), and §168: comments on section 1.1.1 (e).

The risk assessment may be carried out by the manufacturer himself, by his authorised representative or by another person acting on their behalf. If the risk assessment is carried out on behalf of the manufacturer by another person, the manufacturer remains responsible for the risk assessment and  the implementation of the necessary protective measures during the design and construction of machinery – see §78 to §81: comments on Article 2 (i), and §83 and §84: comments on Article 2 (j).

The second sentence of the first paragraph of General Principle 1 states that the machinery must then be designed and constructed taking into account the results of the risk assessment. Risk assessment is described as an iterative process because each risk reduction measure envisaged to deal with a particular hazard must be evaluated to see if it is adequate and does not generate new hazards. If this is not the case, the process must be carried out anew. This implies that the risk assessment process must be carried out in parallel with the design process of the machinery.

The last indent of the second paragraph underlines that the risk reduction measures to deal with the identified hazards are to be given an order of priority, according to the principles of safety integration – see §174: comments on section 1.1.2 (b).

The risk assessment and its outcome must be documented in the Technical file for machinery – see §392: comments on Annex VII A 1 (a).

Standard EN ISO 12100[PP1]  (A-type standard) explains the general principles for risk assessment of machinery.[1]

§159   Risk assessment and harmonised standards

The process of risk assessment is facilitated by the application of harmonised standards, since C-type standards for machinery identify the significant hazards that are generally associated with the category of machinery concerned and specify protective measures to deal with them. However, the application of harmonised standards does not dispense the machinery manufacturer from the obligation to carry out a risk assessment.

A manufacturer who applies the specifications of a C-type standard must ensure that the harmonised standard is appropriate to the particular machinery concerned and covers all of the risks it presents – annex Z and the entry in the OJEU should be checked to ensure the standard’s presumption of conformity does not exclude any essential health and safety requirements. If the machinery concerned presents hazards that are not covered by the harmonised standard, a full risk assessment is required for those hazards and appropriate protective measures must be taken to deal with them.

Furthermore, where harmonised standards specify several alternative solutions without defining criteria for choice between them, the choice of the appropriate solution for the machinery concerned must be based on a specific risk assessment. This is particularly important when applying B-type standards – see §111: comments on Article 7 (2).

GENERAL PRINCIPLES (continued).

. . .

2.    The obligations laid down by the essential health and safety requirements only apply when the corresponding hazard exists for the machinery in question when it is used under the conditions foreseen by the manufacturer or his authorised representative or in foreseeable abnormal situations. In any event, the principles of safety integration referred to in section 1.1.2 and the obligations concerning marking of machinery and instructions referred to in sections 1.7.3 and 1.7.4 apply.

. . .

§160   The applicability of the essential health and safety requirements

General Principle 2 must be borne in mind when reading each of the EHSRs set out in Annex I. The EHSRs are usually expressed without qualification. However, they are only applicable when they are relevant and necessary. In other words, an EHSR applies when the hazard concerned is present on the particular model of machinery concerned. The first sentence of General Principle 2 also underlines that, when identifying the hazards for a given model of machinery, not just the intended conditions of use but also foreseeable abnormal situations must be taken into account. Foreseeable abnormal situations are those arising from reasonably foreseeable misuse - see §172: comments on section 1.1.1 (i).

The second sentence sets out an exception to General Principle 2, since the requirements set out in sections 1.1.2, 1.7.3 and 1.7.4 are applicable to all machinery.

GENERAL PRINCIPLES (continued)

. . .

3.    The essential health and safety requirements laid down in this Annex are mandatory; However, taking into account the state of the art, it may not be possible to meet the objectives set by them. In that event, the machinery must, as far as possible, be designed and constructed with the purpose of approaching these objectives.

. . .

§161   The state of the art

General Principle 3 is critical for a correct understanding of how to apply the EHSRs. It first recalls that the EHSRs, when they are applicable to a given model of machinery, are legally binding. This is clear from the terms of Article 5 (a) setting out the obligations of machinery manufacturers. In this respect, it is important to distinguish the EHSRs of Annex I from the specifications of harmonised standards, the application of which is voluntary – see §110: comments on Article 7 (2).

The EHSRs set out in Annex I are usually expressed without qualification. The second sentence of General Principle 3 recognises that it may not always be possible to satisfy certain EHSRs fully, given the current state of the art. In such cases, the machinery manufacturer must strive to fulfil the objectives set out in the EHSRs to the greatest extent possible.

The notion of "the state of the art" is not defined in the Machinery Directive; however it is clear from Recital 14 that the notion of ‘the state of the art’ includes both a technical and an economic aspect. In order to correspond to the state of the art, the technical solutions adopted to fulfil the EHSRs must employ the most effective technical means that are available at the time for a cost which is reasonable taking account of the total cost of the category of machinery concerned and the seriousness of the harm the risk reduction is required to address. For example the cost of compliance will be more relevant for the risk of minor fully recoverable injuries, but to reduce the risk of a fatal injury the cost “barrier” will be extremely high for not to apply a technical solution that exists. Manufacturers of machinery cannot be expected to use solutions that are still at the research stage or technical means that are not generally available on the market. On the other hand, they must take account of technical progress and adopt the most effective technical solutions that are appropriate to the machinery concerned when they become available for a reasonable cost.

"The state of the art" is thus a dynamic concept: the state of the art evolves when more effective technical means become available or when their relative cost diminishes. Thus a technical solution that is considered to satisfy the EHSRs of the Directive at a given time may be considered inadequate at a later time, if the state of the art has evolved.

A machinery manufacturer can only take account of the state of the art at the time the machinery is constructed. If an evolution of the state of the art makes it possible to approach the objectives set out in the EHSRs more closely, a manufacturer producing a series of machines according to the same design must upgrade his design accordingly (while taking account of the time necessary for the redesign and the corresponding changes in the production process[P2] ).

§162   Harmonised standards and the state of the art

Harmonised standards provide technical specifications that enable machinery manufacturers to comply with the EHSRs. Since harmonised standards are developed and adopted on the basis of a consensus between the interested parties, their specifications provide a good indication of the state of the art at the time they are adopted. The evolution of the state of the art is reflected in later amendments or revisions of harmonised standards. The evolution of the state of the art may mean a Standard becomes outdated and is in need of a  revision, normally the revision cycle (normally 5yr) will address this aspect, but in some cases the Standard’s presumption of conformity may need to be withdrawn or limited – see §119   Formal objections to harmonised standards

 

In this respect, the level of safety afforded by the application of a harmonised standard provides a benchmark that must be taken into account by all manufacturers of the category of machinery covered by the standard, including those who choose to employ alternative technical solutions. A manufacturer who chooses alternative solutions must be able to demonstrate that these solutions are in conformity with the EHSRs of the Machinery Directive, taking account of the current state of the art. Consequently, such alternative solutions must provide a level of safety that it is at least equivalent to that afforded by application of the specifications of the relevant harmonised standard – see §110: comments on Article 7 (2).

When harmonised standards are not available, other technical documents may provide useful indications for applying the EHSRs of the Machinery Directive. Such documents include, for example, international standards, national standards, draft European standards, the Recommendations for Use issued by the European Coordination of Notified Bodies – see §137: comments on Article 14 (7) – or guidelines issued by professional organisations. However, application of such technical documents does not confer a presumption of conformity with the EHSRs of the Machinery Directive – see §383: comments on Annex II 1 A (8).

GENERAL PRINCIPLES (continued) [2]

 

. . .

4.    This Annex is organised in several parts. The first one has a general scope and is applicable to all kinds of machinery. The other parts refer to certain kinds of more specific hazards. Nevertheless, it is essential to examine the whole of this Annex in order to be sure of meeting all the relevant essential requirements. When machinery is being designed, the requirements of the general part and the requirements of one or more of the other parts shall be taken into account, depending on the results of the risk assessment carried out in accordance with point 1 of these General Principles. Essential health and safety requirements for the protection of the environment are applicable only to the machinery referred to in section 2.4.

 

§163   The structure of Annex I

General principle 4 explains the structure of Annex I. The EHSRs set out in Part 1 of Annex I must be taken into account by manufacturers of all categories of machinery. With the exception of sections 1.1.2, 1.7.3 and 1.7.4 which are always applicable, the EHSRs set out in the other sections of Part 1 are applicable when the manufacturer’s risk assessment shows that the hazard concerned is present.

Parts 2 to 6 of Annex I deal with the following specific hazards:

Part 2             hazards specific to certain categories of machinery:

  • foodstuffs machinery,
  • machinery for cosmetics or pharmaceutical products,
  • hand-held and hand-guided machinery,
  • portable fixing machinery and other portable impact machinery,
  • machinery for working wood and material with similar characteristics;
  • machinery for pesticide application;

Part 3             hazards due to the mobility of machinery;

Part 4             hazards due to lifting operations;

Part 5             hazards specific to machinery intended for underground work;

Part 6             hazards due to the lifting of persons.

The relevance of the EHSRs set out in each of these parts depends on whether a given model of machinery belongs to one or more of the categories of machinery concerned by Parts 2 or 5 or whether the manufacturer’s risk assessment show that the machinery presents one or more of the specific hazards referred to in Parts 3, 4 and 6 – see §160: comments on General Principle 2. For example, a mobile elevating work platform is subject to requirements set out in Parts 1, 3, 4, and 6. A hand-held circular saw for woodworking is subject to requirements set out in Parts 1 and 2.

In some cases, the EHSRs set out in Parts 2 to 6 are supplementary to EHSRs set out in the other parts of Annex I dealing with the same type of hazard. This is indicated in the comments on the sections concerned.

 

1.                ESSENTIAL HEALTH AND SAFETY REQUIREMENTS

1.1              GENERAL REMARKS

1.1.1           Definitions

For the purpose of this Annex:

(a)   ‘hazard’ means a potential source of injury or damage to health;

. . .

 

 

§164   Hazard

The term ‘hazard’ is used in the context of risk assessment with a meaning which may be different from everyday usage. In the context of risk assessment, ‘hazard’ refers to a potential source of harm. The presence of a hazard is an inherent feature of the machinery and is independent of whether or not any injury or damage to health is actually likely to occur. For example, the presence in the machinery of parts at a high temperature is a potential source of injuries, such as burns, or of damage to health, such as heat stress-related illness; the presence in the machinery of sharp blades is a potential source of injuries such as cuts or amputation. During the phase of hazard identification, a hazard must be considered to be present, even if the part of the machinery presenting the hazard is inaccessible.

Hazards can be identified by their physical origin (for example, mechanical hazard, electrical hazard) or by the nature of the potential injury or damage to health (for example, cutting hazard, crushing hazard, repetitive strain hazard, or electric shock hazard).

General Principle 1 requires the manufacturer to identify the hazards that are inherent to the machinery or that can be generated by its use, and the associated hazardous situations. A hazardous situation is a circumstance, an event or a sequence of events in which a person is exposed to a hazard. Hazardous situations can range in duration from a sudden event to a circumstance that is permanently present during use of the machinery.

1.1.1           Definitions (continued)

. . .

(b)   ‘danger zone’ means any zone within and/or around machinery in which a person           is subject to a risk to his health or safety;

. . .

§165   Danger zone

The concept of ‘danger zone’ makes it possible to locate the places where persons may be exposed to a hazard. In the case of risks involving contact with moving parts of the machinery, for example, the danger zone is limited to the proximity of the hazardous parts. In the case of other risks, such as, for example, the risk of being hit by objects ejected from the machinery or the risk of exposure to noise emissions or emissions of hazardous substances from the machinery, the danger zone may include substantial areas in the environment of the machinery.

One of the most effective ways to prevent risks is to design machinery so as to avoid the need for persons to enter danger zones – see §189: comments on section 1.2.2, and §239: comments on section 1.6.1.

1.1.1           Definitions (continued)

. . .

(c)   ‘exposed person’ means any person wholly or partially in a danger zone;

. . .

§166   Exposed person

The definition of the term ‘exposed person’ is very broad. Operators are one category of potentially exposed person – see §167: comments on section 1.1.1 (d). However, persons who do not have any direct involvement with the machinery may be present in a danger zone, particularly if the danger zones include areas in the environment of the machinery. In the case of machinery for professional use, such persons may be, for example, other employees of the company where the machinery is used or bystanders. In the case of machinery used on construction sites, on public roads or in urban areas, potentially exposed persons may include members of the public in the street or in buildings nearby. In the case of machinery such as agricultural machinery or machinery intended for use by consumers in the home or in the garden, potentially exposed persons may be family members including children. The EHSRs aim to prevent risks for all exposed persons. Consequently, the manufacturer’s risk assessment must include an assessment of the likelihood of operators and of any other persons being in a danger zone.

1.1.1           Definitions (continued)

. . .

(d)   ‘operator’ means the person or persons installing, operating, adjusting, maintaining, cleaning, repairing or moving machinery;

. . .

§167   Operator

The definition of ‘operator’ gives the term a very broad sense. In the Machinery Directive, the term is used to designate all persons with specific tasks involving the machinery and is not limited to production operators. Operators include all the different persons dealing with the machinery in the various phases of its lifetime - see §173: comments on section 1.1.2 (a). In the case of machinery intended for use at the workplace, the operators may be professionals who may or may not have been specially trained. In the case of machinery designed for use by consumers, the operators using the machinery are non-professional and must be assumed not to have been specially trained – see §259: comments on section 1.7.4.1 (d). It should be noted that certain kinds of machinery are placed on the market for both professional use and for use by consumers.

1.1.1           Definitions (continued)

. . .

(e)   ‘risk’ means a combination of the probability and the degree of an injury or damage to health that can arise in a hazardous situation;

. . .

§168   Risk

Like the term ‘hazard’, the term ‘risk’ is used in the Machinery Directive with a more precise sense than in everyday use. The existence of a risk depends on the hazards generated by the machinery and also on the interface between the machinery and the operators and other exposed persons. A hazard may be present on machinery, but if no person is liable to be exposed to that hazard, there is no risk.

Risks may be characterised by reference to the hazard or hazardous situation concerned (such as, for example, a risk due to contact with moving parts, a risk due to contact with hot surfaces, a risk due to noise emissions or emissions of hazardous substances); risks may also be characterised by reference to their possible consequences (such as, for example, a crushing risk, a cutting risk, a risk of being burnt, a risk of loss of hearing).

The third step of the process of risk assessment is to estimate the risks, taking into account the severity of the possible injury or damage to health and the probability of its occurrence – see §158: comments on General Principle 1. The estimation of the risk is based on a combination of these two factors. The most serious risks involve a combination of a high probability of occurrence and the possibility of fatal or severe injury or damage to health. However a low probability of occurrence may still result in a serious risk if fatal or severe injuries or damage to health may result. Risks must therefore be evaluated on a case-by-case basis, taking account of the fact that risks may be different in the phases of the lifetime of the machinery, depending on the operations concerned and the state of the machinery during each phase – see §173: comments on section 1.1.2 (a[P3] ).

1.1.1           Definitions (continued)

. . .

(f)    ‘guard’ means a part of the machinery used specifically to provide protection by means of a physical barrier;

. . .

§169   Guard

The term ‘guard’ is used for parts of the machinery specifically designed to fulfil a protective function. Other parts of the machinery that fulfil a primarily operational function, such as, for example, the frame of the machinery, may also fulfil a protective function but are not referred to as guards.

Guards are defined as providing protection by means of a physical barrier such as, for example, a casing, a shield, a cover, a screen, a door, an enclosure or a fence. The term ‘physical barrier’ implies that a guard is constituted by a solid material such as, for example, steel or plastic, to be chosen according to the protection required. The materials used may be continuous or perforated and may be rigid or flexible.

Guards are one of the means that can be used to prevent access to danger zones in or around machinery. In many cases, the guard acts as a barrier in both directions in order to protect against two or more risks simultaneously. For example, a guard may be fitted both to prevent persons entering a danger zone and also to prevent ejected objects or fluids, noise emissions, radiation or hazardous substances from reaching persons in the environment of the machinery.

The Machinery Directive distinguishes three main kinds of guards: fixed guards, interlocking moveable guards and adjustable guards restricting access – see §217: comments on section 1.4.2 of Annex I.

When placed independently on the market, guards are considered as safety components – see §42: comments on Article 2 (c) and §389: comments on Annex V (1) (3) and (7).

1.1.1           Definitions (continued)

. . .

(g)   ‘protective device’ means a device (other than a guard) which reduces the risk, either alone or in conjunction with a guard;

. . .

§170   Protective devices

Protective devices are distinguished from guards since they do not constitute a physical barrier between the exposed person and the danger zone but reduce risks by preventing exposure to the hazard by other means. Protective devices include, for example, two-hand control devices, sensitive protective equipment such as pressure-sensitive mats and sensitive edges, trip bars and trip wires, and opto-electronic protective devices such as light curtains, laser scanners or camera-based safeguarding systems – see §221: comments on section 1.4.3 of Annex I.

When placed independently on the market, protective devices are considered as safety components – see §42: comments on Article 2 (c) and §389: comments on Annex V (2) and (7).

1.1.1           Definitions (continued)

. . .

(h)   ‘intended use’ means the use of machinery in accordance with the information provided in the instructions for use;

. . .

§171   Intended use

The first step of the risk assessment process described in General Principle 1 is to determine the limits of the machinery, which include the intended use of the machinery. Machinery is not necessarily safe for all possible uses: for example, the manufacturer of machinery intended for working metal has usually not designed the machinery for safely working wood and vice versa; for example, the manufacturer of a mobile elevating work platform usually has not designed the machine to be safely used as a crane. The manufacturer’s risk assessment and the design and construction of the machinery must therefore be based on specified use or uses. The specification of the intended use of the machinery must cover, where appropriate, the different operating modes and phases of use of the machinery – see §173: comments on section 1.1.2 (a).

In particular, the parameters on which the safe use of the machinery depends and their limits must be precisely specified. Such parameters include, for example, the maximum load for lifting machinery; the maximum slope on which mobile machinery can be used without loss of stability; the maximum wind-speed in which machinery can be safely used outdoors; the maximum dimensions of workpieces and the type of material that can be safely processed by a machine tool.

The intended use of the machinery is the use defined and described in the manufacturer's instructions – see §263: comments on section 1.7.4.2 (g).

1.1.1           Definitions (continued)

. . .

(i)    ‘reasonably foreseeable misuse’ means the use of machinery in a way not intended in the instructions for use, but which may result from readily predictable human behaviour.

§172   Reasonably foreseeable misuse

The first step of the risk assessment process described in General Principle 1 also requires the manufacturer to take account of reasonably foreseeable misuse of machinery. The machinery manufacturer cannot be expected to take account of all possible misuse of the machinery. However, certain kinds of misuse, whether intentional or unintentional, are predictable on the basis of experience of past use of the same type of machinery or of similar machinery, accident investigations and knowledge about human behaviour – see §173: comments on sections 1.1.2 (a), §175: comments on section 1.1.2 (c), and §263: comments on section 1.7.4.2 (h).

The “A” type standard EN ISO 12100:2010 gives the following examples of the kinds of misuse or[P4]  readily predictable human behaviour that may have to be taken into account:

  • loss of control of the machine by the operator;
  • reflex behaviour of a person in case of malfunction, incident or failure during the use of the machine;
  • behaviour resulting from lack of concentration or carelessness;
  • behaviour resulting from taking the line of least resistance in carrying out a task;
  • behaviour resulting from pressures to keep machinery running in all circumstances;
  • the behaviour of certain persons such as children.

Such behaviour can result in a range of misuse situations, such as, for example, using a crane or a MEWP without deploying the stabilisers; leaving the door open on an earthmoving truck in hot weather thereby defeating the air filtering and noise control equipment; two people operating a press designed for use by a single person.

Particular attention must be given to factors that may lead to the removal, disabling or defeating of guards and protective devices – see §216: comments on section 1.4.1.

1.1.2           Principles of safety integration

(a)   Machinery must be designed and constructed so that it is fitted for its function, and can be operated, adjusted and maintained without putting persons at risk when these operations are carried out under the conditions foreseen but also taking into account any reasonably foreseeable misuse thereof.

The aim of measures taken must be to eliminate any risk throughout the foreseeable lifetime of the machinery including the phases of transport, assembly, dismantling, disabling and scrapping.

. . .

§173   Principles of safety integration

Section 1.1.2, setting out the principles of safety integration, sometimes referred to as safety by design, is a key section of Annex I. Section 1.1.2 sets out a basic methodology for designing and constructing safe machinery which is fundamental to the approach of the Machinery Directive.[3] General Principle 2 states that this EHSR is applicable to all machinery. When applying the other EHSRs, the principles of safety integration set out in section 1.1.2 must always be followed.

Section 1.1.2 (a) first states that machinery must be fitted for its function. The Machinery Directive is primarily concerned with safety and does not contain any specific requirements relating to the performance of machinery. It is generally considered that the performance of machinery is a matter to be left to the market and that users will select machinery with performance characteristics appropriate to their needs. However, the aptitude of machinery to fulfil its function correctly does affect safety in so far as inadequate functioning of the machinery may lead to hazardous situations or be conducive to misuse.

Section 1.1.2 (a) then sets out the general objective that machinery must be designed and constructed so that it can be operated, adjusted and maintained without putting persons at risk. The term ‘persons’ covers both operators and any other exposed persons – see §166 and §167: comments on sections 1.1.1 (c) and (d). In order to achieve this objective, the manufacturer must consider both the intended conditions of use, but also any reasonably foreseeable misuse of the machinery – see §172: comments on section 1.1.1 (i).

The second paragraph of section 1.1.2 (a) sets out the objective of preventing risks throughout the foreseeable lifetime of the machinery, including the phases of transport, assembly, dismantling, disabling and scrapping. On the one hand, this requirement implies that safety related components and assemblies must be sufficiently strong and durable – see §207: comments on section 1.3.2, §339 to §341: comments on sections 4.1.2.3, 4.1.2.4, 4.1.2.5, and §369: comments on section 6.1.1 - and that adequate instructions must be given for the maintenance and replacement of components subject to fatigue and wear – see §272: comments on section 1.7.4.2 (r). On the other hand, this paragraph requires the manufacturer to address not only the risks generated during operation, setting and maintenance of the machinery but also during the other phases of its lifetime:

  • transport

Measures to prevent the risks associated with the transport of machinery include, for example:

  • the design of machinery to facilitate its handling – see §180: comments on section 1.1.5;
  • measures to ensure the stability of the machinery during transport – see §206: comments on sections 1.3.1, and comments on section 4.1.2.1;
  • measures to ensure adequate mechanical strength during transport – see §338: comments on section 4.1.2.3;
  • providing instructions for safe transport – see §269 and §270: comments on sections 1.7.4.2 (o) and (p).

Such measures are particularly important for machinery intended to be transported between successive sites during its lifetime.

  • assembly and dismantling

Design of machinery to facilitate assembly and dismantling is also particularly important in the case of machinery intended for temporary installation on successive sites during its lifetime. The measures to be taken include, for example:

  • preventing errors of fitting – see §225: comments on section 1.5.4;
  • providing adequate instructions including guide markings on the machine – see §264 and §269: comments on sections 1.7.4.2 (i) and (o).
  • disabling and scrapping

The Machinery Directive does not include requirements relating to the disposal, recycling or reuse of machinery components or materials when machinery is scrapped.

The measures referred to in the second paragraph to prevent risks during the disabling and scrapping of the machinery at the end of its lifetime are those that can be taken by the machinery manufacturer. Such measures may include, for example, ensuring that parts containing hazardous substances are suitably and indelibly marked, ensuring that hazardous substances contained in the machinery can be safely evacuated and ensuring that any stored energy can be safely dissipated when the machinery is disabled, in order to avoid hazards during scrapping – see §178: comments on section 1.1.3.

1.1.2           Principles of safety integration (continued)

. . .

(b)   In selecting the most appropriate methods, the manufacturer or his authorised representative must apply the following principles, in the order given:

—        eliminate or reduce risks as far as possible (inherently safe machinery design and construction),

—        take the necessary protective measures in relation to risks that cannot be eliminated,

—        inform users of the residual risks due to any shortcomings of the protective measures adopted, indicate whether any particular training is required and specify any need to provide personal protective equipment.

. . .

§174   The 3-step method

Section 1.1.2 (b) sets out the approach that must be adopted when determining the measures to be taken to deal with the risks that have been identified and assessed by means of the risk assessment described in General Principle 1. This hierarchy of measures explained below is a one of the most important requirements of the Directive. The three successive steps are put in an order of priority, often referred to as the 3-step method:

 

Step 1 = first priority

-

Inherently safe design measures

 

Step 2 = second priority

-

Technical protective measures

 

Step 3 = third priority

-

Information for users

This order of priority must be adhered to when selecting measures to deal with a given risk in order to satisfy the corresponding EHSR. Consequently, the manufacturer must exhaust all the possible inherently safe design measures before resorting to protective measures. Similarly, he must exhaust the possible protective measures before relying on warnings and instructions to operators. Application of the 3-step method must also take due account of the state of the art – see §161: comments on General Principle 3.

  • Step 1 = first priority

The first priority is given to inherently safe design measures because they are more effective than protective measures or warnings. Some examples of inherently safe design measures are, for example:

  • eliminating the hazard altogether, for example, replacing flammable hydraulic fluid with a non-flammable type, removing risk of falls by having maintenance points easily accessible at ground level rather than at height. – see §178: comments on section 1.1.3;
  • designing the control system and control devices in order to ensure safe functioning – see §184 to §185: comments on sections 1.2, and §297 and §298: comments on section 3.3;
  • ensuring the inherent stability of machinery by its shape and the distribution of masses – see §206: comments on sections 1.3.1;
  • ensuring that accessible parts of the machinery do not have sharp edges or rough surfaces – see §209: comments on section 1.3.4;
  • ensuring sufficient distance between moving and fixed parts of the machine to avoid the risk of crushing – see §212: comments on section 1.3.7;
  • placing the operator so they have all round direct vision of danger areas,
  • avoiding accessible surfaces with extreme temperatures – see §226: comments on section 1.5.5;
  • reducing emissions of noise, vibrations, radiation or hazardous substances at source – see §229: comments on section 1.5.8, §231: comments on section 1.5.9, §232: comments on section 1.5.10, and §235: comments on section 1.5.13;
  • reducing, where possible, the speed and the power of moving parts or the travel speed of the machinery itself;
  • locating hazardous parts of machinery in inaccessible places– see §212: comments on section 1.3.7;
  • locating adjustment and maintenance points outside danger zones – see §239: comments on section 1.6.1 of Annex I.
  • Step 2 = second priority

When it is not possible to eliminate hazards or sufficiently reduce risks by inherently safe design measures, the second priority is given to technical protective measures to prevent persons from being exposed to the hazards. Some examples of technical protective measures are, for example:

  • guards: fixed guards, interlocking moveable guards with guard locking where necessary or adjustable guards restricting access – see §218 to §220: comments on sections 1.4.2.1 to 1.4.1.3;
  • protective devices – see §221: comments on section 1.4.3;
  • insulation of live electrical parts – see §222: comments on section 1.5.1;
  • enclosure of sources of noise – see §229: comments on section 1.5.8;
  • damping of vibrations – see §231: comments on section 1.5.9;
  • containment or evacuation of hazardous substances – see §235: comments on section 1.5.13;
  • devices to compensate the lack of direct visibility – see §294: comments on section 3.2.1;
  • protective structures against the risk of rolling or tipping over or the risk of falling objects – see §315 and §316: comments on sections 3.4.3 and 3.4.4;
  • stabilisers – see §335: comments on sections 4.1.2.1.
  •  

Step 3 = third priority

Finally, for the residual risks that cannot be adequately reduced by inherently safe design measures or by technical protective measures, information must be given to exposed persons, in the form of warnings, signs and information on the machinery, and to users in the instructions so that the necessary precautions and measures can be taken by the users.[4] Some examples of such warnings and instructions are:

  • Information or warnings on the machinery in the form of symbols or pictograms – see §245: comments on section 1.7.1;
  • warning acoustic or light signals – see §248: comments on section 1.7.1.2;
  • indicating of the mass of machinery or parts thereof which must be handled with lifting equipment during the different phases of its foreseeable lifetime  – see comments on section – see §253: comments on section 1.7.3;
  • warning against the use of machinery by certain persons such as, for example, young people under a certain age or height – see §263: comments on section 1.7.4.2 (g);
  • information relating to the safe assembly and installation of the machinery – see §264: comments on section 1.7.4.2 (i);
  • specifying the need to provide the necessary information and training to operators – see §266: comments on section 1.7.4.2 (k).
  • information on the complementary protective measures to be taken in the workplace – see §267: comments on section 1.7.4.2 (l);
  • specifying the need to provide the appropriate personal protective equipment to operators and ensure that it is used – see §267: comments on section 1.7.4.2 (m).[5]

Providing warnings and instructions for use is considered as an integral part of the design and construction of the machinery. However the fact that this third step is the last in the order of priority given in section 1.1.2 (b) means that warnings and instructions must not be a substitute for inherently safe design measures and technical protective measures when these are possible, taking into account the state of the art.

1.1.2           Principles of safety integration (continued)

. . .

(c)   When designing and constructing machinery and when drafting the instructions, the manufacturer or his authorised representative must envisage not only the intended use of the machinery but also any reasonably foreseeable misuse thereof.

The machinery must be designed and constructed in such a way as to prevent abnormal use if such use would engender a risk. Where appropriate, the instructions must draw the user's attention to ways — which experience has shown might occur — in which the machinery should not be used.

. . .

§175   Preventing abnormal use

Section 1.1.2 (c) follows logically from section 1.1.2 (a). Since the machinery manufacturer must envisage both the intended use of the machinery and also reasonably foreseeable misuse - see §172: comments on section 1.1.1 (i) – measures must also be taken to prevent foreseeable abnormal use that would engender a risk. These measures must be chosen according to the order of priority set out in section 1.1.2 (b). Thus the manufacturer must as far as possible prevent foreseeable abnormal use by technical means. Example of such means include, for example:

  • providing means for restricting the operation of the machinery or of certain control devices to authorised persons – see §204: comments on section 1.2.5, and §297: comments on section 3.3;
  • designing machinery to prevent errors of fitting – see §225: comments on section 1.5.4;
  • fitting devices to prevent the travel of mobile machinery when the driver is not at the controls – see §304: comments on section 3.3.2;
  • fitting devices to prevent the operation of machinery unless stabilisers are in position – see §335: comments on section 4.1.2.1;
  • fitting devices to prevent the overloading of lifting machinery – see §354: comments on sections 4.2.2, and §370: comments on section 6.1.2.

Where there remains a residual risk of foreseeable misuse that cannot be entirely prevented by such technical means, appropriate warnings must be given on the machinery – see §249: comments on section 1.7.2 – and in the instructions – see §263: comments on section 1.7.4.2 (h).

1.1.2           Principles of safety integration (continued)

. . .

(d)   Machinery must be designed and constructed to take account of the constraints to which the operator is subject as a result of the necessary or foreseeable use of personal protective equipment.

. . .

§176   Constraints due to the use of PPE

Section 1.1.2 (d) deals with a particular aspect of the intended use of machinery. Machinery operators may be required to wear or carry personal protective equipment (PPE) to deal with residual hazards generated by the machinery itself, such as, for example, hearing protectors to protect against noise emissions or eye protectors to protect against the risk of projections of hazardous substances or objects. They may also be required to use PPE to protect against hazards that are not generated by the machinery but which are present in the environment in which the machinery is used. For example, machinery operators may have to wear protective footwear to protect their feet against shocks and sharp objects on the construction site or in the workplace where the machinery is used. Machinery operators may have to wear protective gloves, clothing and footwear if the machinery is used in cold or hot atmospheres or in adverse weather conditions.

The design and construction of the machinery and, in particular, the design, positioning and dimensions of the control devices, must take account of the constraints to which the operator is likely to be subject due to such use of PPE. For example, on machinery designed to be used in cold conditions, the spacing, size and design of foot-pedals should be such as to accommodate the wearing of large boots – see §300: comments on section 3.3.1.

1.1.2           Principles of safety integration (continued)

. . .

(e)   Machinery must be supplied with all the special equipment and accessories essential to enable it to be adjusted, maintained and used safely.

§177   Special equipment and accessories

Section 1.1.2 (e) does not require machinery manufacturers to supply standard tools and equipment required for adjustment and maintenance operations (screwdrivers, spanners, wrenches, hoists and the like) that may be used with different kinds of machinery. However, if the safe adjustment, maintenance or use of the machinery requires the use of equipment or accessories that are specific to machinery concerned, such equipment or accessories must be made available by the machinery manufacturer with the machinery. Such special equipment may include, for example, devices for the removal of parts of the machinery for cleaning purposes or devices for feeding or loading and unloading workpieces.

1.1.3           Materials and products

The materials used to construct machinery or products used or created during its use must not endanger persons' safety or health. In particular, where fluids are used, machinery must be designed and constructed to prevent risks due to filling, use, recovery or draining.

§178   Materials and products used

The requirement set out in section 1.1.3 deals with several kinds of risk:

  1. Risks due to materials or products used to construct the machinery such as, for example, metals, plastics, textiles or paints.

Attention must be given to risks for the health and safety of operators or other exposed persons due to contact with these materials or, for example, due to hazardous substances that may be emitted by these materials when they heat up, are disturbed or are subject to wear. As far as possible, these risks must be prevented by the choice of innocuous materials for the construction of the machinery.

  1. Risks due to materials or products used by the machinery such as fuels, lubricants, hydraulic fluids, chemicals, battery electrolyte, water, steam, compressed air and so on.

Such risks can be eliminated or reduced by designing the machinery to use innocuous materials or products or by substituting hazardous materials or products with less hazardous ones. The manufacturer’s instructions must specify the appropriate materials or products to be used with the machinery. Where risks remain, protective measures must be taken to protect operators against exposure to hazardous materials or products used by the machinery, for example, by ensuring that they are inaccessible or adequately contained. Where necessary, appropriate warnings must be given on the machinery and in the instructions.

The second sentence of section 1.1.3 underlines particular aspects that must be considered when fluids are used. The measures to be taken to prevent risks due to filling, use, recovery or draining of fluids include, for example, the appropriate location and design of tanks and reservoirs and of their filling and draining points and the fitting of a retention tray under hydraulic equipment if leaks cannot be entirely prevented. When tanks are pressurised, they must be provided with means of reducing them to a safe pressure and of checking the pressure prior to the opening of filling or draining points.

  1. Risks due to materials or products worked, processed or transformed by the machinery, such as metals, rubber, plastics, wood, foodstuffs, cosmetics and so on.

The manufacturer of the machinery must take account of the materials to be worked by the machinery and take measures to prevent risks due to hazards such as, for example, sharp edges, splinters, ejected fragments or hot or cold materials.

  1. Risks due to materials or products created during the use of the machinery. Such materials may either be the intended products of the machinery or by-products or waste such as, for example, chips, shavings, fumes or dust.

It should be noted that the reference in section 1.1.3 to “risks due to … products created during the use” of the machinery does not concern the product safety of products produced by machinery.

Certain aspects of the risks mentioned in (a) to (d) above are subject to specific EHSRs – see §208: comments on section 1.3.3 on risks due to falling or ejected objects, §226: comments on section 1.5.5 on extreme temperatures, §227: comments on section 1.5.6 on the risk of fire, § 228: comments on section 1.5.7 on the risk of explosion, and §235: comments on section 1.5.13 on emissions of hazardous materials and substances.

1.1.4           Lighting

Machinery must be supplied with integral lighting suitable for the operations concerned where the absence thereof is likely to cause a risk despite ambient lighting of normal intensity.

Machinery must be designed and constructed so that there is no area of shadow likely to cause nuisance, that there is no irritating dazzle and that there are no dangerous stroboscopic effects on moving parts due to the lighting.

Internal parts requiring frequent inspection and adjustment, and maintenance areas must be provided with appropriate lighting.

§179   Integral lighting

The machinery manufacturer is entitled to assume that the ambient lighting in the place of use is of normal intensity. Normal intensity can be judged, for example, by taking into account the levels for indoor and outdoor workplaces indicated in standards EN 12464, parts 1 and 2.[6][PP5] 

The first paragraph of section 1.1.4 requires the manufacturer to provide lighting integral to the machinery when normal ambient lighting is likely to be inadequate to ensure safe operation of the machinery. Such lighting may be necessary, for example, at work stations that are likely to be in the shade or in enclosed or covered work stations or cabs. Such lighting may also be necessary where the visual tasks of the operators require a higher level of luminance than is likely to be provided by the ambient lighting. The third paragraph of section 1.1.4 adds the requirement for integral lighting for internal parts to which access is frequently required for inspection, adjustment and maintenance purposes.

The second paragraph of section 1.1.4 concerns the design of the integral lighting, to ensure that it does not generate other hazards.

Specifications for integral lighting are given in standard EN 1837.[7][PP6] 

1.1.5           Design of machinery to facilitate its handling

Machinery, or each component part thereof, must:

—    be capable of being handled and transported safely,

—    be packaged or designed so that it can be stored safely and without damage.

During the transportation of the machinery and/or its component parts, there must be no possibility of sudden movements or of hazards due to instability as long as the machinery and/or its component parts are handled in accordance with the instructions.

Where the weight, size or shape of machinery or its various component parts prevents them from being moved by hand, the machinery or each component part must:

—    either be fitted with attachments for lifting gear, or

—    be designed so that it can be fitted with such attachments, or

—    be shaped in such a way that standard lifting gear can easily be attached.

Where machinery or one of its component parts is to be moved by hand, it must:

—    either be easily moveable, or

—    be equipped for picking up and moving safely.

Special arrangements must be made for the handling of tools and/or machinery parts which, even if lightweight, could be hazardous.

§180   Handling of machinery and parts of machinery

The requirements set out in section 1.1.5 are to be applied in the light of an analysis of the different phases of the lifetime of the machinery concerned – see §173: comments on section 1.1.2 (a).

Section 1.1.5 applies to ‘machinery or each component part thereof’. This does not mean that all parts of machinery must be designed for safe handling, but only those parts of the machinery, or the machinery itself, which may have to be handled separately.

Portable hand-held and/or hand guided machinery is subject to specific requirements – see §278: comments on section 2.2.1.

Handling of machinery or parts of machinery is frequently carried out during phases other than normal operation such as, for example, transport, loading and unloading, assembly, installation, dismantling, setting or maintenance. A hand-held power tool intended for consumer use, for example, must be packaged so that it can be safely transported, stored during distribution and carried home by the consumer. A machine tool, for example, must be packaged for transport to the user’s premises and designed and constructed so that it can be safely loaded, transported, unloaded and moved to the place of installation. Heavy parts of machinery such as, for example the mould of an injection moulding machine or the die of a metal working press, may need to be changed frequently, depending on the work to be carried out.

Machinery intended to be installed on successive sites during its lifetime, such as, for example, tower cranes, must be designed so that their elements can be safely handled during assembly and disassembly and safely loaded and attached on the means of transport between installation sites. Special attention should be given to parts that may become unstable during transport, for example, on a lorry travelling on uneven ground. Loading instructions are required and, in some cases, extra equipment may be needed ensure stability during transport, such as, for example, a transport support frame.

The third and fourth paragraphs of section 1.1.5 distinguish machinery or component parts that cannot be safely moved by hand from machinery or parts that can be safely moved by hand. When evaluating whether machinery or parts of machinery fall into one or other category, account should be taken of national regulations implementing the provisions of Directive 90/269/EEC,[8] and[PP7]  of the criteria given in the relevant harmonised standards.[9]

When designing machinery or parts of machinery to be safely moved or lifted by hand, sharp edges must be avoided. Particular attention must be given to the required posture of the operator.[10][PP8] 

1.1.6           Ergonomics

Under the intended conditions of use, the discomfort, fatigue and physical and psychological stress faced by the operator must be reduced to the minimum possible, taking into account ergonomic principles such as:

  • allowing for the variability of the operator's physical dimensions, strength and stamina,
  • providing enough space for movements of the parts of the operator's body,
  • avoiding a machine-determined work rate,
  • avoiding monitoring that requires lengthy concentration,
  • adapting the man/machinery interface to the foreseeable characteristics of the operators.

§181   Ergonomic principles

The requirements set out in section 1.1.6 refer to ergonomics. The discipline of ergonomics can be defined as follows:

“Ergonomics (or the study of human factors) is the scientific discipline concerned with the understanding of interactions among human and other elements of a system, and the profession that applies theory, principles, data and methods to design in order to optimize human well-being and overall system performance”.[11][PP9] 

The ergonomic aspects referred to in section 1.1.6 can be distinguished into two groups. The first group includes ergonomic factors that have to be taken into account when designing machinery. Five factors are listed in the indents of section 1.1.6, however it should be underlined that this list is not exhaustive but is intended to draw the attention of manufacturers to certain important aspects of ergonomic principles.

The second group, listed in the first sentence of section 1.1.6, includes negative effects that can be caused by these factors. Good design reduces the negative effects of these factors on persons whereas inadequate design is likely to give rise to discomfort, fatigue or physical or psychological stress. These effects may, in turn, give rise to musculoskeletal disorders, for example. They also tend to make accidents more likely.

The following diagram illustrates requirements set out in section 1.1.6[PP10] :

Ergonomic factors                                                Possible negative consequences

Guidance on the practical application of ergonomic principles to the design and construction of machinery is given in a family of harmonised standards developed by CEN TC 122 – Ergonomics. The relationship between these standards and the ergonomic factors listed above is presented in a separate table and in series of information sheets.

In addition to the general requirement set out in section 1.1.6, ergonomic principles must also be taken into account when applying the EHSRs set out in a number of other sections of Annex I. For example, the following EHSRs include important ergonomic aspects:

EHSRs applicable to all machinery:

  • Lighting (section 1.1.4),
  • Handling of machinery or parts of machinery (section 1.1.5),
  • Operating positions (sections 1.1.7 and 1.1.8),
  • Control devices (section 1.2.2),
  • Extreme temperatures (section 1.5.5),
  • Noise (section 1.5.8),
  • Vibrations (section 1.5.9),
  • Radiation (section 1.5.10),
  • Emissions of hazardous materials and substances (section 1.5.13),
  • Risk of tripping, slipping and falling (section 1.5.15),
  • Machinery maintenance (section 1.6.1),
  • Access to operating positions and servicing points (section 1.6.2),
  • Operator intervention (section 1.6.4),
  • Information (section 1.7);

Supplementary EHSRs for portable hand-held and/or hand guided machinery:

  • General requirements (section 2.2.1),
  • Instructions - vibrations (section 2.2.1.1);

Supplementary EHSRs for the mobility of machinery:

  • Driving positions (section 3.2.1),
  • Seating (section 3.2.2),
  • Positions for other persons (section 3.2.3),
  • Control devices (section 3.3.1),
  • Starting/moving (section 3.3.2),
  • Movement of pedestrian controlled machinery (section 3.3.4),
  • Means of access (section 3.4.5),
  • Signs, signals and warnings (section 3.6.1),
  • Instructions - vibrations (section 3.6.3.1);

Supplementary EHSRs for lifting operations:

  • Movement of loads during handling (section 4.1.2.7),
  • Access to the carrier (sections 4.1.2.8.2),
  • Control of movements (section 4.2.1);

Supplementary EHSRs for the lifting of persons:

  • Control devices (section 6.2),
  • Access to the carrier (section 6.4.3).

A more comprehensive document giving guidance on the application of essential health and safety requirements on ergonomics was approved by the Machinery Working Group , this is reproduced below:

 

The family of harmonised standards developed by CEN TC 122 – Ergonomics to support the Machinery Directive’s application

 

Table prepared on the basis of the information provided on the CEN website[PP11] :

 

Standard reference

Title

First Citation in OJ

Directive

EN 1005-1:2001+A1:2008

Safety of machinery - Human physical performance - Part 1: Terms and definitions

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

EN 1005-2:2003+A1:2008

Safety of machinery - Human physical performance - Part 2: Manual handling of machinery and component parts of machinery

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

EN 1005-3:2002+A1:2008

Safety of machinery - Human physical performance - Part 3: Recommended force limits for machinery operation

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

EN 1005-4:2005+A1:2008

Safety of machinery - Human physical performance - Part 4: Evaluation of working postures and movements in relation to machinery

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

EN 547-1:1996+A1:2008

Safety of machinery - Human body measurements - Part 1: Principles for determining the dimensions required for openings for whole body access into machinery

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN 547-2:1996+A1:2008

Safety of machinery - Human body measurements - Part 2: Principles for determining the dimensions required for access openings

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN 547-3:1996+A1:2008

Safety of machinery - Human body measurements - Part 3: Anthropometric data

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN 614-1:2006+A1:2009

Safety of machinery - Ergonomic design principles - Part 1: Terminology and general principles

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

EN 614-2:2000+A1:2008

Safety of machinery - Ergonomic design principles - Part 2: Interactions between the design of machinery and work tasks

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

EN 842:1996+A1:2008

Safety of machinery - Visual danger signals - General requirements, design and testing

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN 894-1:1997+A1:2008

Safety of machinery - Ergonomics requirements for the design of displays and control actuators - Part 1: General principles for human interactions with displays and control actuators

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

EN 894-2:1997+A1:2008

Safety of machinery - Ergonomics requirements for the design of displays and control actuators - Part 2: Displays

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

EN 894-3:2000+A1:2008

Safety of machinery - Ergonomics requirements for the design of displays and control actuators - Part 3: Control actuators

Cited in OJ C 214 (2009-09-08)

98/37/EC,

2006/42/EC

 

EN 981:1996+A1:2008

Safety of machinery - System of auditory and visual danger and information signals

Cited in OJ C 22 (2009-01-28)

98/37/EC,
2006/42/EC

EN ISO 13732-1:2008

Ergonomics of the thermal environment - Methods for the assessment of human responses to contact with surfaces - Part 1: Hot surfaces (ISO 13732-1:2006)

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN ISO 13732-3:2008

Ergonomics of the thermal environment - Methods for the assessment of human responses to contact with surfaces - Part 3: Cold surfaces (ISO 13732-3:2005)

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN ISO 14738:2008

Safety of machinery - Anthropometric requirements for the design of workstations at machinery (ISO 14738:2002, including Cor 1:2003 and Cor 2:2005)

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN ISO 15536-1:2008

Ergonomics - Computer manikins and body templates - Part 1: General requirements (ISO 15536-1:2005)

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN ISO 7250-1:2010

Basic human body measurements for technological design, Body measurements definitions and landmarks (ISO 7250:1996)

Cited in OJ C 336 (2005-12-31),

 

98/37/EC,

89/392/EEC

EN ISO 7731:2008

Ergonomics - Danger signals for public and work areas - Auditory danger signals (ISO 7731:2003)

Cited in OJ C 22 (2009-01-28)

98/37/EC,

2006/42/EC

EN 894-4:2010

Safety of machinery - Ergonomics requirements for the design of displays and control actuators - Part 4: Location and arrangement of displays and control actuators

Cited in OJ C 284 (2010-10-20)

98/37/EC,

2006/42/EC

 

 

 

Relationship between the ergonomic factors in Annex I – 1.1.6 and the family of standards developed by CEN/TC 122 - Ergonomics

 

The aim of the following table is to illustrate which of the fundamental ergonomic factors mentioned in section 1.1.6 of Annex I is already – at least partially – covered by the standards developed by CEN/TC 122 – Ergonomics[PP12] .

 

 

Essential ergonomic factors in Annex I - 1.1.6 of the Machinery Directive

 

Specific aspects related to those factors

A and B-type Harmonized Standards available in the work programme of CEN TC 122 listed in the OJ

Operator’s variability

physical dimension

EN547-1:1996 + A1:2008 EN 547-2:1996 + A1:2008 EN547-3:1996 + A1:2008 EN 614-1:2006 +A1:2009

EN 894-3: 2000+A1:2008

EN 894-4:2010

EN1005-1:2001+A1:2008 EN1005-4 :2005+A1:2008 EN ISO 14738 :2008

EN ISO 15536-1 :2008

strength

EN 614-1:2006 +A1:2009

EN1005-1:2001+A1:2008

EN1005-2:2003+A1:2008

EN1005-3:2002+A1:2008

EN ISO 15536-1:2008

stamina

 

Space for movements

posture

EN 547-1:1996+A1:2008 EN 547-2:1996+A1:2008 EN 614-1:2006 +A1:2009

EN 894-3: 2000+A1:2008

EN 894-4:2010

EN1005-1:2001+A1:2008 EN1005-2:2003+A1:2008 EN1005-3:2002+A1:2008 EN1005-4 :2005+A1:2008 EN ISO 14738 :2008

EN ISO 15536-1 :2008

dynamic

EN 547-1:1996+A1:2008

EN 547-2:1996+A1:2008

EN 614-1:2006 +A1:2009

EN 614-2:2000 +A1:2009

EN 894-2: 1997+A1:2008

EN1005-1:2001+A1:2008

EN1005-4 :2005+A1:2008

EN ISO 14738 :2008

EN ISO 15536-1 :2008

Work rate

pace

EN1005-3:2002+A1:2008

speed

EN 894-1: 1997+A1:2008

EN 894-3: 2000+A1:2008

EN 894-4:2010

Concentration

vigilance

 

mental operations

EN 614-1:2006 +A1:2009

EN 894-4:2010

cognitive performance

EN 614-1:2006 +A1:2009

EN 614-2:2000 +A1:2009

EN 894-4:2010

Man/machinery interface

visual

EN 614-1:2006 +A1:2009

EN 614-2:2000 +A1:2009

EN 842:1996 + A1 :2008

EN 894-2: 1997+A1:2008

EN 894-3: 2000+A1:2008

EN 894-4:2010

EN 981 :1996 + A1 :2008

EN ISO 14738 :2008

 

 

auditory

EN 614-1:2006 +A1:2009

EN 894-2: 1997+A1:2008

EN 981 :1996 + A1 :2008

EN ISO 7731:2008

sensitivity (to tactile tasks)

EN 894-2: 1997+A1:2008

EN 894-3: 2000+A1:2008

Sensitivity (to temperature)

EN ISO 13732-1:2008

EN ISO 13732-3:2008

sensory

EN 614-2:2000 +A1:2009

EN 894-2: 1997+A1:2008

 

Sheet OPERATORS’ VARIABILITY:                                  Last review: 2010-02-10, edited 2015-11-11

 

BASICS:

Ergonomics deals with interactions among human and other elements of a system. Human beings, however, are different in their attributes. Some attributes are inherent and therefore normally remain constant throughout life, e.g. gender or height. Others change but cannot be influenced, e.g. age.

Furthermore, there are attributes which can be influenced considerably, e.g. experience, knowledge, technical skills.

 

EXPLANATION:

  • gender: influences body dimensions and physical attributes
  • body dimensions and build: differ with gender and age
  • age: affects physical strength, ability to move and sensory perception
  • body weight: is inherent and can be influenced by many factors
  • state of health: has genetic and social dimensions
  • physical strength and performance: is dependent on genetic disposition but also on behaviour,  training and short term variation
  • qualification, experience: determine the operator’s skills, differ with age and task

 

Work equipment is designed for and placed on the European internal market. It must be usable by men and women in workforce and by people from all European countries.

Most of the body dimensions, build and gender are inherent. Body dimensions may vary from region to region. Younger people are on average taller than older people and show different proportions and degrees of agility. Although age changes, age-related adverse effects can be partly compensated by training and/or assistive technology. Other adverse effects of age can be compensated by different strategies: Older people have more experience and higher decision-making abilities.

Physical strength can be trained, experience can be channelled to a certain extent, and qualification can be acquired. Individual performance (e.g. vigilance) and capacity will vary not only with age, but even throughout a working day.

 

Good equipment design according to basic ergonomic principles supports healthy work for all operator groups, independent of body dimensions, gender, age, cultural background and disabilities. In short: Ergonomic design is one of the best form of prevention in terms of OSH matters. For an ergonomic design EN 614-1 requires[PP13]  at least the 5th to 95th percentiles to meet the intended operator population; for safety aspects, however, the 1st and/or 99th percentiles shall be used. Body dimensions (anthropometric data) are the basis for all design processes. Most of the values (body length, arm or leg length etc.) are normally distributed according to Gauss; values for percentiles can therefore be determined easily. EN 547 provides concrete data. When determining clearance (such as leg room), 95th percentile values should be used; for reach (e.g. operator reach), 5th percentile values are correct.

Good design aims for adjustability: a working height that can be set to different positions, or chairs that can  be adjusted to suit both short and tall people etc.

In a similar manner, standards provide guidance concerning postures, body movements and physical strength. Quantitative guidance is offered by type B standards. EN 1005 parts 1 to 4 deal with manual materials handling, recommended force limits, working postures and movements, and repetitive loads of the upper limbs during machinery operation. Body strength, however, strongly differs with gender
and age.

Only few of the mentioned human attributes can be described in the form of a distribution to identify 5th and 95th percentiles. If no data is available, prototype testing will be a helpful mean where the test group is typical for the expected operator population.

The work and task design has to be considered. Try to get feed-back from the shop floor, where the machinery is used.

 

STANDARDS:
 

EN 547-1+A1 : 2008 Safety of machinery - Human body measurements - Part 1: Principles for determining the dimensions required for openings for whole body access into machinery

EN 547-2+A1 : 2008 Safety of machinery - Human body measurements - Part 2: Principles for determining the dimensions required for access openings

EN 547-3+A1 : 2008 Safety of machinery - Human body measurements - Part 3: Anthropometric data EN 614-1+A1 : 2009 Safety of machinery - Ergonomic design principles - Part 1: Terminology and general principles

EN 1005-1+A1 : 2008 Safety of machinery - Human physical performance - Part 1: Terms and definitions EN 1005-2+A1 : 2008 Safety of machinery - Human physical performance - Part 2: Manual handling of machinery and component parts of machinery

EN 1005-3+A1 : 2008 Safety of machinery - Human physical performance - Part 3: Recommended force limits for machinery operation

EN 1005-4+A1 : 2008 Safety of machinery - Human physical performance - Part 4: Evaluation of working postures and movements in relation to machinery

 

 

 

 

EXAMPLES:

 

 

 

 

 

 

 

 

N°1

Safe tools at presses must assure that – as in this case – the operator’s fingers cannot be put into the danger zones. The slot for material must be small enough that even tiny fingers cannot be inserted.

In  this  case  the  1st   to  99th   percentile  has  to  be addressed.

 

 

 

 

 

 

 

 

 

N°2

 

The manual tool exchange at a turning machine is not feasible for left-handed and right-handed people in the same good and ergonomic way. The best direction for applied force is towards the body, which in most cases is not possible for left-handed people.

Furthermore, the force needed  for well-fixed  tools must  not exceed the maximum force possible for the 5th percentile of physical strength.

 

Sheet Space of movement:                                                           Last review: 2010-02-10, edited 2011-03-04

 

BASICS:

Proper design will ensure sufficient space for all operators affected to handling the machinery (installing, operating, adjusting, maintaining, cleaning, dismantling, repairing, transporting), the equipment, raw material and products, for the intended use and any reasonably foreseeable misuse. Sufficient space of movement for workers is one of the basic principles in machinery design to prevent accidents and occupational diseases, e.g. musculoskeletal disorders or psychological stress. Appropriate body movements are indispensable to avoid physical stress and strain , support productivity and good work results. Space of movement is essential for the workplace design, whole body access and circulation and all access openings. Size and dimension of workplace design is dependent on the anthropometrical data of the staff and their work tasks.

EXPLANATION :

1     ergonomic body postures

2     avoid static postures

4     body dimensions

5     make way(provide space) for tools and component parts

  1. free access to machinery and equipment
  2. visibility
  3. circulations
  4. accesses without obstacles and enough space
  5. technical organisation of the space

 

Ergonomic design decreases physical strains and occupational accidents.

 

Low space for movement advance these risks. Workers tasks are not limited to regular function and automatic mode. Also maintenance, troubleshooting, repairing and installing machinery are essential and may imply occupational risks. Access openings may concern these risks as well as adequate workplace design. Working postures as sitting, standing, trunk bending, kneeling and tasks with arms above shoulder height can be critical if posture is static for longer periods. Working posture is dependent on body dimensions and therefore machinery should be designed with respect to expected user population and ideally adjustable in its dimensions.

STANDARDS:

EN 547-1+A1 : 2008 Safety of machinery - Human body measurements - Part 1: Principles for determining the dimensions required for openings for whole body access into machinery

EN 547-2+A1 : 2008 Safety of machinery - Human body measurements - Part 2: Principles for determining the dimensions required for access openings

EN 547-3+A1 : 2008 Safety of machinery - Human body measurements - Part 3: Anthropometric data

EN 614-1+A1 : 2009 Safety of machinery - Ergonomic design principles - Part 1: Terminology and general principles ; chapter 4.3.4

EN 1005-4+A1 : 2008 Safety of machinery - Human physical performance - Part 4: Evaluation of working postures and movements in relation to machinery

EN   1005-5 : 2007 Safety of machinery - Human physical performance - Part 5: Risk assessment for repetitive handling at high frequency

EN ISO 14738 : 2008 Safety of machinery - Anthropometric requirements for the design of workstations at machinery (ISO 14738:2002, including Cor 1:2003 and Cor 2:2005)

 

 

 

Sheet WORK RATE:                                                           final version: 2011-02-16, edited 2011-03-04

 

BASICS:

The WORK RATE is a flow that describes the number of pieces per time unit measured at one operator’s working station. When non adjustable by the operator(s), the work rate imposed by the machine could cause problems.

The designer should also consider two other WORK RATES in order to assess the total work rate:

  1. The MENTAL work rate which refers to the number and the complexity of the mental operations to perform.
  2. The SENSORIAL work rate that is present when one or several sensory systems are involved in repetitive demands in order to execute visual, acoustic or haptic (sense of touch) requiring tasks. E.g. perception (sensorial task) of / responses from signals, controls, forms and surfaces, pressure, dosage of acceleration, etc. assessed in order to understand and take a decision.

 

EXPLANATION:

„The individual should be allowed full control of his work rate. During machine operation, the operator should be able to activate and deactivate the machinery at any instant“ (EN 1005-3).

 

The work rate is perceived by the operator as a work demand. Each simple work demand added to the other ones, of different nature, result into the total workload put on the worker. The work rate is often multidimensional: seldom of a single nature, combining physical, mental and/or sensorial dimensions. This combination can result in a balanced work rate or an imbalanced one: when it is balanced, it is then perceived by the worker as an acceptable demand.

 

A negative perception can effectively be avoided, if each operator has the possibility to adapt the work rate to its own perception and, even, to his/her varying abilities and feelings under a working shift.

Letting a machinery impose its rate to an operator is a common mistake that often brings lots of consequences for the human being and for the company.

 

Each single component of the work rates is easily measurable, the final work rate is sometimes more complex when it results of the three combined work rates. The work rates are a part of the different job demands put on the worker. When these demands are perceived as too high they will provoke at the operator’s level negative reactions such as physical or psychological; they will then impact the production.

 

The most common complaints when the work rate is too high and/or not controllable by the operator and if recovery periods are absent or too rare, are (1) neck-shoulder and arm-hand pain, (2) low back pain, (3) pain in lower limbs, (4) psychological distress associated to low back pain and/or neck and shoulder pain when higher demands, lower job control and poor social support are combined.

Such disorders and complaints can effectively be minimized by design if special attention is paid from the earliest designing stage to ergonomics: in the daily practice, this means leaving to the operator higher degrees of choices and of freedom in order to adjust personally the system for rate or pace, range of motion, posture, height, reaching distance, starting and stopping easily the machine when needed, etc. and by avoiding systematically to load the operator with demands that could be done mechanically or electronically.

 

Even organisational consequences of a too high work rate can be effectively reduced through ergonomics’ principles application at the earliest designing stage.

 

 

[PP14] 

 

Sheet CONCENTRATION
                                                                                                            
Last review: 2011-04-14

BASICS:

If the ergonomic factor concentration is not taken into account by machinery designers the risk of unintended behaviour of the operator or reasonably foreseeable misuse of the machine occurs (see also EN ISO 12100:2010[PP15] , clause 5.3 (c)). In this sheet it will be assumed that the term vigilance corresponds to a sustained concentration ability.

 

If machinery design involves tasks requiring heavy workload, lengthy or intense concentration/sustained attention, the effect on the operator can be monotony and reduced vigilance. Both an overload and an underload affecting concentration can lead to mental fatigue, monotony and reduced vigilance. Lighting, climate, noise, odours are other factors affecting concentration.

These two fatigue-like states are key contributing factors to human error and increase the risk of incidents and accidents.

 

Concentration has strong connections with work rate, fatigue and man-machine interface: related sheets should be read conjointly.

 

EXPLANATION:

An optimal level of concentration can be achieved by:

  1. Varying the tasks. It includes job enrichment and job enlargement achieved by means of :
    1. Alternating physically-demanding tasks with perceptually demanding tasks;
    2. Alternating long-cycle tasks with shorter cycles ones;
    3. Providing for frequent changes of posture, at least once per hour;

 

  1. Make  the  job easier  to do.  For  operators  inspecting  or  monitoring  machines  this  includes making easier the detection of a defect or changed machine status by means of:
    1. Increasing the intensity (colour, shape, marking) of the defect;
    2. Provide redundancy in alarms so that more than one sense is involved;

 

Research evidence:

  1. Vigilance decreases the longer the period of supervisory duty (the decline begins to be evident after the first 30 minutes);
  2. Observational performance increases if the signals are more frequent, stronger, more distinct in shape or contrast, and the operator is informed about his/her own performance.

 

Excessive heat, humidity, poor ventilation, noise, odours and poor operator comfort (no attention to the location of tools, buttons etc) also contribute to losses of concentration.

 

Today’s work with machines tend to require less physical body movement and more cognitive attention and concentration. In particular, when the output, rate and speed of a task is controlled by a machine, the worker is subject to intense concentration.

 

Moreover, running a production machine can require the operator to do several tasks in the same time period, such as loading supplies and removing the product and inspecting it. This need to accomplish several tasks simultaneously requires concentrated mental effort from the operator and often results in the machine controlling the operator. This stress and the time pressure stress are significant contributors to overall job demands.

Among the design factors relating to machines, operability plays a major role. Operability includes the information load factor, that designers need to take into account in order to avoid overloading or under loading the capacity to receive and process information.

 

System monitoring with either rare or no response requirements
 

The more effort (e.g. processing capacity) the operator expends on the task, the less capacity remains available for other tasks or circumstances that may demand attention.

 

The following key points relate to attention and vigilance:

 

  1. Attention  is  a  fundamental  cognitive  process  that  is  important  to  higher  level  cognitive processes
  2. Vigilance requires attention and describes an individual’s state of alertness, watchfulness and preparedness to attend to critical information that is not yet present
  3. Attention and vigilance are not constant and may be impacted by environmental factors such as noise and temperature.
  4. Task factors such as frequency of signals can affect performance on attention and vigilance tasks. Research shows that
    1. Low number of critical signals significantly reduces performance (expressed in reaction time) during a vigilance task.
    2. More non-critical signals per minute results in greater distraction and greater difficulty in identifying critical signals

 

STANDARDS

The machinery designers will find guidelines on how to take into account concentration by means of a coordinated analysis of three harmonised standards:

 

EN ISO 10075-1 Ergonomic principles related to mental work-load - Part 1: General terms and definitions identifies sustained attention as one of the task requirements considered as contributory factor to mental stress.

 

EN 894-1:1997+A1:2008 Safety of machinery - Ergonomics requirements for the design of displays and control actuators - Part 1: General principles for human interactions with displays and control actuators puts monotony and reduced vigilance in the context of the broader subject of human information processing. Recommendations are given to designers to consider if the planned allocation of a particular function in a man-machine system is in accordance with human capabilities, especially in order to avoid overloading the attentional resources of the operator. EN 894-1 is precise in warning that simple and repetitive/monotonous tasks, and tasks that demand continuous attention (like prolonged routine monitoring) have the potential to affect performance in terms of slower reaction times and missed information.

 

ISO 10075-2:1996 Ergonomic principles related to mental workload - Part 2: Design principles provides detailed guidelines on how machinery designers can  avoid  problems with  monotony and  reduced vigilance.

 

 

Zone de Texte:

 

 

1.1.7           Operating positions

The operating position must be designed and constructed in such a way as to avoid any risk due to exhaust gases and/or lack of oxygen.

If the machinery is intended to be used in a hazardous environment presenting risks to the health and safety of the operator or if the machinery itself gives rise to a hazardous environment, adequate means must be provided to ensure that the operator has good working conditions and is protected against any foreseeable hazards.

Where appropriate, the operating position must be fitted with an adequate cabin designed, constructed and/or equipped to fulfil the above requirements. The exit must allow rapid evacuation. Moreover, when applicable, an emergency exit must be provided in a direction which is different from the usual exit.

§182   Operating positions in hazardous environments

Operating positions are the places on or at the machinery where operators, as defined in section 1.1.1 (d), carry out their tasks. The manufacturer’s instructions must describe the workstation(s) likely to be occupied by operators – see §262: comments on section 1.7.4.2 (f).

The requirement set out in the first paragraph of section 1.1.7 applies mainly to machinery with internal combustion engines. This requirement implies, firstly, that the emission of hazardous exhaust gases must be reduced as far as possible. For example, in the case of machinery designed to be used in enclosed spaces, appropriate systems for the extraction or filtering of exhaust gases must be fitted. Secondly, where there remains a risk of exposure to hazardous exhaust gases, means must be provided to ensure that operators do not inhale such gases and are provided with an adequate supply of breathable air.

The second paragraph of section 1.1.7 is more general and requires operators to be protected against any risks due to the foreseeable use of the machinery in a hazardous environment. Such risks may include, for example, exposure to hot and cold atmospheres, to risks due to noise, radiation, humidity, adverse weather conditions or atmospheres polluted by hazardous substances. The manufacturer must therefore take account of the intended and foreseeable conditions of use of the machinery. For example, if the machinery is placed on the market in a country with a mild climate, it might not be necessary to provide protection against extremely cold weather, whereas protection against dust or heat might be needed. Special consideration needs to be given to machinery that generates hazardous substances, such as dust, fume or toxic aerosols, by its very operation; examples are machinery for rock crushing and screening, machinery for grain handling, agricultural spray machinery and paint spray booths

The third paragraph of section 1.1.7 refers to one of the means that can be used to ensure that operating positions are protected. ‘Cabin’ in this paragraph is a generic term for an enclosed operating position such as, for example, a cab on mobile machinery or an enclosed control panel on fixed industrial machinery. In order to fulfil the requirements set out in the first two paragraphs of section 1.1.7, the cabin or enclosure must be provided with the necessary means of purifying and conditioning the air entering the enclosure and preventing inward leaks, for example, by maintaining a positive pressure differential with the outside atmosphere As well as ensuring protection against hazardous environments, such enclosures can also be designed and constructed to protect operators against exposure to noise emissions – see §229: comments on section 1.5.8. On some mobile machinery, the cab may include a structure to protect against the risk of rolling or tipping over or the risk due to falling objects or both – see §315 and §316: comments on sections 3.4.3 and 3.4.4.

1.1.8           Seating

Where appropriate and where the working conditions so permit, work stations constituting an integral part of the machinery must be designed for the installation of seats.

If the operator is intended to sit during operation and the operating position is an integral part of the machinery, the seat must be provided with the machinery.

The operator's seat must enable him to maintain a stable position. Furthermore, the seat and its distance from the control devices must be capable of being adapted to the operator.

If the machinery is subject to vibrations, the seat must be designed and constructed in such a way as to reduce the vibrations transmitted to the operator to the lowest level that is reasonably possible. The seat mountings must withstand all stresses to which they can be subjected. Where there is no floor beneath the feet of the operator, footrests covered with a slip-resistant material must be provided.

§183   Seating and the provision of seats

The requirement set out in section 1.1.8 deals with a specific aspect of the interface between the operator and the machinery that can be a source both of discomfort, fatigue and damage to health if badly designed – see §181: comments on section 1.1.6.

The first paragraph of section 1.1.8 requires machinery to be designed to enable seats to be installed, ‘where appropriate and where the working conditions so permit’. Machinery manufacturers must therefore consider whether operators are likely to be more comfortable and to carry out all or part of their tasks more easily and efficiently when seated.[12] Where this is the case, the work station, in other words, the place at the machinery where the operators are to be seated, must be designed so that the necessary seats can be installed. This implies paying attention, in particular, to the height of the work surfaces, to the location and design of the control devices and the other parts of the machinery to which the operators must have access and to the space provided for the seat itself and for the operators upper and lower limbs.

The second paragraph of section 1.1.8 is applicable when the operator is intended to sit during operation and the operating position is an integral part of the machinery, in other words, when the operator's seat is not to be installed on the floor next to the machinery but on part of the machinery itself. In that case, the seat must be provided with the machinery.

The second and third paragraphs of section 1.1.8 set out requirements for the seat. The seat must be designed to enable the operator to maintain a stable position taking account of the foreseeable conditions of use including, in particular, foreseeable movements of the machinery.

The relevant parameters of the seat itself such as the height, width, depth and angle of the seat, the position of the backrest and, where appropriate, the position of the arm and footrests, must be adjustable to take account of the variability of operators’ physical dimensions. The position of the seat relative to the position of the control devices, including foot-pedals, to be used by the operator must also be adjustable. This can be achieved by allowing for adjustment of the position of the seat, of the control devices or both.[13]

For machinery where the seated operator may be exposed to vibration due to the functioning of the machinery itself or due to the movement of the machinery on uneven ground, the provision of a seat with an appropriate damped suspension system is one way to reduce the risk of exposure of seated operators to whole body vibration – see §231: comments on section 1.5.9.[14]

1.2              CONTROL SYSTEMS

1.2.1           Safety and reliability of control systems

Control systems must be designed and constructed in such a way as to prevent hazardous situations from arising. Above all, they must be designed and constructed in such a way that:

  • they can withstand the intended operating stresses and external influences,
  • a fault in the hardware or the software of the control system does not lead to hazardous situations,
  • errors in the control system logic do not lead to hazardous situations,
  • reasonably foreseeable human error during operation does not lead to hazardous situations.

Particular attention must be given to the following points:

  • the machinery must not start unexpectedly,
  • the parameters of the machinery must not change in an uncontrolled way, where such change may lead to hazardous situations,
  • the machinery must not be prevented from stopping if the stop command has already been given,
  • no moving part of the machinery or piece held by the machinery must fall or be ejected,
  • automatic or manual stopping of the moving parts, whatever they may be, must be unimpeded,
  • the protective devices must remain fully effective or give a stop command,
  • the safety-related parts of the control system must apply in a coherent way to the whole of an assembly of machinery and/or partly completed machinery.

For cable-less control, an automatic stop must be activated when correct control signals are not received, including loss of communication.

§184   Safety and reliability of control systems

The control system of machinery is the system which responds to input signals from parts of the machinery, from operators, from external control equipment or any combination of these and generates corresponding output signals to the machinery actuators, causing the machine to perform in the intended manner. Control systems can use different technologies or combinations of technologies such as, for example, mechanical, hydraulic, pneumatic, electric, or electronic technologies. The use of electronic control systems that are programmable have and are now much more common since the Directive came into force

The design and construction of the control system in order to ensure safe and reliable functioning of the machinery are key factors in ensuring the safety of the machinery as a whole. Operators must be able to ensure that the machinery functions safely and as expected at all times.

The requirements set out in section 1.2.1 apply to all parts of the control system that, in the event of a fault or a failure, can lead to hazards due to unintended or unexpected behaviour of the machinery. They are of particular importance for the design and construction of the parts of the control system related to safety functions such as, for example, the parts of the control system related to interlocking and guard-locking devices for guards, to protective devices or to emergency stop controls, since a failure of safety related parts of the control system is liable to give rise to a hazardous situation when the corresponding safety function is next required to operate. Certain safety functions may also be operational functions, such as, for example, a two-hand start control device.

The first paragraph of section 1.2.1 and its 4 indents set out the basic requirements for the reliability and safety of control systems. The second paragraph of section 1.2.1 and its 7 indents describe the main hazardous events and situations that must be avoided.

According to the first indent of the first paragraph of section 1.2.1, control systems must be able to withstand intended operating stresses and external influences, taking into account foreseeable abnormal situations – see §160: comments on General Principle 2, and §175: comments on section 1.1.2 (c). The control system must thus be able to withstand the mechanical effects generated by operation of the machinery itself or by its environment such as, for example, shocks, vibrations, and abrasion. Control systems must be able to withstand the effects of the internal and external conditions under which the machinery is intended to function such as, for example, humidity, extreme temperatures, corrosive atmospheres and dust. The correct functioning of control systems must not be affected by electromagnetic radiation, whether generated by parts of the machinery itself or by external elements in the conditions in which the machinery is intended to be used – see §233: comments on section 1.5.11.

The second and third indents of the first paragraph of section 1.2.1 deal with the behaviour of the control system in case of a fault or error in the hardware or software. These requirements take account of the possibility of faults occurring in the control system due, for example, to the failure of a mechanical, hydraulic, pneumatic or electrical component or to an error in the software of a programmable system. Control systems must be designed and constructed so that, if such faults or errors occur, they do not lead to hazardous situations such as those described in the second paragraph of section 1.2.1 – see also §205: comments on section 1.2.6.

The hazardous functions of the machinery can be brought under control, for example, by stopping the function, removing power from the function or preventing the hazardous action of the function. If the relevant functions of the machinery are able to continue despite the occurrence of a fault or a failure, for example, by means of a redundant architecture, there must be a means of detecting the fault or failure so that the necessary action can be taken to achieve or maintain a safe state.

The means to be used to fulfil this requirement depend on the type of control system, on the part of the control system concerned and on the risks that could arise in case of its failure.

The concepts that can be used include:

  • The exclusion or reduction of the probability of faults or failures which may affect the safety function by recourse to particularly reliable components and by applying well-tried safety principles, such as, for example, the principle of the positive mechanical action of a component on another component;
  • The use of standard components with a check on the safety functions at suitable intervals by the control system;
  • The redundancy of parts of the control system such that a single fault or failure does not lead to the loss of the safety function. Technical diversity of the redundant elements can be used to avoid common cause failures;
  • Automatic monitoring to ensure that faults or failures are detected and that the necessary protective measures are initiated to prevent the risk concerned. The protective measures may include the stopping of the hazardous process, preventing the re-start of this process or the triggering of an alarm.

These concepts can be applied in different combinations.

The level of performance required for a given safety related part of the control system depends on the level of the risk for which the safety function is intended and is to be determined on the basis of the manufacturer's risk assessment. C-type standards for particular categories of machinery provide guidance on the level of performance required for the different safety related parts of the control system.

The achievement of the required level of performance for safety related parts of control systems must be validated, taking account both of the hardware and software aspects of such systems.

Specifications for the design of safety-related parts of control systems are given in standards EN ISO 13849-1[PP16] [15] and standard EN 62061.[16]

The fourth indent of the first paragraph of section 1.2.1 deals with reasonably foreseeable human error during operation. In order to satisfy this requirement, control systems must, as far as possible, be designed with error tolerance. This involves measures such as the detection of errors and providing appropriate feedback to the operator to facilitate the correction of errors.

General principles for human interaction with machinery to minimise operator errors are given in standard EN 894-1.[17]

The third paragraph of section 1.2.1 covers a particular hazard associated with cable-less control systems, such as, for example, remote control systems using radio, optical or sonar signals: incorrect signals or loss of communication between the control devices and the machinery to be controlled. It should be noted that section 3.3 provides supplementary requirements for remote control systems for mobile machinery.

1.2.2           Control devices

. . .

§185   Control devices

Control devices are parts of the control system which detect input signals given by the operators, usually by means of hand or foot pressure. There are many different kinds of control devices including, for example, push-buttons, levers, switches, knobs, sliders, joy-sticks, hand wheels, pedals, keyboards and tactile screens. Control devices may be located on the machinery itself or, in the case of remote controls, may be located at a distance from the machinery and be linked to the machinery, for example, by means of wires, or by means of radio, optical or sonar signals.

Application of the requirements set out in section 1.2.2 requires particular attention to ergonomic principles, since control devices are at the interface between the machinery and the operators – see §181: comments on section 1.1.6.

Specifications relating to the requirements set out in the following paragraphs of section 1.2.2 are given in the standards of the EN 894 series[18] and the standards of the EN 61310 series.[19][PP17] 

In addition to the general requirements for control devices set out in section 1.2.2, the following sections of Annex I provide supplementary requirements for control devices for certain categories of machinery or for certain risks:

  • portable hand-held and/or hand-guided machinery - sections 2.2.1 and 2.2.2.1;
  • mobility of machinery - section 3.3;
  • lifting operations – section 4.2.1;
  • machinery for underground work - section 5.3;
  • machinery for lifting persons - sections 6.2 and 6.4.2.

1.2.2           Control devices (continued)

. . .

Control devices must be:

  • clearly visible and identifiable, using pictograms where appropriate,

. . .

§186   Identification of control devices

The first indent of section 1.2.2 on the visibility and clear identification of control devices, aims to enable operators to use the devices without hesitation and avoid unintended commands due to operators confusing one control device with another. Since operators are often liable to perform different tasks and use several different machines in the course of their activity, it is important for manufacturers to identify control devices using, as far as possible, standardised colours, shapes and pictograms so that operators are not surprised when they change tasks or move from one machine to another. If the function of a control device is obvious from its standard shape and location such as, for example, a steering wheel or handlebars on mobile machinery, additional means of identification are not required.

If the controls are identified by means of written or verbal information, this information is subject to the language requirements relating to information and warnings on the machinery – see §245: comments on section 1.7.1.

1.2.2           Control devices (continued)

. . .

  • positioned in such a way as to be safely operated without hesitation or loss of time and without ambiguity,

. . .

§187   Positioning of control devices

The second indent of section 1.2.2 requires manufacturers to take account of ergonomic principles when positioning control devices on the machinery, to ensure that the devices are clearly visible to operators and that they can be reached and used efficiently and safely, without the need to adopt awkward postures.

The positioning of the control devices must take account of the tasks to be carried out by the operators and of the corresponding operating modes, of the position and characteristics of work stations or operating positions, of whether operators are likely to be standing or seated and of the need for operators to observe certain parts of the machinery while using the control devices.

The layout of control devices should also take account of the position of the parts of the machinery affected by its use, following commonly accepted conventions. For example, a device controlling parts of the machinery to the right of the operator should be positioned on the right of the operating position; a device controlling an upward movement should be positioned above a button controlling a downward movement and so on.

Where control devices have to be operated in a given sequence, they should be arranged in that sequence. Devices controlling related functions should be grouped together and devices controlling unrelated functions should be clearly separated.

The control devices that are likely to be used most frequently or that need to be used continuously should be positioned within the central area of the operator's field of vision and within the immediate reach envelope where they can be reached without bending. Where necessary, this may require the provision of means of adjusting the position of the control devices to accommodate the variation of the body dimensions of operators.

 

1.2.2           Control devices (continued)

. . .

  • designed in such a way that the movement of the control device is consistent with its effect,

. . .

§188   Movement of control devices

The requirement set out in the third indent of section 1.2.2 deals with two principles for the design of control devices which are to ensure conformity with the expectations of users and to comply with common practice in order to avoid hazardous situations and errors. The requirement applies to the movements of control devices such as, for example, levers or hand wheels.

Wherever possible, the direction of movement of such devices should be consistent with the direction of the movement controlled by their use. In the case of control devices controlling other parameters, the direction of movement of the device should correspond to commonly accepted conventions such as, for example, the convention that turning a device clockwise increases the value of the parameter concerned and turning the device anti-clockwise reduces it.

Particular attention should be given to the design of control devices in machinery where the operating position is able to rotate with respect to the rest of the machinery, with the result that the direction of certain movements controlled by the control devices is inverted.

1.2.2           Control devices (continued)

. . .

  • located outside the danger zones, except where necessary for certain control devices such as an emergency stop or a teach pendant,
  • positioned in such a way that their operation cannot cause additional risk,

. . .

§189   Location of and positioning of control devices

The location and positioning of control devices outside the danger zones, required by the fourth and fifth indents of section 1.2.2, is one of the ways of avoiding the exposure of operators to hazards – see §165: comments on section 1.1.1 (b). This requirement must be applied taking account not only of areas where there is a risk of direct contact with hazardous elements of the machinery but also of areas where there may be risks due to ejected objects or emissions from the machinery. Ways to fulfil these requirements include, for example, locating the control devices at a sufficient distance from moving parts – see §212: comments on section 1.3.7 – or locating control devices behind a screen or inside an adequate cabin – see §182: comments on section 1.1.7.

Where it is necessary to derogate from this general rule, for example, in cases where control devices have to be provided within a danger zone for setting or maintenance purposes, the requirement set out in the fourth indent can be fulfilled by providing a setting or maintenance mode, the selection of which triggers particular protective measures such as, for example, low speed and/or incremental movement - see §204: comments on section 1.2.5. The provision of emergency stop devices within danger zones is also an exception to the general rule – see §202: comments on section 1.2.4.3.

1.2.2           Control devices (continued)

. . .

  • designed or protected in such a way that the desired effect, where a hazard is involved, can only be achieved by a deliberate action,

. . .

§190   Preventing inadvertent operation of control devices

The requirement set out in the sixth indent of section 1.2.2 aims to avoid inadvertent operation of control devices. Inadvertent operation can result from various causes, such as, for example, accidental contact between a part of the operator's body or of his or her clothing and a control device, unintentional operation of two adjacent control devices (for example, pushing two buttons or levers with one hand or two pedals with one foot), a control device being caught on an obstacle in the environment of the machinery or use of a control device as a hand hold for access to the operating position – see §317: comments on section 3.4.5.

Such risks must be assessed for the different phases of the foreseeable lifetime of the machinery, taking account of the operators' tasks and the corresponding operation modes, and must be prevented by appropriate design measures. Such measures include, for example:

  • designing the control devices with sufficient resistance to avoid inadvertent operation by slight pressure;
  • positioning the control devices in a recess or surrounding them with a collar;
  • positioning and/or guarding control devices, to prevent contact with parts of the operator's body or clothing and to prevent them from being caught on obstacles in the environment of the machinery;
  • fitting control devices the operation of which requires two independent actions;
  • fitting control devices with a lock.

Where there is a risk from an operator falling onto or being pressed against the controls then means to prevent dangerous movement of the machine should be taken. A number of fatal accidents have occurred with a variety of machinery such as MEWPs; loader cranes; interchangeable digging equipment. If such a risk cannot be eliminated by the controls location and mode of operation then other means must be taken such as designing the controls with a trip feature when excessive pressure is used or fitting other trip devices.

  •  

1.2.2           Control devices (continued)

. . .

  • made in such a way as to withstand foreseeable forces; particular attention must be paid to emergency stop devices liable to be subjected to considerable forces.

. . .

§191   Strength of control devices

The requirement set out in the seventh indent of section 1.2.2 concerns the mechanical strength of control devices. Breakage of control devices can result in a hazardous situation due to the inability to control the function concerned. Such a breakage can also itself result in injury.

In applying this requirement, the foreseeable conditions of use during the different phases of the foreseeable lifetime of the machinery and the different tasks and operating modes involved must be taken into account – see §207: comments on section 1.3.2. This is particularly important for emergency stop devices which have to be operated rapidly and are often designed to be hit – see §202: comments on section 1.2.4.3.

1.2.2           Control devices (continued)

. . .

Where a control device is designed and constructed to perform several different actions, namely where there is no one-to-one correspondence, the action to be performed must be clearly displayed and subject to confirmation, where necessary.

. . .

§192   Control devices to perform different actions

The requirement set out in the second paragraph of section 1.2.2 applies where a single control device is able to control several different functions.

For example, certain control devices may perform different actions depending on the operating or control mode selected. Control devices may perform different actions depending on the interchangeable equipment fitted to the machinery. Certain joy-stick type control devices can control different actions by means of fore and aft movements, side to side movements and twisting movements, and the effects of the different movements of the joy-stick can be varied using top buttons or trigger switches incorporated in the device.

Use of such control devices can facilitate the control of certain categories of machinery by reducing the number and amplitude of the necessary hand and arm movements. However, it is particularly important when designing such devices to ensure that the effects of the various movements of the device are clearly identified and that the devices are designed to avoid confusion between the different actions that can be performed. Where necessary to avoid confusion, two separate actions must be necessary to control a given function.

The requirement set out in the second paragraph of section 1.2.2 also applies to so-called numerically controlled machinery or machinery with a programmable electronic control system, where the input signals are given by means of a keyboard or tactile screen. One way to avoid errors is for the software to indicate the action to be performed and require confirmation by the operator before the output signal is sent to the machinery actuators.

1.2.2           Control devices (continued)

. . .

Control devices must be so arranged that their layout, travel and resistance to operation are compatible with the action to be performed, taking account of ergonomic principles.

. . .

§193   Control devices and ergonomic principles

The requirement set out in the third paragraph of section 1.2.2 implies that the characteristics of control devices must take account of the various parameters of the operators' tasks, including, for example:

  • the accuracy required in positioning the control device;
  • the speed of setting required;
  • the force required to operate the device.

Attention must be paid to the visibility of the control devices and to the ability of operators to reach and use them efficiently and safely in all task situations and operating modes, without having to adopt awkward postures. The layout of control devices, the travel distance of the moving parts of the devices and the force required to operate the devices must take account of the nature of the action to be performed, of the functional anatomy of the human hand or foot and the body dimensions of the operator population. In the case of control devices used frequently or continuously, the design of the devices must avoid repetitive movements involving awkward postures or excessive hand span that may contribute to musculoskeletal disorders.

Where hold-to-run control devices are required, they must be designed to reduce the constraints for operators as far as possible – see §301: comments on section 3.3.1, §353: comments on section 4.2.1, and §371: comments on section 6.2.

The space between control devices must be sufficient to reduce the risk of unintentional operation, without thereby demanding unnecessary movements. Particular attention should be given to whether operators are likely to use PPE such as protective gloves or protective footwear – see §176: comments on section 1.1.2 (d).

The arrangement and layout of control devices must also take account of human capacities for information processing, with respect to attention, perception and cognition.

1.2.2           Control devices (continued)

. . .

Machinery must be fitted with indicators as required for safe operation. The operator must be able to read them from the control position.

. . .

§194   Indicators and displays

The requirement set out in the fourth paragraph of section 1.2.2 requires machinery to be fitted with the necessary indicators to enable operators to carry out their various tasks. These include, for example, indicators to inform operators on the value of the relevant parameters of the machinery (such as, for example, the speed, load, temperature or pressure of parts of the machinery) and on the effects of their action on the control devices, when this is not obvious.

Indicators may also provide warnings to operators when the relevant parameters exceed the safe range of values. Such indicators may be associated with limiting devices that trigger certain actions when safe parameters are exceeded. The indicators may also be used in combination with a specific mode of operation such as low speed or incremental operation.

Commonly used indicators include digital displays and screens, analogical displays such as dials and gauges, as well as tactile and auditory indicators. Indicators can be an integral part of the control devices themselves or independent. If they are independent, they must be designed and positioned so that they can be easily read and understood by the operators from the control position when using the related control devices. In particular, indicators must be designed to facilitate the rapid detection of abnormal behaviour of the machinery.

Indicators and displays are subject to the requirements set out in sections 1.7.1, 1.7.1.1, and 1.7.1.2 relating to information and warnings on the machinery, information devices and warning devices. In particular, any written or verbal information provided by indicators or displays is subject to the language requirements set out in section 1.7.1 – see §245 to §248: comments on sections 1.7.1, 1.7.1.1 and 1.7.1.2.

1.2.2           Control devices (continued)

. . .

From each control position, the operator must be able to ensure that no-one is in the danger zones, or the control system must be designed and constructed in such a way that starting is prevented while someone is in the danger zone.

If neither of these possibilities is applicable, before the machinery starts, an acoustic and/or visual warning signal must be given. The exposed persons must have time to leave the danger zone or prevent the machinery starting up.

. . .

§195   Visibility of danger zones during starting

In accordance with section 1.1.2 (b), the first measure should be the elimination or reduction of the risk, for example, by designing the machinery so that persons do not need to enter the danger zones of the machinery – see §239: comments on section 1.6.1 – or by fitting guards and/or protective devices to detect the presence of persons in the danger zone and prevent starting as long as persons are present. But such measures are not always possible.

If there is a risk that persons may enter the danger zones, the requirement set out in the fifth and sixth paragraphs of section 1.2.2 aim to enable the operator to ensure that no-one is in the danger zones of the machinery before starting the machinery. The persons concerned may be other production operators or other exposed persons such as maintenance operators. In the case of danger zones in the environment of the machinery, the possible exposed persons may include bystanders – see §165: comments on section 1.1.1 (b).

If it is not possible to design the machinery so that the operator controlling the start of the machinery has adequate direct vision of the danger zones from the control position, indirect vision aids can be provided, such as, for example, mirrors or closed circuit television (CCTV).

In this respect, it should be noted that supplementary requirements relating to visibility from the driving position of mobile machinery are set out in section 3.2.1.

Where it is not possible to ensure effective direct or indirect visibility of the danger zones from the control positions, for example due to the extent of the danger zone for example on  a long field conveyor, the starting of the machinery must be preceded by an acoustic or visual warning signal (or both) with sufficient time between the warning signal and the start or movement of the machinery to allow any exposed persons to leave the danger zones or, if that is not possible, exposed persons must have means to prevent the machinery from starting, such as, for example, an emergency stop control in the danger zone – see §202: comments on section 1.2.4.3.

Specifications for acoustic and visual warning signals are given in standard EN 981.[20][PP18] 

When maintenance operations may be carried out in danger zones of machinery, specific means must be provided for preventing the unexpected start of the machinery or parts of the machinery – see §241: comments on section 1.6.3.

1.2.2           Control devices (continued)

. . .

If necessary, means must be provided to ensure that the machinery can be controlled only from control positions located in one or more predetermined zones or locations.

. . .

§196   Location of control positions

The requirement set out in the seventh paragraph of section 1.2.2 aims to ensure that the position from which the operator controls the operation of the machinery is outside the danger zones of the machinery and located, as far as possible, so that the operator can ensure that other persons are not exposed to risks.

Particular attention should be given to this requirement when considering the use of moveable control devices such as pendant controls or remote controls. The risk assessment must take account of the risk that the operator may control the machinery from a hazardous position, such as, for example, a zone where there is a risk of being crushed or hit by falling or ejected objects.

1.2.2           Control devices (continued)

. . .

Where there is more than one control position, the control system must be designed in such a way that the use of one of them precludes the use of the others, except for stop controls and emergency stops.

. . .

§197   Multiple control positions

The requirements set out in the eighth paragraph of section 1.2.2 concerns machinery provided with two or more control positions intended to be used in turn, either by a single operator or by two or more operators, to carry out different tasks or control the machinery during different phases of its operation. In order to avoid confusion or contradictory commands, the control devices at each control position must be linked to the control system in such a way that the use of one control position precludes the use of the others, except for stop controls and emergency stops.

1.2.2           Control devices (continued)

. . .

When machinery has two or more operating positions, each position must be provided with all the required control devices without the operators hindering or putting each other into a hazardous situation.

§198   Multiple operating positions

The last paragraph of section 1.2.2 applies to machinery provided with two or more operating positions that can be used simultaneously. This is typically the case for assemblies of machinery where different constituent units of the assembly have their own operating position – see §38: comments on the fourth indent of Article 2 (a). The overall control system of such an assembly and the attribution of control functions to the different operating positions must be designed so that commands given at one operating position do not hinder or create a hazardous situation for operators at other operating positions. Particular precautions must be taken if the operation of one element of the assembly automatically starts the operation of another element – see §199: comments on section 1.2.3.

1.2.3           Starting

It must be possible to start machinery only by voluntary actuation of a control device provided for the purpose.

The same requirement applies:

  • when restarting the machinery after a stoppage, whatever the cause,
  • when effecting a significant change in the operating conditions.

However, the restarting of the machinery or a change in operating conditions may be effected by voluntary actuation of a device other than the control device provided for the purpose, on condition that this does not lead to a hazardous situation.

For machinery functioning in automatic mode, the starting of the machinery, restarting after a stoppage, or a change in operating conditions may be possible without intervention, provided this does not lead to a hazardous situation.

Where machinery has several starting control devices and the operators can therefore put each other in danger, additional devices must be fitted to rule out such risks. If safety requires that starting and/or stopping must be performed in a specific sequence, there must be devices which ensure that these operations are performed in the correct order.

§199   Control of starting

The requirements set out in section 1.2.3 aim to prevent unintended or unexpected starting, which are common causes of serious accidents involving machinery.

The basic requirement set out in the first paragraph of section 1.2.3 is that machinery shall only start when the operator gives a start command by using a specific start control device. This requirement applies to the initial start of machinery at the beginning of a period of operation.

According to the second paragraph of section 1.2.3, this basic requirement also applies when restarting the machinery after a stoppage or when effecting a significant change in the operating conditions such as, for example, the adjustment of the speed of the machinery.

Thus, for example, as a general rule, starting must not be initiated by the closing of an interlocking moveable guard, by the release of a stop control or by the release of an emergency stop control – see §200 to §202: comments on section 1.2.4.

However, according to the third paragraph of section 1.2.3, the requirement for a specific start or restart control device does not apply to restarting or changing the operating conditions if the use of another device than the specific start control device does not lead to a hazardous situation.

Thus, for example, it is exceptionally possible to control the initiation of certain functions of machinery by the closure of an interlocked guard (control guard) or by the withdrawal of a person or the detected part of a person from the sensing field of a protective device. This feature can be useful for ergonomic reasons, in order to avoid the need for repeated action on the start control device on machinery with a short work cycle. However these exceptional solutions can only be applied if the machinery is designed and constructed with adequate compensatory protective measures to prevent the risk of unintended or unexpected starting.

Specifications for the exceptional recourse to control guards or of protective devices used for cycle initiation are given in standard EN ISO 12100.[21][PP19] 

The fourth paragraph of section 1.2.3 permits a second exception to the general rule set out in the first paragraph, in cases where the starting of the machinery, the restarting after a stoppage or after a change in operating conditions is triggered automatically, provided that this does not lead to a hazardous situation. This requirement implies that automatic starting and restarting must be possible only when the necessary means to protect persons against the risks associated with the automatically controlled functions are in place and operating correctly.

The requirements set out in the fifth paragraph of section 1.2.3 are supplementary to the requirements set out in the eighth and ninth paragraphs of section 1.2.2.

Machinery may be fitted with several start control devices because it is provided with several control positions intended to be used at different times or for different tasks. In such cases, the control system must be designed to ensure that only one start control can be used at a time, in accordance with the eighth paragraph of section 1.2.2.

Several start control devices may also be provided on machinery, especially assemblies of machinery, having several operating positions for different constituent units. In that case the overall control system of the assembly must be designed to ensure that use of one of the start control devices does not give rise to a hazardous situation for the other operators. Similarly, the overall control system must be designed to ensure that elements of the machinery that must be started or stopped in a given order can only be started or stopped in that order and that incorrect start or stop control signals are ineffective.

Specifications for preventing unexpected start-up of machinery are given in standard EN 1037.[22][PP20] 

It should be noted that, in addition to the general requirements relating to starting set out in section 1.2.3, supplementary requirements for starting relating to the mobility of machinery are set out in section 3.3.2.

1.2.4           Stopping

1.2.4.1        Normal stop

Machinery must be fitted with a control device whereby the machinery can be brought safely to a complete stop.

Each workstation must be fitted with a control device to stop some or all of the functions of the machinery, depending on the existing hazards, so that the machinery is rendered safe.

The machinery's stop control must have priority over the start controls.

Once the machinery or its hazardous functions have stopped, the energy supply to the actuators concerned must be cut off.

§200   Normal stop control devices

The requirement set out in section 1.2.4.1 aims to ensure that operators can stop machinery safely at all times. Apart from the need to stop the machinery safely for operational reasons, it is also essential for operators to be able to stop machinery in case of malfunctioning that might lead to a hazardous situation.

The second paragraph applies to machinery with two or more workstations. In some cases, a single operator may control the whole of the machinery from different control positions, depending on his tasks and on the phase of operation. In other cases, different parts of the machinery may be controlled by different operators. The stop control device provided at each workstation may stop all of the machinery or only a part of the machinery where this can be done without risk – see §203: comments on section 1.2.4.4. If necessary, the stop control device shall stop the relevant parts of the complex machinery in a sequential procedure – see §199: comments on section 1.2.3.

The requirement set out in the third paragraph of section 1.2.4.1 is a requirement for the design of the control system that is particularly important in the case of machinery with several workstations, since it prevents a start command given by one operator from overriding a stop command given by another operator. It also aims to ensure that a stop command can be given, even in case of a failure of the start control in the sense of a maintained start command.

The requirement, set out in the last paragraph of section 1.2.4.1, that, once the machinery or its hazardous functions have stopped, the energy supply to the actuators concerned must be cut off, aims to prevent the risk of unintended starting following a stop command that might be caused by a fault or failure in the control system. This means that stopping can either be achieved by immediate removal of power to the machine actuators, or with power available to the machine actuators to achieve the stop and then removal of power once the stop has been achieved.

It should be noted that, in addition to the general requirements for stopping set out in section 1.2.4.1, supplementary requirements for stopping for the travelling function of mobile machinery are set out in section 3.3.3.

1.2.4.2        Operational stop

Where, for operational reasons, a stop control that does not cut off the energy supply to the actuators is required, the stop condition must be monitored and maintained.

§201   Operational stop

Section 1.2.4.2 recognises that, for operational reasons, for example, in order to permit an easier or more rapid restart of the machinery, it may be necessary to provide, in addition to the normal stop control required by section 1.2.4.1, a stop control that does not cut off the energy supply to the actuators. Since, in that case, a failure in the control system could lead to an unintended start, the control system must include the means of monitoring the stop condition in order to ensure that the machinery remains at a stop until it is intentionally restarted using the start control device. The part of the control system relative to the monitoring is to be considered as a safety related part of the control system that must have an adequate level of performance – see §184: comments on section 1.2.1.

1.2.4.3        Emergency stop

Machinery must be fitted with one or more emergency stop devices to enable actual or impending danger to be averted.

The following exceptions apply:

  • machinery in which an emergency stop device would not lessen the risk, either because it would not reduce the stopping time or because it would not enable the special measures required to deal with the risk to be taken,
  • portable hand-held and/or hand-guided machinery.

The device must:

  • have clearly identifiable, clearly visible and quickly accessible control devices,
  • stop the hazardous process as quickly as possible, without creating additional risks,
  • where necessary, trigger or permit the triggering of certain safeguard movements.

Once active operation of the emergency stop device has ceased following a stop command, that command must be sustained by engagement of the emergency stop device until that engagement is specifically overridden; it must not be possible to engage the device without triggering a stop command; it must be possible to disengage the device only by an appropriate operation, and disengaging the device must not restart the machinery but only permit restarting.

The emergency stop function must be available and operational at all times, regardless of the operating mode.

Emergency stop devices must be a back-up to other safeguarding measures and not a substitute for them.

§202   Emergency stop devices

An emergency stop device comprises a specific control device linked to the control system that gives a stop command and the components or systems necessary to stop the hazardous functions of machinery as quickly as possible, without creating any further risks.

Emergency stop devices are intended to enable operators to stop the hazardous functions of machinery as quickly as possible if, despite the other protective measures taken, a hazardous situation or event arises. The emergency stop does not itself provide protection, which is why the last sentence of section 1.2.4.3 stresses that fitting an emergency stop device is a back-up to other safeguarding measures such as guards and protective devices, not a substitute for them. However, an emergency stop can enable operators to prevent a dangerous situation from resulting in an accident or at least reduce the severity of the consequences of an accident. An emergency stop may also enable operators to prevent malfunctioning of the machinery from damaging the machinery.

The first paragraph of section 1.2.4.3 requires machinery to be fitted, as a general rule, with one or more emergency stop devices. The second paragraph of section 1.2.4.3 sets out two exceptions where emergency stop devices are not required. The first exception is where an emergency stop device would not reduce the risk compared with the normal stop control. This may be the case, for example, if it is not possible to obtain a significantly quicker stop than is obtained by the normal stop control without creating further risks, such as, for example, the loss of stability or the risk of break up of parts of the machinery. In cases where an emergency stop control is not provided, the normal stop control device must be clearly identifiable, clearly visible and quickly accessible so that it can be used to stop the machinery in an emergency. The second exception concerns portable hand-held and/or hand-guided machinery – see §278: comments on section 2.2.1.

The third and fourth paragraphs of section 1.2.4.3 set out requirements for the design of emergency stop devices:

  • Firstly, the emergency stop control devices must be clearly identifiable and clearly visible. This is important because, in an emergency situation, a split-second reaction may be crucial. Usually, emergency stop control devices are red against a yellow background.
  • Secondly, emergency stop control devices must be quickly accessible. This requirement has consequences for both the choice of the type of control device and the number and location of control devices to be fitted.

Frequently, emergency stop control devices are hand-operated mushroom-type buttons. However, where there is a risk that the operator may have difficulty to reach the emergency stop, for example, if both of the operator's hands may be caught up, foot-operated emergency stop control devices, or bars that can be operated by other parts of the body may be preferable.

On machinery where the danger zones extend over a long distance, for example, on continuous handling machinery such as conveyors, emergency stop controls can be activated by wires or ropes.

Since emergency stop control devices must be quickly accessible, the number and the location of the devices to be fitted must be decided taking account of the size and configuration of the machinery, the number of operators, the location of the danger zones and the location of the workstations and maintenance points. In particular, it may be necessary to fit emergency stop control devices within danger zones that are not visible to the operator starting the machinery or in areas of machinery where persons might be trapped, in order to enable any exposed persons to prevent starting if they cannot leave the danger zone in time – see §195: comments on the sixth paragraph of section 1.2.2.

  • The second indent of the third paragraph specifies that the emergency stop device must stop the hazardous process as quickly as possible, without creating additional risks. The means to fulfil this requirement depend on the characteristics of the machinery. In some cases, an immediate cut-off of the energy supply to the actuators is sufficient. Where a controlled stop is necessary, the actuators may remain under power during the stopping process and the energy supply may be cut off once stopping is achieved. In some cases, to avoid creating additional risks, it may be necessary to maintain the power supply to certain components even after stopping is achieved, for example, to prevent parts of the machinery from falling.
  • The third indent of the third paragraph refers to cases where actions other than the stopping of the machinery may also be needed to avoid or remove the hazardous situation. For example, once the machinery has stopped, it may be necessary to open or to permit the opening of points where parts of the operator's body may be caught or trapped. In such cases, the emergency stop device must be designed to trigger such actions automatically or, at least, to permit such actions to be controlled. Where necessary for safety, certain functions of the machinery shall not be stopped (such as, for example cooling systems, or dust extractors).

The requirement set out in the fourth paragraph of section 1.2.4.3 aims to prevent the risk of inadvertent restarting of the machinery after the emergency stop device has been activated. This requirement can be met by fitting emergency stop devices of the 'lock-in' type needing a specific deliberate action to disengage them. The disengagement of the emergency control device must not restart the machinery but only permit the restarting of the machinery using the normal start control device – see §199: comments on section 1.2.3.

The fifth paragraph of section 1.2.4.3 requires the emergency stop function to be available and operational at all times, regardless of the operating mode – see §204: comments on section 1.2.5.

Specifications for emergency stops are given in standard EN ISO 13850.[23][PP21] 

 

The text below, as MD WG 2010-03 EN rev.2, was approved at the Machinery Working Group meeting on 5-6 November 2014:

 

With reference to the third paragraph of section 1.2.4.3, which sets out requirements for the design of emergency stop devices, such device must have clearly identifiable, clearly visible and quickly accessible control devices. The requirement of the quick accessibility has consequences for both the choice of the type of control device and the number and location of control devices to be fitted. A typical such device is shown in Fig. 1

 

 

 

 

 

 

 

Fig. 1: Emergency stop device

 

 

Harmonised standards, applicable to emergency stop devices

The following harmonised standards substantiate the design and functioning of the emergency stop device. 

EN ISO 13850:2006, “Safety of machinery – emergency stop – principles for design”, specifies functional requirements and design principles for the emergency stop function on machinery, independent of the type of energy used to control the function. It is applicable to all machinery except for machines, in which the provision of emergency stop would not lessen the risk, and hand-held portable machines and hand-guided machines. It does not deal with functions such as reversal or limitation of motion, deflection, shielding, braking or disconnecting, which can be part of the emergency stop function. 

Concerning the colour scheme of the red push button against a yellow background standardized in EN ISO 13850:2006 section 4.4.5, also standard EN 60073[PP22] , “Basic and safety principles for man-machine interface, marking and identification - Coding principles for indicators and actuators (IEC 60073:2002)” can be used. This standard establishes general rules for assigning particular meanings to certain visual, acoustic and tactile indications.

The standard EN 60947-5-5 1997 + A1:2005, “Low-voltage switchgear and control gear - part 5-5: control circuit devices and switching elements - electrical emergency stop device with mechanical latching function” is applicable to electrical control circuit devices and switching elements which are used to provide an emergency stop signal. Where electrical switches are used, they should have direct opening action in accordance with EN 60947-5-1:2004+A1:2009, Annex K. Such devices may be either provided with their own enclosure, or installed according to the manufacturer's instructions.
 

Emergency stop devices

An emergency stop device as shown in Figure 1 comprises a specific control device linked to the control system that gives a stop command and the components or systems necessary to stop the hazardous functions of machinery as quickly as possible, without creating any further risks. The device fulfils the design requirement of clearly identifiable regarding the colour scheme of the red push button against a yellow background, as well as the requirement of clearly visible and quickly accessible.
 

Emergency stop devices with protection measures to prevent unintended activation or damage

At a certain type of machinery, mainly mobile machinery or machinery in the construction sector, emergency stop devices are used with protective measures, such as collars or shrouding as sown in Fig. 2, in order to assure its proper function also under demanding conditions. Those measures are sometimes provided to prevent unintentional activation, debris or process materials accumulating on the device and preventing its operation. 

 

 

 

 

 

 

 

Fig. 2: Emergency stop device with protection against unintended activation or damage

A protective collar must not have any sharp corners or edges or rough surfaces which could lead to injury. Corners and edges should be rounded and surfaces smooth to the touch.

The protection collar must not impair the accessibility of the emergency stop device. A full protection collar is in principle not acceptable with regard to Annex I section 1.2.4.3 of the MD 2006/42/EC. However, its particular suitability could be demonstrated by testing. Requirements concerning the acceptable design of protective collars of emergency stop devices are not yet available in the relevant standards. However, it should be noted that the proposed amendment to EN ISO 13850 includes a test method to ensure that the collar does not impair accessibility.
 

Disconnecting device as emergency stop

According to market observations, also the disconnecting device as shown in Fig. 3 is used as emergency stop device.

 

 

 

 

 

 

 

 

Fig. 3: Disconnecting device as emergency stop

The supply disconnecting device is sometimes being locally operated to serve the function of emergency stop with regard to EN 60204-1[PP23]  “Safety of machinery – Electrical equipment of machines Part 1: General requirements” in which it is stated under section 10.7.4 “Local operation of the supply disconnecting device to effect emergency stop”:

 

The supply disconnecting device may be locally operated to serve the function of emergency stop when:

–it is readily accessible to the operator; and

–it is of the type:

  1. switch-disconnector, with or without fuses, in accordance with IEC 60947-3, utilization category AC-23B or DC-23B;
  2. disconnector, with or without fuses, in accordance with IEC 60947-3, that has an auxiliary contact that in all cases causes switching devices to break the load circuit before the opening of the main contacts of the disconnector;
  3. a circuit-breaker suitable for isolation in accordance with IEC 60947-2;
  4. any other switching device in accordance with an IEC product standard for that device and which meets the isolation requirements of IEC 60947-1 as well as a utilization category defined in the product standard as appropriate for on-load switching of motors or other inductive loads;

When also intended for such use, the supply disconnecting device shall be coloured red. If a background exists immediately around the actuator, then this background shall be coloured yellow. See also ISO 13850.

This allows supply disconnecting devices that meet these requirements to provide the emergency stop function. Nevertheless, it should be noted, that the supply disconnecting device is regarded as an exception and the normal emergency stop device should be used whenever possible.

 

Stop devices covering the start and the stop-contact 

Stop devices covering the start and the stop-contact such as the flap stop (Fig. 4), is a special kind of ”stop device” produced normally outside the EU, and used as a normal emergency stop for different machinery, in particular for smaller machines, such as bench drilling machines. 

 

 

 

 

 

Fig. 4: Flap stop device (taken from the original Danish document MD ADCO 2005-19)

The flap-stop is a start and stop contact, which is equipped with a yellow flap and a red mushroom-type push button (Fig. 4), covering both the start and the stop contacts. When the mushroom push button is activated, the flap will press the stop button into a stop command position. The flap can be kept in an open position which cannot assure the availability at all times. The flap stop can therefore not provide the emergency stop function as required in Annex I section 1.2.4.3 of the MD 2006/427EC. 

 

Other stop devices

Sometimes, Emergency stop device are designed as padlock able stop devices to make the isolation secure. More typically padlocks will be used with devices that can directly isolate equipment from the supply of electricity, such as disconnectors, switch disconnectors, circuit-breakers etc. Other devices to interrupt the machine movement, such as mats, light curtains, laser scanners etc.) cannot be considered to be an emergency stop device. Those devices are protective devices (as required by EHSR 1.3.7 with 1.4.3 specifying their characteristics). They are part of the safety system for the machine operation and are not an emergency stop devise that should be provided in addition. 

 

1.2.4.4                    Assembly of machinery

In the case of machinery or parts of machinery designed to work together, the machinery must be designed and constructed in such a way that the stop controls, including the emergency stop devices, can stop not only the machinery itself but also all related equipment, if its continued operation may be dangerous.

§203   Stop controls for assemblies of machinery

The requirement set out in section 1.2.4.4 must be applied according to the risk assessment carried out by the manufacturer of an assembly of machinery – see §38: comments on the fourth indent of Article 2 (a). The possibility of a normal stop control stopping only certain of the constituent units of an assembly of machinery permitted by section 1.2.4.2 does not apply if continued operation of other elements of the machinery may give rise to a hazardous situation. Similarly, where it is important for operators of one unit of an assembly of machinery to be able to stop related units of the assembly in an emergency, the emergency stop devices must act on all the related parts of the assembly.

If an assembly of machinery is divided into different zones controlled by different normal stop controls and emergency stop devices, these zones must be clearly defined and it must be clearly indicated which elements of the assembly of machinery belong to which zone. The interfaces between zones shall be designed in such a way that continued operation in one zone cannot give rise to hazardous situations in other zones which have been stopped.

1.2.5           Selection of control or operating modes

The control or operating mode selected must override all other control or operating modes, with the exception of the emergency stop.

If machinery has been designed and constructed to allow its use in several control or operating modes requiring different protective measures and/or work procedures, it must be fitted with a mode selector which can be locked in each position. Each position of the selector must be clearly identifiable and must correspond to a single operating or control mode.

The selector may be replaced by another selection method which restricts the use of certain functions of the machinery to certain categories of operator.

If, for certain operations, the machinery must be able to operate with a guard displaced or removed and/or a protective device disabled, the control or operating mode selector must simultaneously:

  • disable all other control or operating modes,
  • permit operation of hazardous functions only by control devices requiring sustained action,
  • permit the operation of hazardous functions only in reduced risk conditions while preventing hazards from linked sequences,
  • prevent any operation of hazardous functions by voluntary or involuntary action on the machine's sensors.

If these four conditions cannot be fulfilled simultaneously, the control or operating mode selector must activate other protective measures designed and constructed to ensure a safe intervention zone.

In addition, the operator must be able to control operation of the parts he is working on from the adjustment point.

§204   Mode selection

Section 1.2.5 deals with risks that may arise when machinery is designed with several control or operating modes. In some cases, machinery may be designed with specific control modes, for example, for setting or maintenance operations. In other cases, different operating modes are foreseen, for example, for operation with manual or automatic feeding of workpieces. Mobile machinery may be designed to be controlled by a ride-on driver or by remote control.

The first paragraph of section 1.2.5 applies in all such cases and requires the different control or operating modes to be exclusive of each other, except for the emergency stop function, which must be available whichever control or operating mode is selected.

The second paragraph of section 1.2.5 applies to operating modes requiring different protective measures and work procedures having a different impact on safety. For example, for an operating mode with manual feeding of workpieces, safeguarding with interlocking moveable guards or with protective devices, such as optoelectronic protective devices or two-hand control devices, may be appropriate. For an operating mode with automatic feeding, the use of a two-hand control device as the main means of safeguarding will probably not be acceptable.

Setting or maintenance modes may enable certain functions of the machinery to be controlled with guards open or with protective devices muted or by means of a special control device such as a pendant control or a remote control device, instead of the control devices used for normal operation.

In these cases, each position of the mode selector must correspond to a single control or operating mode and it must be possible to lock the mode selector device in each position, while the device must be provided with the necessary indicators to make it clear to operators which control or operating mode has been selected – see §194: comments on the fourth paragraph of section 1.2.2.

The third paragraph of section 1.2.5 permits, as an alternative to a physically lockable selector, that selection of a control or operating mode such as, for example, a setting or maintenance mode, may be restricted to specially trained and authorised operators by other means, such as, for example, an access code.

The fourth paragraph of section 1.2.5 sets out four conditions that must be simultaneously fulfilled for machinery to be provided with a control or operating mode where the guards are open or protective devices are muted:

  • The first condition aims to rule out any use of the other control or operating modes during use of this mode;
  • The second condition aims to ensure that the operator retains full control of hazardous functions at all times;
  • The third condition requires the disabling of the normal protective means to be compensated by other protective measures such as, for example, reduced speed and/or incremental operation of the moving parts. Safeguarding shall be maintained for hazardous parts to which access is not required;
  • The fourth condition requires the mode selector not only to disable all other control modes but also to disable any sensors on the machinery that might otherwise trigger movements or other hazardous functions of the machinery or parts of the machinery during the operation concerned.

The fifth paragraph of section 1.2.5 applies if it is necessary to provide an operational mode with certain of the normal protective means disabled and where one or more of the four conditions set out in the fourth paragraph cannot be fulfilled. In that case, the machinery must be provided with other protective means to ensure that the zone in which the operator is intended to intervene is safe, such as a safe zone limited by optoelectronic protective devices, however the use of easily defeated devices, such as a pressure sensitive operator pad, are not suitable. It should be underlined that these means must be integrated in the design and construction of the machinery and that it is not sufficient, in such a case, to rely solely on the manufacturer's instructions, on warnings on the machinery or on the training of the operators.

1.2.6           Failure of the power supply

The interruption, the re-establishment after an interruption or the fluctuation in whatever manner of the power supply to the machinery must not lead to dangerous situations.

Particular attention must be given to the following points:

  • the machinery must not start unexpectedly,
  • the parameters of the machinery must not change in an uncontrolled way when such change can lead to hazardous situations,
  • the machinery must not be prevented from stopping if the command has already been given,
  • no moving part of the machinery or piece held by the machinery must fall or be ejected,
  • automatic or manual stopping of the moving parts, whatever they may be, must be unimpeded,
  • the protective devices must remain fully effective or give a stop command.

§205   Failure of the power supply

Section 1.2.6 deals with hazardous situations that may arise in case of the failure of the power supply or following such a failure. The first paragraph sets out the basic requirement that the interruption of the power supply, the re-establishment of the power supply after an interruption or any fluctuation of the power supply must not lead to a dangerous situation. The power supply may be interrupted as a result of a local or general electricity power cut or as a result the failure of other power sources such as steam, compressed air, hydraulic fluid and so on. Fluctuations in the power supply may include variations in the voltage or frequency of the electricity supply, variations in the pressure of steam, compressed air, and hydraulic fluid and so on.

In order to fulfil this requirement, the manufacturer's risk assessment must include an analysis of the possible behaviour of the machinery in such cases and the machinery must be designed and constructed to prevent hazardous situations from resulting. The six indents of the second paragraph of section 1.2.6 draw attention to certain common hazardous situations which may occur in the event of the failure of the power supply. It must be underlined that this list is only indicative. It can also be noted that these hazardous situations are the same as those mentioned in the second paragraph of section 1.2.1 with respect to the safety and reliability of control systems, thus certain of the necessary design measures may be common to both requirements.

  • The first indent refers to the risk of unexpected start of the machinery. This situation is most likely to occur when the power supply is re-established after an interruption. The control system must therefore be designed to ensure that the interruption of the power supply automatically prevents any start until the machinery is restarted using the start control device.
  • The second indent refers to cases where a power supply is necessary to maintain certain parameters of the machinery such as, for example, pressure or temperature, within safe limits. In certain cases, it may be necessary to provide a reserve power supply for that purpose. In addition, related data may be saved for use when re-establishing the power supply.
  • The third indent applies to the parts of the control system controlling stop and emergency stop functions. The control system must be designed so that, once a stop command has been given, it remains effective even if the power supply is interrupted.
  • The fourth indent requires machinery to be designed so that moving parts or pieces held by the machinery do not fall or are not ejected in case of failure of the power supply. This may be achieved by clamps, brakes, locking devices, check valves and so on that operate by removal of power or, if that is not possible, by a source of stored energy such as, for example, a spring or a reservoir of compressed air.

In this respect, it should be noted that a specific requirement applies to lifting operations – see §342: comments on section 4.1.2.6 (c).

  • The fifth indent requires the machinery to be designed so that the moving parts can be stopped safely in case of failure of the power supply. Where energy is required to stop the moving parts safely, it may be supplied from a source of stored energy. In certain cases, it may be necessary to provide a reserve power supply to enable the moving parts of the machinery to be stopped safely.
  • The last indent requires protective devices to be designed so that they remain effective in the absence of the power supply or so that a stop command is automatically triggered if the power supply is interrupted.

1.3              PROTECTION AGAINST MECHANICAL HAZARDS

1.3.1           Risk of loss of stability

Machinery and its components and fittings must be stable enough to avoid overturning, falling or uncontrolled movements during transportation, assembly, dismantling and any other action involving the machinery.

If the shape of the machinery itself or its intended installation does not offer sufficient stability, appropriate means of anchorage must be incorporated and indicated in the instructions.

§206   Stability

The first paragraph of section 1.3.1 requires the manufacturer to ensure the stability of the machinery and its components and fittings during the different phases of the foreseeable lifetime of the machinery – see §173: comments on section 1.1.2 (a).

Factors to be taken into account include, for example, the shape of the machinery and its base, the characteristics of the surface or structure on which the machinery is intended to be used, mounted or installed, the weight distribution, dynamic effects due to movements of the machinery itself, of its parts or of elements processed or held by the machinery, the effects of vibrations, of external forces such as wind pressure and of weather conditions such as snow and ice.

Where the stability of the machinery depends on conditions of use such as, for example, the slope, terrain or loading, the conditions in which the machinery meets the requirement of stability must be specified in the manufacturer's instructions – see §264 and §269: comments on sections 1.7.4.2 (i) and (o).

The second paragraph of section 1.3.1 refers to cases where the stability of the machinery requires particular measures to be taken when it is used or installed. In such cases, the necessary provisions for anchorage must be incorporated in the design and construction of the machinery and the measures to be taken by the user or installer must be specified in the manufacturer's instructions – see §264: comments on section 1.7.4.2 (i), and §269: comments on section 1.7.4.2 (o).

It should be noted that, in addition to the general requirements relating to stability set out in section 1.3.1,

  • supplementary requirements relating to the stability of portable machinery are set out in section 2.2.1;
  • supplementary requirements relating to the stability of mobile machinery are set out in sections 3.4.1 and 3.4.3;
  • supplementary requirements relating to the stability of machinery for lifting are set out in sections 4.1.2.1 and 4.2.2;
  • supplementary requirements relating to the stability of powered roof supports for underground work are set out in section 5.1;
  • supplementary requirements relating to the stability of machinery for lifting persons are set out in section 6.1.2.

1.3.2           Risk of break-up during operation

The various parts of machinery and their linkages must be able to withstand the stresses to which they are subject when used.

The durability of the materials used must be adequate for the nature of the working environment foreseen by the manufacturer or his authorised representative, in particular as regards the phenomena of fatigue, ageing, corrosion and abrasion.

The instructions must indicate the type and frequency of inspections and maintenance required for safety reasons. They must, where appropriate, indicate the parts subject to wear and the criteria for replacement.

Where a risk of rupture or disintegration remains despite the measures taken, the parts concerned must be mounted, positioned and/or guarded in such a way that any fragments will be contained, preventing hazardous situations.

Both rigid and flexible pipes carrying fluids, particularly those under high pressure, must be able to withstand the foreseen internal and external stresses and must be firmly attached and/or protected to ensure that no risk is posed by a rupture.

Where the material to be processed is fed to the tool automatically, the following conditions must be fulfilled to avoid risks to persons:

  • when the workpiece comes into contact with the tool, the latter must have attained its normal working condition,
  • when the tool starts and/or stops (intentionally or accidentally), the feed movement and the tool movement must be coordinated.

§207   Break-up during operation

Hazards associated with break-up during operation may be due, for example, to the collapse of the machinery itself or of its parts, or to the uncontrolled movement or ejection of parts of the machinery due to the failure of components or sub-assemblies. The first two paragraphs of section 1.3.2 aim to prevent the break-up of parts of the machinery during operation by means of the use of appropriate constituent materials, and by means of the appropriate design and construction of components and assemblies in order to resist the stresses to which they will be subjected during operation. In some cases, harmonised standards provide specifications for the materials, design, construction and testing of certain critical parts. In other cases, fulfilling these requirements must be achieved by respecting sound engineering principles and practices.

The second paragraph of section 1.3.2 draws attention to the importance of taking account of the conditions under which the machinery is intended to be used during the different phases of its lifetime – see §173: comments on section 1.1.2 (a). Certain conditions of use may affect the resistance of certain materials and assemblies such as, for example, extreme heat or cold, corrosive atmospheres, humidity or radiation. Over speed, for example, of rotating tools, can give rise to a risk of break-up and must therefore be prevented in such cases. The conditions of use for which the machinery has been designed and their limits must be indicated in the manufacturer's instructions – see §263: comments on section 1.7.4.2 (g).

Where fatigue is a significant factor, the manufacturer must take account of the expected lifetime of the machine and the nature of the functions that it is expected to perform, taking into account the number of operational cycles to which the component or assembly concerned will be subject during its lifetime.

The third paragraph of section 1.3.2 takes account of the fact that certain machinery parts subject to wear that can lead to break-up may have to be periodically inspected by the user and repaired or replaced as necessary. The manufacturer's instructions must indicate the type of checks to be carried out on such parts (for example, visual checks, functional checks or tests), the frequency of such checks (for example, in terms of number of operational cycles or duration of use) and the criteria for the repair or replacement of the parts concerned – see §272: comments on section 1.7.4.2 (r).

The fourth paragraph of section 1.3.2 deals with cases where, despite the use of appropriate materials and assemblies, there is a residual risk of rupture or disintegration during operation. In such cases, the necessary measures must be taken to prevent fragments from reaching persons. This can be achieved by mounting and positioning the parts liable to break up so that fragments are contained by other parts of the machinery such as, for example, the frame, or by fitting appropriate guards. Whether the containment of the fragments is achieved by functional parts of the machinery or by guards, parts concerned must be strong enough to resist the energy of the ejected fragments – see §169: comments on section 1.1.1 (f), and §216: comments on section 1.4.1.

The fifth paragraph of section 1.3.2 deals with the specific risks associated with pipes and hoses containing fluids, particularly those under high pressure such as, for example, those used in fluid power systems. On the one hand, such pipes and hoses must be designed and mounted so that they can withstand the internal pressures and other stresses to which they may be subject. On the other hand, where there is a residual risk of rupture, they must be located or shielded to prevent ejected fluids from creating a risk for persons and adequately attached to prevent the whiplash effect.

It should be noted that some of this equipment may be subject, for the pressure risk, to the Pressure Equipment Directive 97/23/EC – see §91: comments on Article 3.

General specifications for hydraulic and pneumatic pipes and hoses are given in standards EN ISO 44113 and EN  and EN ISO 4414 .[24][PP24] 

The last paragraph of section 1.3.2 deals with the specific risks associated with machinery using tools designed to operate safely at a particular range of speeds, where contact between the processed material and the tool at lower or higher speeds can give rise to a risk of break-up of the tool or of the material. There must be no contact between the workpiece and the tool until normal working conditions are achieved. For the same reason, the speed of the tool must be automatically coordinated with the feed movement during each starting and stoppage of the tool.

It should be noted that, in addition to the general requirements relating to the risk of break-up during operation set out in section 1.3.2,

  • supplementary requirements relating to the mechanical strength of machinery for lifting are set out in sections 4.1.2.3, 4.1.2.4 and 4.1.2.5;
  • supplementary requirements relating the mechanical strength of machinery for lifting persons are set out in section 6.1.1.

1.3.3           Risks due to falling or ejected objects

Precautions must be taken to prevent risks from falling or ejected objects.

§208   Falling or ejected objects

The requirement set out in section 1.3.3 deals with risks of injury due to contact with falling or ejected objects such as workpieces or fragments of workpieces, tools or fragments of tools, waste, chips, splinters, swarf, stones and so on. Wherever possible, the design and construction of the machinery must prevent objects falling or being ejected towards persons. However, where this cannot be entirely achieved, the necessary protective measures must be taken. Protective measures include the fitting of guards to prevent ejected objects from reaching persons or the enclosure of the operating positions – see §182: comments on section 1.1.7. Where such protective measures may not be fully effective, the machinery manufacturer must specify, in the his instructions, the need to provide and use appropriate personal protective equipment, such as, for example eye protectors – see §267: comments on section 1.7.4.2 (m).

It should be noted that, in addition to the general requirement relating to risks due to falling or ejected objects set out in section 1.3.3,

  • supplementary requirements relating to splinter guards for portable fixing and other impact machinery are set out in section 2.2.2.1;
  • supplementary requirements relating to the risk of ejection of workpieces or parts of them for machinery for working wood and material with similar physical characteristics are set out in section 2.3 (b);
  • supplementary requirements relating to protection against falling objects for mobile machinery are set out in section 3.4.4;
  • supplementary requirements relating to the risk due to falling or dropping of the load for lifting machinery are set out in section 4.1.2.6;
  • supplementary requirements relating to the risk due to the load falling off the carrier of lifting machinery serving fixed landings are set out in section 4.1.2.8.4;
  • supplementary requirements relating to the risk due to objects falling on the carrier of machinery for lifting persons are set out in section 6.3.3.

1.3.4           Risks due to surfaces, edges or angles

Insofar as their purpose allows, accessible parts of the machinery must have no sharp edges, no sharp angles and no rough surfaces likely to cause injury.

§209   Sharp edges and angles and rough surfaces

The requirement set out in section 1.3.4 concerns the risk of scrapes, cuts and bruises due to contact with sharp edges and angles, or contact with rough surfaces.

The factors to be taken into account when assessing this risk include:

  • the accessibility of the parts concerned;
  • their location with respect to operating positions, control devices and maintenance points;
  • the parts of the body that are liable to come into contact;
  • the type of action likely to cause contact such as, for example, access, keeping one's balance, observation, stepping back and so on.

Particular attention should be paid to the edges of movable guards.

General guidance on reducing risks due to sharp edges and angles and rough surfaces is given in standard EN ISO 12100-2,[25] while[PP25]  some C-type standards define the minimum radius of accessible edges.

1.3.5           Risks related to combined machinery

Where the machinery is intended to carry out several different operations with manual removal of the piece between each operation (combined machinery), it must be designed and constructed in such a way as to enable each element to be used separately without the other elements constituting a risk for exposed persons.

For this purpose, it must be possible to start and stop separately any elements that are not protected.

§210   Combined machinery

The requirement set out in section 1.3.5 applies to combined machinery such as, for example, combined woodworking machinery. The first paragraph requires the manufacturer to ensure that the elements of the machinery designed to carry out each different operation or function can be used separately without the other elements creating a risk.

For elements that are not, or not completely protected, the second paragraph of section 1.3.5 supplements the requirements set out in sections 1.2.3, 1.2.4.1 and 1.2.4.2.

1.3.6           Risks related to variations in operating conditions

Where the machinery performs operations under different conditions of use, it must be designed and constructed in such a way that selection and adjustment of these conditions can be carried out safely and reliably.

§211   Variations in operating conditions

The requirement set out in section 1.3.6 concerns machinery that can operate under different conditions of use such as, for example, with different kinds of tools, at different speeds or feeding rates, with different materials or under different environmental conditions. In such cases, the selection of the desired condition of use must be clear to the operators and, where necessary, must also trigger the corresponding protective measures. Involuntary or unintended selection must be prevented by the design of the control devices if this can lead to hazardous situations - see §124: comments on section 1.2.5.

1.3.7           Risks related to moving parts

The moving parts of machinery must be designed and constructed in such a way as to prevent risks of contact which could lead to accidents or must, where risks persist, be fitted with guards or protective devices.

All necessary steps must be taken to prevent accidental blockage of moving parts involved in the work. In cases where, despite the precautions taken, a blockage is likely to occur, the necessary specific protective devices and tools must, when appropriate, be provided to enable the equipment to be safely unblocked.

The instructions and, where possible, a sign on the machinery shall identify these specific protective devices and how they are to be used.

§212   Moving parts

The first paragraph of section 1.3.7 deals with one of the primary causes of accidents involving machinery. Contact with moving parts of machinery can cause injury due to impact, abrasion, cutting or severing, shearing, stabbing or puncture, crushing, entanglement and drawing-in or trapping.

Several measures can be taken to eliminate hazards or reduce risks due to contact with moving parts without recourse to guards or protective devices.

In some cases, risks can be avoided or reduced by the design of the moving parts themselves, for example, by limiting the actuating force so that the actuated part does not generate a mechanical hazard, or by limiting the mass and/or speed of the moving parts and hence their kinetic energy.

Moving parts can be located in places where they are normally inaccessible to persons, such as, for example, inside the frame of the machinery, at a sufficient height or at a sufficient distance from protective structures to ensure that they cannot be reached.

Dimensions for safety distances are given in standard EN ISO 13857.[26][PP26] 

Sufficient gaps can be provided between moving parts and fixed parts or other moving parts to prevent the risks of crushing, shearing or drawing in.

Dimensions for the necessary gaps to prevent risks of crushing are given in standard EN 349.[27][PP27] 

Where it is not possible to prevent risks due to moving parts by the design of the parts themselves or by means of safety distances or gaps, access to such parts must be prevented by means of guards or protective devices.

The second and third paragraphs of section 1.3.7 deal with the problem of the blockage of moving parts involved in the work. Even if a blockage does not itself create a dangerous situation, the occurrence of blockages often requires operators to intervene quickly in order to avoid damage and loss of production, thereby increasing the likelihood of dangerous intervention. Manufacturers must therefore design machinery as far as possible to prevent blockages and, where they cannot be completely prevented, provide the means to enable moving parts to be safely unblocked, preferably without the need to remove guards. The means for unblocking must be identified by a sign on the relevant part of the machinery, whilst the operating method to be followed in such cases must be specified in the manufacturer's instructions – see §271: comments on section 1.7.4.2 (q). If special equipment is required for that purpose, it must be provided with the machinery – see §117: comments on section 1.1.2 (e).

1.3.8           Choice of protection against risks arising from moving parts

Guards or protective devices designed to protect against risks arising from moving parts must be selected on the basis of the type of risk. The following guidelines must be used to help to make the choice.

1.3.8.1        Moving transmission parts

Guards designed to protect persons against the hazards generated by moving transmission parts must be:

  • either fixed guards as referred to in section 1.4.2.1, or
  • interlocking movable guards as referred to in section 1.4.2.2.

Interlocking movable guards should be used where frequent access is envisaged.

§213   Moving transmission parts

Moving transmission parts include, for example, gears, belts, ropes and chains together with their associated pulleys and cogs and sprockets and transmission shafts and their couplings.

Since moving transmission parts are not directly involved in the process, it is generally possible to prevent access to them completely during normal operation. Where guards are necessary to achieve this, the choice of guards depends on whether access is required frequently for maintenance operations such as setting, adjustment and cleaning. If frequent access is required, interlocking movable guards should be fitted – see §217: comments on section 1.4.2.

In addition to the general requirement set out in section 1.3.8.1, supplementary requirements for removable mechanical transmission devices linking  machinery or a tractor to recipient machinery are set out in section 3.4.7.

An exception to the general requirement set out in section 1.3.8.1, relating to moving parts in the engine compartment of mobile machinery, is set out in section 3.4.2.

1.3.8.2        Moving parts involved in the process

Guards or protective devices designed to protect persons against the hazards generated by moving parts involved in the process must be:

  • either fixed guards as referred to in section 1.4.2.1, or
  • interlocking movable guards as referred to in section 1.4.2.2, or
  • protective devices as referred to in section 1.4.3, or
  • a combination of the above.

However, when certain moving parts directly involved in the process cannot be made completely inaccessible during operation owing to operations requiring operator intervention, such parts must be fitted with:

  • fixed guards or interlocking movable guards preventing access to those sections of the parts that are not used in the work, and
  • adjustable guards as referred to in section 1.4.2.3 restricting access to those sections of the moving parts where access is necessary.

§214   Moving parts involved in the process

Section 1.3.8.2 describes the type of guards or protective devices to be used to prevent access to moving parts involved in the process. Where it is necessary to prevent access to moving parts involved in the process, wherever possible, guards or protective devices must be fitted to prevent access completely during the hazardous movements.

The choice between fixed guards, interlocking movable guards, protective devices or a combination of them must take account of the risk assessment, of the frequency with which access is required and of ergonomic aspects such as the effort required to repeatedly open and close a movable guard - see §217: comments on section 1.4.2.

Protective devices may not provide adequate protection where other risks such as, for example, risks due to ejected objects, extreme temperatures or radiation are present – see §221: comments on section 1.4.3.

The second paragraph of section 1.3.8.2 deals with cases where access to the danger zone cannot be completely prevented, for example, in the case of machinery where the material or workpiece to be processed is manually fed. In such cases, it is necessary to fit a combination of fixed or interlocking movable guards for the sections of the moving parts to which access is not required during normal operation and adjustable guards restricting access to the sections of the moving parts where access is necessary – see §220: comments on section 1.4.2.3.

It should be noted that several categories of machinery with manual feed or loading and unloading of material or workpieces are listed in Annex IV – see §129 and §130: comments on Article 12 (3) and (4), and §388: comments on Annex IV.

1.3.9           Risks of uncontrolled movements

When a part of the machinery has been stopped, any drift away from the stopping position, for whatever reason other than action on the control devices, must be prevented or must be such that it does not present a hazard.

§215   Uncontrolled movements

The requirement set out in section 1.3.9 is complementary to the requirement set out in section 1.2.4 relating to stopping. Where there is a risk due to uncontrolled movement of the moving parts of machinery after they have been stopped, the necessary braking systems, locking devices, or systems to monitor the stop condition must be fitted to prevent uncontrolled movements or limit them so that they do not create a risk – see §201: comments on section 1.2.4.2.

It should be noted that, in addition to the general requirement set out in section 1.3.9, supplementary requirements relating to uncontrolled movements of mobile machinery are set out in section 3.4.1; supplementary requirements relating to the risk of uncontrolled movements of lifting machinery are set out in section 4.1.2.6.

1.4              REQUIRED CHARACTERISTICS OF GUARDS AND PROTECTIVE                              DEVICES

1.4.1           General requirements

Guards and protective devices must:

  • be of robust construction,
  • be securely held in place,
  • not give rise to any additional hazard,
  • not be easy to by-pass or render non-operational,
  • be located at an adequate distance from the danger zone,
  • cause minimum obstruction to the view of the production process, and
  • enable essential work to be carried out on the installation and/or replacement of tools and for maintenance purposes by restricting access exclusively to the area where the work has to be done, if possible without the guard having to be removed or the protective device having to be disabled.

In addition, guards must, where possible, protect against the ejection or falling of materials or objects and against emissions generated by the machinery.

§216   General requirements for guards and protective devices

Section 1.4.1 sets out general requirements for guards and protective devices. Specific requirements for the three main types of guards and for protective devices are set out in sections 1.4.2.1, 1.4.2.2, 1.4.2.3 and 1.4.3.

The first indent of section 1.4.1 requires guards and protective devices to have sufficient mechanical strength, taking account both of the hazards they protect against and of the intended conditions of use. For example where it is foreseeable that an operator could fall or step on the guard. Where a particularly high degree of resistance is required, in particular for guards intended to protect against falling or ejected objects, the relevant harmonised standards specify the design criteria and, where necessary, the tests to be carried out.

The second indent of section 1.4.1 requires guards and protective devices to be securely held in place. This is particularly important when safety depends on the distance between the guard and the hazardous part of the machinery.

The third indent of section 1.4.1 states that guards or protective devices shall not give rise to any additional hazard. For example, the opening or closing of a movable guard must not create a crushing or shearing hazard. Where necessary in order to avoid excessive or repeated effort, the opening and closing of movable guards shall be powered or assisted, for example, by springs or hydraulic or pneumatic cylinders.

The fourth indent of section 1.4.1 requires that guards and protective devices shall not be easy to by-pass or render non-operational. This requirement is particularly relevant for the interlocking devices of movable guards and for protective devices.

The fifth indent of section 1.4.1 requires guards and protective devices to be situated at an adequate distance from the danger zone.

Adequate distances for protective devices are given in standard EN 999.[28] For guards with openings, safety distances with respect to the dimensions and shape of the openings are given in standard EN ISO 13857.[29][PP28] 

The location of setting, adjustment and other maintenance points outside the danger zones can avoid the need to remove guards for routine maintenance operations – see §239: comments on section 1.6.1.

The sixth indent of section 1.4.1 requires guards and protective devices to be designed and constructed, as far as possible, so that they do not constitute an obstacle for operators by obstructing the view of the production process. Failure to take this aspect into account increases the risk that guards and protective devices will be defeated or removed by the operators. The visibility of the work process can be improved, for example, by fitting transparent guards, CCTV or, where there are no risks due to ejected objects or emissions, by fitting guards with openings or protective devices – see §221: comments on section 1.4.3.

The seventh indent of section 1.4.1 states that the design and construction of guards and protective devices must take account of the need for access to the danger zones, whether during normal operation of the machinery or for maintenance purposes. The guards and protective devices must restrict access to the area where the work has to be carried out. The location of setting, adjustment and maintenance points outside the danger zones can avoid the need to remove guards for routine operations – see §239: comments on section 1.6.1.

The second paragraph of section 1.4.1 underlines that guards can often provide protection against several hazards simultaneously and must be designed and constructed accordingly – see §169: comments on section 1.1.1 (f).

Guards and protective devices designed to protect persons against moving parts involved in the process on the machinery, when independently placed on the market, are safety components – see §42: comments on Article 2 (c) and §389: comments on Annex V.

1.4.2           Special requirements for guards

§217   Special requirements for guards

The requirements set out in section 1.4.2 apply to guards as defined in section 1.1.1, in other words, to the parts of the machinery specifically designed to provide protection by means of a physical barrier – see §169: comments on section 1.1.1 (f).

The Machinery Directive distinguishes three main kinds of guards: fixed guards, interlocking movable guards and adjustable guards restricting access. In general, fixed guards should be fitted when access to the zone protected by the guard is not required or is not frequently required. If access to the zone protected by the guard is required frequently, interlocking movable guards shall be fitted. Adjustable guards restricting access may be fitted to protect parts of the machinery involved in the process to which access cannot be completely prevented during use. For the choice of guards for protection against risks arising from moving parts – see §213 and §214: comments on sections 1.3.8.1 and 1.3.8.2.

Criteria for the choice of guards, taking account of the frequency of access required, and for the design of guards are given in standard EN 953.[30]

1.4.2.1        Fixed guards

Fixed guards must be fixed by systems that can be opened or removed only with tools.

Their fixing systems must remain attached to the guards or to the machinery when the guards are removed.

Where possible, guards must be incapable of remaining in place without their fixings.

§218   Fixed guards

Section 1.4.2.1 sets out three requirements for the first type of guards: fixed guards. The requirements set out in section 1.4.2.1 are complementary to the general requirements for guards and protective devices set out in section 1.4.1.

If the zone protected by a fixed guard does not need to be accessed or if the necessary access can be obtained by another route, fixed guards can be permanently fixed, for example, by welding, riveting or gluing. On the other hand, if it is necessary to open or remove a fixed guard, the first paragraph of section 1.4.2.1 requires that it must only be possible to open or remove the fixing systems with tools. This requirement aims to restrict the removal of fixed guards to competent or authorised persons by an intended action needing some thought and time. Fixed guards may thus be fixed, for example, by means of bolts, screws or other fasteners that can only be removed by using tools such as keys or wrenches. The choice of fixing system and tools must be considered in light of the risk assessment. Fixings that can be quickly loosened or removed such as, for example, wing nuts, or quick-release fasteners, must not be used.

The second indent of section 1.4.2.1 requires the fixing systems for fixed guards to remain attached to the guards or to the machinery when the guards are removed. This requirement aims to reduce risks due to loss of one or more of the fixings when guards are removed, for example, for maintenance purposes. This can lead to the guards not being replaced, being only partially fixed in place or fixed with replacement fixings that do not have adequate strength, so that the guard cannot adequately perform its protective function, for example, where containment of ejected parts is necessary.

Application of this requirement depends on the manufacturer's assessment of the risk concerned. The requirement applies to any fixed guards that are liable to be removed by the user with a risk of loss of the fixings, for example, to fixed guards that are liable to be removed during routine cleaning, setting or maintenance operations carried out at the place of use. The requirement does not necessarily apply to fixed guards that are only liable to be removed, for example, when the machinery is completely overhauled, is subject to major repairs or is dismantled for transfer to another site. For the same reason, it may not be necessary to apply the requirement to the casings of machinery intended for use by consumers, where the manufacturer’s instructions specify that the repairs requiring removal of these casings are only to be carried out in a specialist repair workshop. In that case, fixing systems should be used that are not easy to remove.

The requirement set out in the third paragraph of section 1.4.2.1 aims to prevent the situation where the operators are unaware that a fixed guard has not been properly fixed in place or have failed to replace the guard correctly. Where possible, fixed guards should automatically come away from their fixed position when the fixings are loosened.

1.4.2.2        Interlocking movable guards

Interlocking movable guards must:

  • as far as possible remain attached to the machinery when open,
  • be designed and constructed in such a way that they can be adjusted only by means of an intentional action.

Interlocking movable guards must be associated with an interlocking device that:

  • prevents the start of hazardous machinery functions until they are closed and
  • gives a stop command whenever they are no longer closed.

Where it is possible for an operator to reach the danger zone before the risk due to the hazardous machinery functions has ceased, movable guards must be associated with a guard locking device in addition to an interlocking device that:

  • prevents the start of hazardous machinery functions until the guard is closed and locked, and
  • keeps the guard closed and locked until the risk of injury from the hazardous machinery functions has ceased.

Interlocking movable guards must be designed in such a way that the absence or failure of one of their components prevents starting or stops the hazardous machinery functions.

§219   Interlocking movable guards

Section 1.4.2.2 sets out requirements for the second type of guards: interlocking movable guards. The requirements set out in section 1.4.2.2 are complementary to the general requirements for guards and protective devices set out in section 1.4.1.

The two indents of the first paragraph of section 1.4.2.2 set out the requirements for the movable guards themselves. Unlike fixed guards, movable guards must, whenever possible, remain fixed to the machinery when the guards are open. For example, they can be hinged or slide along fixed guides. Their adjustment must be possible only by means of an intentional action in order to prevent, for example, the distance between the guard and the danger zone from being modified unintentionally during opening or closing.

The two indents of the second paragraph of section 1.4.2.2 set out the requirements for the interlocking device which must be fitted to all movable guards.

The two indents of the third paragraph of section 1.4.2.2 set out the requirements for the guard locking device that must be fitted, in addition to the interlocking device, where there is a possibility of the operator reaching the danger zone before the hazardous machinery functions have ceased. This is often the case when the moving parts of the machinery take some time to stop after a stop command has been given (long run down time). It may also be the case for other hazards such as, for example, extreme temperatures or emissions of hazardous substances.

The parameters given in standard EN 999[PP29]  can help to determine whether an interlocking movable guard must be fitted with a guard locking device. [31]

The last paragraph of section 1.4.2.2 concerns the integration of the interlocking and guard locking devices fitted to movable guards into the control system of the machinery. This requirement is a particular application of the general requirement relating to the safety and reliability of control systems – see §184: comments on section 1.2.1.

Specifications for interlocking and guard locking devices for guards are given in standard EN ISO 14119:2013.[32][PP30] 

Power-operated interlocking movable guards designed to be used as safeguards in machinery referred to in items 9, 10 and 11 of Annex IV, when independently placed on the market, are considered as safety components – see §42: comments on Article 2 (c), and §389: comments on Annex V. They are also listed in Annex IV (20).

1.4.2.3        Adjustable guards restricting access

Adjustable guards restricting access to those areas of the moving parts strictly necessary for the work must be:

  • adjustable manually or automatically, depending on the type of work involved, and
  • readily adjustable without the use of tools.

§220   Adjustable guards restricting access

The two indents of section 1.4.2.3 set out requirements for the third type of guards: adjustable guards restricting access. The requirements set out in section 1.4.2.3 are complementary to the general requirements for guards and protective devices set out in section 1.4.1.

Adjustable guards restricting access are to be fitted, in particular, on machinery with manual feed of material or workpieces, where it is not possible to completely prevent access to the danger zone around the tools.

In order to reduce the risk of contact with the hazardous functions as far as possible, it is important to facilitate the adjustment of the guard according to the dimensions of the workpieces concerned. Where this does not give rise to an additional risk, the guard can be designed and constructed so that its position adapts automatically to the dimension of the workpiece. Otherwise, it must be possible for the operator to adjust the position of the guard quickly and easily, without the use of a tool.

1.4.3           Special requirements for protective devices

Protective devices must be designed and incorporated into the control system in such a way that:

  • moving parts cannot start up while they are within the operator's reach,
  • persons cannot reach moving parts while the parts are moving, and
  • the absence or failure of one of their components prevents starting or stops the moving parts.

Protective devices must be adjustable only by means of an intentional action.

§221   Protective devices

Section 1.4.3 sets out requirements for protective devices, such as optoelectronic protective devices, two-hand controls etc. The requirements set out in section 1.4.3 are complementary to the general requirements for guards and protective devices set out in section 1.4.1.

The requirements for protective devices are similar to those for interlocking movable guards, since they have the same purpose of ensuring that operators do not come into contact with moving parts while they are moving.

It should be noted that, since protective devices do not constitute a physical barrier, they are not appropriate where protection is required against hazards such as, for example, ejected objects, extreme temperatures, noise emissions, radiation or emissions of hazardous substances.

  • Specifications for pressure sensitive devices are given in standards EN ISO 13856, parts 1[PP31]  to 3;[33]
  • specifications for two-hand control devices are given in standard EN 574;[34][PP32] 
  • specifications for electro-sensitive protective devices are given in standard EN 61496‑1.[35][PP33] 

1.5              RISKS DUE TO OTHER HAZARDS

1.5.1           Electricity supply

Where machinery has an electricity supply, it must be designed, constructed and equipped in such a way that all hazards of an electrical nature are or can be prevented.

The safety objectives set out in Directive 73/23/EEC shall apply to machinery. However, the obligations concerning conformity assessment and the placing on the market and/or putting into service of machinery with regard to electrical hazards are governed solely by this Directive.

§222   Electricity

Section 1.5.1 deals with risks due to the use of electrical energy. Electrical energy may be transformed into mechanical energy by an electric motor or used, for example, to generate heat or radiation for the process. Static electricity is also used in certain processes such as, for example, painting, the separation of materials or the precipitation of emissions.

The main risks associated with electrical energy are electric shock due to direct contact with live parts (accidental contact with parts that are normally live) or indirect contact (contact with parts that have become live due to a fault) and burns, fire or explosion due to electric sparks or to the overheating of electrical equipment.

The first paragraph of section 1.5.1 requires the machinery manufacturer to take the necessary measures to prevent all hazards of an electrical nature. This general requirement applies whatever the voltage of the electrical supply.

The second paragraph of section 1.5.1 makes the safety requirements of the Low Voltage Directive (LVD) 2014/35/EC(formerly Directive 2006/95/EC as amended) applicable[PP34]   to machinery, also all relevant harmonised Standards listed under the LVD are there for applicable to machinery. The second sentence of this paragraph makes it clear that the procedures of the LVD relating to the placing on the market and putting into service are not applicable to machinery subject to the Machinery Directive. This means that the Declaration of conformity for machinery subject to the Machinery Directive shall not refer to the LVD.

It should be recalled that certain categories of low voltage electrical equipment is excluded from the scope of the Machinery Directive – see §63: comments on Article 1 (2) (k).

General specifications for the design of the electrical equipment of machinery are given in EN 60204-1;[36] specifications for high voltage electrical equipment of machinery are given in standard EN 60204-11.[37][PP35]  Specifications for electrical equipment are also given in many standards for specific categories of machinery.

In addition to the general requirements set out in section 1.5.1, supplementary requirements relating to batteries for mobile machinery are set out in section 3.5.1.

1.5.2           Static electricity

Machinery must be designed and constructed to prevent or limit the build-up of potentially dangerous electrostatic charges and/or be fitted with a discharging system.

§223   Unwanted static electricity

Section 1.5.2 deals with risks due to unwanted static electric charge that can build up in machinery or machinery parts, mainly due to friction between the parts of the machinery or between the machinery and workpieces, materials or fluids used or produced by the machinery. Static charge may also be created in ungrounded metal parts by induction in an electric field.

When a person comes into contact with or approaches a charged part, an electric discharge current can flow through the body to the earth. The resulting physiological effects depend mainly on the size of the contact area, the amount of discharge energy and the amplitude and frequency of the current. These effects can be merely annoying or painful or can have life-threatening consequences. The effect of surprise can contribute to the risk of an accident. Discharge of static electricity can also ignite a fire or trigger an explosion – see §227 and §228: comments on sections 1.5.6 and 1.5.7. Discharge of static electricity can also damage electronic circuits in control systems or impede their correct functioning, leading to hazardous situations.

Various techniques can be used to prevent the build-up of unwanted static charges, such as, for example, replacing insulating materials with dissipative or conductive materials, avoiding a dry atmosphere or creating an ionised atmosphere in the areas concerned. The safe discharge of static charges can be achieved, for example, by bonding and earthling conductive machinery parts.

1.5.3           Energy supply other than electricity

Where machinery is powered by source of energy other than electricity, it must be so designed, constructed and equipped as to avoid all potential risks associated with such sources of energy.

§224   Energy supply other than electricity

Sources of energy other than electricity include, for example, hydraulic, pneumatic, mechanical and thermal energy. The energy may be produced by the machinery itself, for example, by means of an electrically driven hydraulic pump or compressor or by an internal combustion engine, or it may be taken from an external source such as, for example, a supply of compressed air or the power take-off of a tractor. Mechanical energy may also be supplied by other equipment such as, for example, a vehicle test bed that is driven by the vehicle being tested. Energy may also be taken from natural sources such as the wind or moving water. Each type of energy is associated with specific hazards such as, for example, overpressure and internal or external leakage in hydraulic or pneumatic systems, or overheating and gaseous emissions in internal combustion engines.

Section 1.5.3 requires machinery manufacturers to assess and prevent all of the risks due to such energy sources.

Standard EN 982 gives general specifications for hydraulic power systems;[38] standard[PP36]  EN 983 gives general specifications for pneumatic power systems.[39]

In addition to the general requirement set out in section 1.5.3, supplementary requirements relating to internal combustion engines for machinery intended for underground working are set out in section 5.5.

1.5.4           Errors of fitting

Errors likely to be made when fitting or refitting certain parts which could be a source of risk must be made impossible by the design and construction of such parts or, failing this, by information given on the parts themselves and/or their housings. The same information must be given on moving parts and/or their housings where the direction of movement needs to be known in order to avoid a risk.

Where necessary, the instructions must give further information on these risks.

Where a faulty connection can be the source of risk, incorrect connections must be made impossible by design or, failing this, by information given on the elements to be connected and, where appropriate, on the means of connection.

§225   Errors of fitting

The first paragraph of the requirement set out in section 1.5.4 deals with risks that may be created when parts are fitted to the machinery during the installation of machinery or when they are refitted following the transfer of the machinery to a new site or following their removal for maintenance purposes.

This requirement applies to machinery parts that are foreseen to be fitted or removed and refitted by or under the control of the user. Correct fitting of other parts must be ensured by the manufacturer's own production system.

Where incorrect fitting or refitting is foreseeable and can give rise to a risk, it must be prevented, as far as is practicable, by the design and construction of the machinery and of the parts concerned and their fixing systems. For example, a matching asymmetrical shape of the part to be fitted and of the recipient part of the machinery can ensure that the part cannot be fitted in the wrong way. Use of distinct fixing systems for parts that are liable to be confused can ensure the same effect. Where a design solution is not practicable, the necessary indications to avoid errors of fitting must be marked on the machinery parts or their housings.

The second sentence of the first paragraph of section 1.5.4 makes the same requirements applicable to moving parts, such as, for example, chains or belts, that must be fitted in a given direction.

Markings to avoid errors of fitting are subject to the requirements set out in section 1.7.1 relating to information and warnings on the machinery.

According to the second paragraph of section 1.5.4, where necessary, the manufacturer's instructions must give further information on the measures taken to avoid errors of fitting, and, where appropriate, provide explanations of the information marked on the parts concerned – see §264: comments on section 1.7.4.2 (i).

The third paragraph of section 1.5.4 deals with the specific case of the risk of errors of connection. The types of connection concerned may include, for example, the connection of the machinery to supplies of energy or fluids, or the connection of the control system of towed machinery to the control system of self-propelled machinery or a tractor.

The approach to this risk is the same as for the prevention of errors of fitting in general. As far as practicable, errors of connection that can give rise to a risk must be avoided by the design of the elements to be connected, for example, by using different diameters, threads or connecting systems. Markings such as colour codes are useful but are not a substitute for design measures. However, if design measures are not practicable, the necessary information must be marked on the elements to be connected and, where appropriate, on the means of connection.

 

1.5.5           Extreme temperatures

Steps must be taken to eliminate any risk of injury arising from contact with or proximity to machinery parts or materials at high or very low temperatures.

The necessary steps must also be taken to avoid or protect against the risk of hot or very cold material being ejected.

§226   Extreme temperatures

Contact with or proximity to hot machinery parts or hot materials used or produced by machinery can cause discomfort, pain and burns. Contact with very cold parts or materials can cause numbness or frostbite. Repeated exposure to cold can cause damage to nerves or vessels.

Wherever possible, risks due to contact with or proximity to parts of machinery or materials used or produced by machinery at high or very low temperatures must be reduced by avoiding the generation of dangerous temperatures. Where this is not possible, the necessary protective measures must be taken to avoid dangerous contact with or proximity to the areas concerned, either by locating them at a sufficient distance from positions normally reachable by persons or by fitting guards or other protective structures with the necessary thermal insulation.

The requirement set out in the second paragraph of section 1.5.5 is complementary to the requirement set out in section 1.3.3 relating to the risk of ejected objects. Where guards are fitted to protect against the risk of ejection of hot or very cold materials, they must be designed to resist the temperatures concerned – see §216: comments on section 1.4.1.

Standards EN ISO 13732, parts 1 and 3[40] provide[PP37]  guidance on the assessment of the risk of injury due to contact with hot and cold surfaces respectively. Guidance is also given in CENELEC Guide 29.[41][PP38] 

1.5.6           Fire

Machinery must be designed and constructed in such a way as to avoid any risk of fire or overheating posed by the machinery itself or by gases, liquids, dust, vapours or other substances produced or used by the machinery.

§227   Fire

Fire created by machinery creates a serious risk for persons as well as for property, since fire may damage or destroy the machinery itself and surrounding installations and buildings. Assessment of the fire hazard involves identifying and evaluating the three essential elements needed to start a fire, often presented in the form of a triangle:[42]

Reducing the risk of fire involves taking a combination of measures with respect to the three elements of the triangle:

  • Avoiding or reducing the incorporation, the use or the production of combustible materials or substances. Such measures include, for example, the use of fire-resistant materials in the construction of the machinery, the safe containment of flammable liquids, dusts or gases used or produced by the machinery and the safe removal of combustible waste – see §178: comments on section 1.1.3;
  • Preventing overheating of the machinery itself or of the materials or substances used or produced by the machinery and, where overheating may occur, detecting it and triggering the necessary corrective measures or providing a warning to the operator before it gives rise to a risk of fire;
  • Avoiding contact between combustible materials or substances and ignition sources such as, for example, sparks of mechanical or electrical origin or hot surfaces – see §222 and §223: comments on sections 1.5.1 and 1.5.2;
  • Reducing the concentration of oxygen (insofar as this does not give rise to an additional risk for persons) or avoiding the presence of oxidising substances.

Where the risk of fire cannot be adequately reduced by such measures, complementary protective measures shall be taken to limit the effects of a fire. Such measures may include, for example, shielding or enclosing the machinery and fitting fire detection, alarm and/or extinction systems. The necessary measures shall be defined on the basis of an assessment of the fire risk.

General specifications for assessing, preventing and protecting against the risk of fire are given in standard EN 13478.[43][PP39] 

In addition to the general requirements set out in section 1.5.6, supplementary requirements relating to the risk of fire for mobile machinery are set out in section 3.5.2; supplementary requirements relating to the risk of fire for machinery intended for underground work are set out in section 5.5.

1.5.7           Explosion

Machinery must be designed and constructed in such a way as to avoid any risk of explosion posed by the machinery itself or by gases, liquids, dust, vapours or other substances produced or used by the machinery.

Machinery must comply, as far as the risk of explosion due to its use in a potentially explosive atmosphere is concerned, with the provisions of the specific Community Directives.

§228   Explosion

The requirement set out in the first paragraph of section 1.5.7 applies to the risks of explosion due to the operation of the machinery itself or to materials or substances used or produced by the machinery.

Explosions may occur if the combustion of certain concentrations of flammable substances such as gases, vapours, mists or dust in air is triggered by an ignition source of sufficient energy. Explosions involve a very rapid self-sustaining propagation of the combustion reaction with a build-up of high pressure. The damage caused by explosions to persons and property is due to the violent emission of flames, thermal radiation, pressure waves, flying debris and hazardous substances. The severity of the potential damage depends mainly on the quantity of explosive mixture present and its nature.

The principles that apply to the prevention of the risk of explosion are similar to those for the prevention of the risk of fire. Preventing the risk of explosion involves a combination of:

  • avoiding the accumulation of explosive mixtures in areas in or around the machinery by avoiding flammable materials and substances or by permanently maintaining their concentration in the air at values outside the lower or upper explosion limits;
  • avoiding the presence of ignition sources in hazardous areas;
  • reducing the concentration of oxygen in hazardous areas (insofar as this does not give rise to an additional risk for persons).

Where the risk of explosion cannot be completely prevented, complementary protective measures shall be taken to limit the consequences of an explosion. Such measures include, for example, explosion-resistant design, fitting explosion relief devices (vents), fitting automatic explosion detection and suppression systems or devices to prevent the propagation of flame and explosion.

General specifications for assessing, preventing and protecting against the risk of explosion are given in standard EN 1127-1.[44][PP40] 

According to the second paragraph of section 1.5.7, machinery intended for use in or in relation to a potentially explosive atmosphere is subject to the provisions of the ATEX Directive[45][PP41]  - see §91: comments on Article 3. The concept of a potentially explosive atmosphere is explained in the Guidelines on the application of the ATEX Directive.[46][PP42] 

Machinery subject to the ATEX Directive is subject to specific marking requirements – see §251: comments on the third paragraph of section 1.7.3.

Although the ATEX Directive is not applicable as such to explosion risks generated within the machinery itself, equipment complying with the requirements of the ATEX Directive must be fitted in areas of machinery where there is a risk of accumulation of a potentially explosive atmosphere.

1.5.8           Noise

Machinery must be designed and constructed in such a way that risks resulting from the emission of airborne noise are reduced to the lowest level, taking account of technical progress and the availability of means of reducing noise, in particular at source.

The level of noise emission may be assessed with reference to comparative emission data for similar machinery.

§229   Reduction of noise emission

The requirement set out in section 1.5.8 deals with risks associated with the exposure of machinery operators and other persons to noise generated by machinery. Prolonged exposure to noise from machinery is the main cause of occupational noise-induced hearing impairment. Often the risk to health is insidious, since the damage to hearing is cumulative and irreversible but the person concerned is not aware of it at the time of exposure. Exposure to high-energy impulse noise can cause sudden loss of hearing. Exposure to noise is also associated with other hearing disorders such as tinnitus (perception of sound in the absence of an external source). Exposure to noise from machinery is also a factor contributing to fatigue and stress and can contribute to accidents, for example, due to interference with communication – see §181: comments on section 1.1.6.

It is important to distinguish the exposure of persons to noise from the emission of noise by machinery. The emission of noise from machinery, measured under defined conditions, is an intrinsic property of the machinery. The exposure of persons to noise from machinery depends on factors such as the installation of the machinery, the conditions of use of the machinery, the characteristics of the workplace (such as, for example, noise absorption, the scattering of noise, noise reflections), noise emissions from other sources (such as, for example, from other machinery), the position of persons with respect to the sources of noise, the duration of exposure and the use of personal protective equipment (hearing protectors). The machinery manufacturer is responsible for the contribution of his machinery to the risk due to noise.

The exposure of workers to noise is subject to the national provisions implementing Directive 2003/10/EC[PP43]  on the exposure of workers to the risks arising from noise.[47] That Directive sets exposure limit values and exposure action values in respect of the daily noise exposure levels and peak sound pressure levels of workers.

The lower the noise emission from machinery, the easier it is for users to respect the exposure limits set by Directive 2003/10/EC. Users thus have an interest in selecting machinery with as low noise emission as possible for the required performance[48]see §275: comments on section 1.7.4.3.

The Machinery Directive does not set noise emission limits, but requires manufacturers to reduce risks due to noise emission to the lowest level, taking account of technical progress and the availability of means of reducing noise.

In addition to the Machinery Directive, certain categories of machinery are subject to the noise emission limits set by Directive 2000/14/EC[PP44]  on equipment for use outdoors[49] - see §92: comments on Article 3, and §273: comments on section 1.7.4.2.(u).

The manufacturer's approach to preventing risks due to noise emission must take account of the principles of safety integration set out in section 1.1.2:

  • the first priority must be given to design and construction measures to reduce noise emission at source;
  • the second priority must be given to integrated protective measures that complement measures for noise reduction at source, so allowing a further reduction of noise emission;
  • the third priority must be given to informing the user about the residual noise emission so that he can take the necessary protective measures such as, for example, measures relating to the installation of the machinery, to the design of the workplace and to the provision and use of PPE (hearing protectors) – see §264, §267 and §273: comments on sections 1.7.4.2 (j), (l) (m) and (u).

Reducing noise emission at source is the most effective way to reduce the risks due to noise for both the operators of the machinery concerned and for other persons who may be exposed to noise generated by the machinery. In order to reduce noise emission at source effectively, it is necessary to identify the main sources of the noise generated by the machinery concerned. Measures to reduce the dominant source or sources of noise should be taken as early as possible in the design process.

Integrated protective measures against noise emission include fitting acoustic enclosures around the machinery or around the main sources of noise on the machinery. Where appropriate, guards shall be designed to provide the required noise attenuation as well as providing protection against other hazards – see §169: comments on section 1.1.1 (f), and §216: comments on section 1.4.1.

It is also possible to design enclosures of the work stations or driving positions (cabins or cabs) to provide noise attenuation as well as protection against other hazards – see §182: comments on section 1.1.7 and §294: comments on section 3.2.1. However, it should be noted that such measures do not protect operators while they are outside the enclosures nor other exposed persons.

General specifications for the reduction of noise emissions generated by machinery are given in standard EN ISO 11688-1.[50][PP45] 

§230   Comparative emission data

The second paragraph of section 1.5.8 refers to a means of assessing the adequacy of the measures taken to reduce the risks due to noise emission: comparison of the risk level with that of similar machinery. This approach is part of the fourth step of the process of risk assessment set out in General Principle 1: risk evaluation[51][PP46]  – see §158: comments on General Principle 1 - and is the main means for establishing the state of the art - see §161: comments on General Principle 3.

The approach consists in comparing the noise emission value measured on the machinery concerned with values measured on similar machinery of the same family. Similar machinery is machinery intended to carry out the same function with equivalent performance characteristics. The parameters describing the performance are normally specified in the noise test code for the category of machinery concerned. The noise emission for the machinery to be compared must be measured using the same test code.

If the comparison shows that a significant number of similar machines with comparable parameters have a lower level of noise emission, this indicates that the machinery concerned is not in line with the state of the art, since means of further reducing noise emission are available and should be applied. If the comparison shows that similar machines have a similar or higher level of noise emission, this indicates that the noise reduction measures are adequate, unless it is evident that technical means are available to further reduce noise emission, in which case they should be applied.

Application of this approach must be based on the appropriate noise test code and reliable and representative comparative noise emission data. Only limited data collection has been performed so far. However, it is intended for more and more C‑type standards to include comparative emission data for the categories of machinery in their scope.

A method for comparing the noise emission data of machinery is given in standard EN ISO 11689.[52][PP47] 

1.5.9           Vibrations

Machinery must be designed and constructed in such a way that risks resulting from vibrations produced by the machinery are reduced to the lowest level, taking account of technical progress and the availability of means of reducing vibration, in particular at source.

The level of vibration emission may be assessed with reference to comparative emission data for similar machinery.

§231   Vibrations

The requirement set out in section 1.5.9 deals with risks associated with the exposure to vibrations generated by machinery. Vibrations can be generated by the operation of the machinery itself, for example due to rotating or reciprocating masses, gas pulsation or aerodynamic phenomena such as those generated by fans, or by the impact of hand-held machinery on hard materials. Vibrations can also be generated by interaction between the machinery and its environment such as, for example, the movement of mobile machinery over rough ground.

Exposure to vibrations transmitted through the feet or the seat to the whole body can cause or aggravate musculoskeletal disorders such as back pain and damage to the spine. Exposure of the hand/arm system to vibrations can cause damage to blood vessels in fingers and hands (white finger disease) and damage to the peripheral nervous system, tendons, muscles, bones and joints of the hands and arms.

It is important to distinguish the exposure of persons to vibrations from the emission of vibrations by machinery. It should be noted that the exposure of workers to vibrations is subject to the national provisions implementing Directive 2002/44/EC.[53] That Directive sets daily exposure limit values and action values for hand-arm and whole body vibration.

The daily exposure of persons to vibrations cannot be simply deduced from the measurement of vibration emission from machinery, since exposure also depends on the duration and conditions of use of the machinery concerned. However, the lower the level of emission of vibrations from the machinery, the easier it is for users to respect the exposure limits set by Directive 2002/44/EC[PP48] . Users thus have an interest in selecting machinery with as low vibration emission as possible for the required performance – see §275: comments on section 1.7.4.3.

The manufacturer's approach to preventing risks due to vibration emission must take account of the principles of safety integration set out in section 1.1.2:

  • the first priority must be given to design and construction measures to reduce the generation of vibrations at source, for example, by ensuring that the resonance frequencies of machine parts are not close to the vibration excitation frequencies, by choosing materials for the construction of machinery that have high inherent damping characteristics, by including auxiliary mass or by balancing rotating or reciprocating parts;
  • the second priority must be given to integrated protective measures: isolating measures can be taken to prevent the transmission of vibrations to the whole body or to the hand-arm system. Isolating measures include the fitting of metal or elastomeric springs, the fitting of friction, liquid or gas dampers or fitting a combination of springs and dampers;
  • the third priority must be given to informing the user about the residual vibration emission so that he can take the necessary protective measures such as, for example, measures relating to the installation of the machinery or providing appropriate training – see §264 and §267: comments on sections 1.7.4.2 (j) and (l), §279: comments on section 2.2.1.1, and §325: comments on section 3.6.3.1.

The second paragraph of section 1.5.9 refers to an approach for assessing the adequacy of the measures taken to reduce the risks due to vibrations: comparison of the risk level with that of similar machinery. This method shall be applied in the same conditions as the equivalent requirement for comparative noise emission data – see §230: comments on section 1.5.8.

General specifications for the isolation of sources of vibration are given in standard EN 1299.[54][PP49] 

In addition to the general requirements set out in section 1.5.9, supplementary requirements relating to seating on machinery subject to vibrations are set out in section 1.1.8.

1.5.10         Radiation

Undesirable radiation emissions from the machinery must be eliminated or be reduced to levels that do not have adverse effects on persons.

Any functional ionising radiation emissions must be limited to the lowest level which is sufficient for the proper functioning of the machinery during setting, operation and cleaning. Where a risk exists, the necessary protective measures must be taken.

Any functional non-ionising radiation emissions during setting, operation and cleaning must be limited to levels that do not have adverse effects on persons.

§232   Ionising and non-ionising radiation from the machinery

The requirements set out in section 1.5.10 concern risks due to emissions of radiation arising from parts of the machinery or from materials or substances used or produced by the machinery. Section 1.5.10 concerns both ionising and non-ionising radiation. Risks due to coherent optical radiation (lasers) are dealt with in section 1.5.11.

Ionising radiation includes radioactive alpha, beta and gamma radiation and X-rays. Exposure to ionising radiation causes damage to cells and can be carcinogenic.

Non-ionising radiation includes magnetic and electromagnetic radiation in the microwave and radio frequency ranges and optical radiation in the infrared, visible and ultraviolet frequency ranges. Exposure to strong magnetic fields can cause vertigo, nausea and magnetophosphenes (visual sensation of flickering lights). Exposure to microwave and radio frequency radiation may lead to heating effects and disturb nerve and muscle responses. Exposure to certain levels of optical radiation can cause burns and other injuries to the eyes and skin. Exposure to ultraviolet radiation can be carcinogenic.

It should be noted that the exposure of workers to radiation is subject to national provisions implementing the following Directives:

Ionising radiation:

Directive 96/29/Euratom[55][PP50] 

Electromagnetic fields:

Directive 2004/40/EC[56]

Artificial optical radiation:

Directive 2006/25/EC[57]

These Directives set exposure limit values. While it is important to distinguish the exposure of persons to radiation from the emission of radiation by machinery, the lower the emissions from the machinery, the easier it is for users to respect the exposure limits.

The general requirement set out in the first paragraph of section 1.5.10 applies to undesirable emissions of radiation, that is to say, to emissions that are not essential to the functioning of the machinery. It applies to both ionising and non-ionising radiation. The prevention of risks due to undesirable radiation involves:

  • avoiding emissions of radiation or reducing their power to non harmful levels – it should be noted that there is considered to be no harmless level of exposure to ionising radiation;
  • where emissions cannot be eliminated or their power sufficiently reduced, shielding to prevent the exposure of operators and other persons;
  • informing users about residual risks due to radiation and on the need to provide and use personal protective equipment – see §267: comments on section 1.7.4.2 (l) and (m).

The second paragraph of section 1.5.10 deals with risks due to functional ionising radiation. It should be recalled that machinery specially designed for the purposes of the nuclear power industry or for the production or processing of radioactive materials is excluded from the scope of the Machinery Directive. However machinery subject to the Machinery Directive may incorporate sources of ionising radiation, for example, for the purposes of measurement, non-destructive testing or preventing the accumulation of static electric charge – see §50: comments on Article 1 (2) (c).

Such functional ionising radiation must be limited to the lowest level which is sufficient for the proper functioning of the machinery and the necessary protective measures must be taken to ensure that operators and other persons are not exposed to radiation, whether during normal operation of the machinery or during maintenance operations such as setting and cleaning.

It should be noted that the use of radioactive sources may be subject to authorisation and control according to the national provisions implementing Directive 96/29/Euratom and Directive 2003/122/Euratom.[58][PP51] 

The third paragraph of section 1.5.10 deals with functional non-ionising radiation. Since exposure to low levels of certain types of non-ionising radiation may be harmless, the third paragraph of section 1.5.10 requires that the levels of non-ionising radiation to which persons are exposed must not have adverse effects.

General specifications for the assessment and measurement of and protection against non-ionising radiation are given in standards EN 12198, parts 1 to 3.[59][PP52] 

1.5.11         External radiation

Machinery must be designed and constructed in such a way that external radiation does not interfere with its operation.

§233   External radiation

The requirement set out in section 1.5.11 deals with one aspect of the electromagnetic compatibility of machinery, that is to say the immunity of the machinery to disturbance, due to electromagnetic radiation from external sources that may affect the health and safety of persons. In this respect, particular attention should be paid to the design and construction of safety related parts of the control system – see §184: comments on section 1.2.1.

With respect to the immunity of machinery to electromagnetic radiation that may disturb the functioning of the machinery in general, and with respect to the emissions of electromagnetic radiation from the machinery that may disturb the functioning of other equipment, the EMC Directive 2004/108/EC[PP53]  is applicable in addition to the Machinery Directive[60]see §92: comments on Article 3.

The requirement set out in section 1.5.11 also requires machinery manufacturers to prevent interference from other types of external radiation that can reasonably be expected in the intended conditions of use. For example, external artificial or natural optical radiation may interfere with the functioning of certain photoelectric devices or wireless remote control devices.

1.5.12                     Laser radiation

Where laser equipment is used, the following should be taken into account:

  • laser equipment on machinery must be designed and constructed in such a way as to prevent any accidental radiation,
  • laser equipment on machinery must be protected in such a way that effective radiation, radiation produced by reflection or diffusion and secondary radiation do not damage health,
  • optical equipment for the observation or adjustment of laser equipment on machinery must be such that no health risk is created by laser radiation.

§234   Laser radiation

Sources of laser radiation are frequently incorporated in machinery for purposes such as, for example, measurement, data processing or presence detection, or in laser  processing machinery such as, for example, machinery for heat treatment, marking, cutting, bending or welding of materials or workpieces. The risks due to lasers depend on the wavelength and power of the radiation. Exposure to laser radiation can cause eye or skin injuries and burns.

It should be noted that the exposure of workers to laser radiation is subject to national provisions implementing Directive 2006/25/EC[PP54]  on artificial optical radiation, which sets exposure limit values.

The requirement set out in section 1.5.12 requires machinery manufacturers to integrate laser generators or sources into machinery so that the radiation is only applied where and when it is required. Where necessary, local or peripheral shields or screens must be fitted to protect persons against potentially harmful direct, reflected, diffused or scattered radiation.

As a general rule, on laser processing machinery, access to the process zone must be prevented during normal operation. Where operators are required to observe laser equipment, for example, for setting or adjustment purposes, the manufacturer shall integrate the necessary protective measures to prevent any risk of damage to health. In accordance with section 1.1.2 (b), instructions on the provision and use of PPE (eye protectors) against laser radiation shall only be given for residual risks that cannot be prevented by integrated protective measures.

The third indent of section 1.5.12 entails that optical equipment fitted for the protection of operators during observation or adjustment of laser equipment, such as screens, must have the necessary maximum transmittance, taking account of the wavelength range and the other characteristics of the laser radiation, in order to prevent any risk of damage to health.

General specifications for laser processing machinery are given in standards EN ISO 11553, parts 1 and 2.[61]

Specifications for protective screens are given in standard EN 12254.[62][PP55] 

1.5.13                     Emissions of hazardous materials and substances

Machinery must be designed and constructed in such a way that risks of inhalation, ingestion, contact with the skin, eyes and mucous membranes and penetration through the skin of hazardous materials and substances which it produces can be avoided.

Where a hazard cannot be eliminated, the machinery must be so equipped that hazardous materials and substances can be contained, evacuated, precipitated by water spraying, filtered or treated by another equally effective method.

Where the process is not totally enclosed during normal operation of the machinery, the devices for containment and/or evacuation must be situated in such a way as to have the maximum effect.

§235   Emissions of hazardous materials and substances

The requirements set out in section 1.5.13 deal with risks to health due to the emission of hazardous materials and substances produced by machinery. Hazardous materials and substances include chemical and biological materials and substances classified as toxic, harmful, corrosive, irritant, sensitising, carcinogenic, mutagenic, teratogenic, pathogenic or asphyxiant. Airborne emissions of hazardous substances are most likely to enter the body by inhalation but may also enter by other routes when deposited on surfaces of the body or ingested. Non-airborne emissions of hazardous substances are most likely to enter the body by ingestion or by contact with the skin, eyes or mucous membranes.

Prevention of risks due to emissions of hazardous materials and substances can be achieved by avoiding the use of hazardous materials and substances or by using less hazardous substances – see §178: comments on section 1.1.3. The production process can also be designed in order to avoid or reduce emissions.

Where emissions of hazardous materials and substances cannot be sufficiently avoided or reduced, the second paragraph of section 1.5.13 requires machinery to be fitted with the equipment necessary to contain, evacuate or precipitate hazardous materials and substances in order to protect persons against exposure. Where the hazardous materials or substances are combustible or may form an explosive mixture with air, precautions must be taken to prevent the risk of fire or explosion during their containment or evacuation – see §227 and §228: comments on sections 1.5.6 and 1.5.7.

The third paragraph of section 1.5.13 deals with cases where the process is not completely enclosed. In such cases, the equipment for the containment or the evacuation of hazardous materials and substances must be designed and located in order to avoid leaks. This can be achieved, for example, by maintaining the containers at negative pressure or by locating extraction hoods or nozzles with an adequate air flow as close as possible to the points of emission.

General specifications for preventing risks due to emissions of hazardous materials and substances are given in standards EN 626, parts 1 and 2.[63][PP56] 

1.5.14         Risk of being trapped in a machine

Machinery must be designed, constructed or fitted with a means of preventing a person from being enclosed within it or, if that is impossible, with a means of summoning help.

§236   Risk of being trapped

The requirement set out in section 1.5.14 applies in cases where the presence of persons in enclosed areas of the machinery cannot be altogether avoided, for example inside a tunnel kiln or waste compacting machine. The requirement also applies to the carriers of certain types of machinery designed for lifting persons where there is a risk of users being trapped if the carrier is immobilised at a height or between fixed landings. Attention should also be given to the risk of a person being trapped in an operating position at a height, for example, in case of incapacity.

The requirement set out in section 1.5.14 should be considered in conjunction with the requirements set out in section 1.1.7 relating to exits and emergency exits from operating positions – see §182: comments on section 1.1.7 - and sections 1.6.4 and 1.6.5 relating to operator intervention and the cleaning of internal parts.

1.5.15                     Risk of slipping, tripping or falling

Parts of the machinery where persons are liable to move about or stand must be designed and constructed in such a way as to prevent persons slipping, tripping or falling on or off these parts.

Where appropriate, these parts must be fitted with handholds that are fixed relative to the user and that enable them to maintain their stability.

§237   Slips, trips and falls

The requirement set out in the first paragraph of section 1.5.15 applies to all parts of the machinery on which persons are liable to move about or stand, whether in order to access operating positions and maintenance points, in order to move from one part of the machinery to another – see §240: comments on section 1.6.2. It also applies to parts of the machinery on which persons move about or stand while using machinery intended for the lifting or moving of persons. The requirement thus applies to parts of machinery such as, for example, footboards, work platforms, gangways, walkways, ramps, steps, stepladders, ladders, floors, the steps of escalators or the band of passenger conveyors.

The requirement set out in section 1.5.15 only applies to parts of the machinery, including means of access to the machinery installed in the user’s premises – see §240: comments on section 1.6.2. The employer's obligations with respect to workplace floors are set out in Council Directive 89/654/EEC.[64] Any[PP57]  particular requirements for the floor on which the machinery must be used or installed shall be specified in the manufacturer’s instructions – see §264: comments on section 1.7.4.2 (i).

In order to prevent the risk of slipping, the manufacturer must ensure that the surfaces of the machinery on which it is foreseeable that persons will move about or stand have adequate slip resistance, taking account of the conditions of use. Since the accumulation of substances such as water, oil or grease, earth, dirt, snow or ice tends to increase the risk of slipping, the surfaces on which persons are liable to move about and stand must, where possible be designed and located so as to avoid the presence of such substances or be designed so that such substances do not accumulate or can be drained away. Where surfaces may remain wet or damp, smooth surfaces should be avoided.

In order to prevent the risk of tripping, it is important to avoid differences of level between adjacent surfaces. For example, the levelling accuracy of lifting machinery serving fixed landings where persons have access to the carrier must be such as to prevent a difference of level between the floor of the carrier and the landing that could create a tripping risk. Care should be taken when locating and fixing cables and piping to avoid creating obstacles that give rise to a risk of tripping.

Where there is a risk of falling, the areas concerned must be fitted with the necessary enclosures or guard rails and toe plates to prevent falls. Anchorage for attaching PPE against falls from a height shall be fitted where there is a residual risk of falling – see §265: comments on section 1.7.4.2 (m), and §374: comments on section 6.3.2. Appropriate types of anchorage should be chosen, taking account of the need of operators to move. However, in accordance with section 1.1.2 (b), instructions on the provision and use of PPE shall not be a substitute for integrated protective measures against the risk of falling when such measures are practicable.

The second paragraph of section 1.5.15 requires areas of machinery where persons are liable to move about or stand to be fitted, where appropriate, with handholds that are fixed relative to the users in order to enable them to keep their balance. This is a complementary measure to reduce the risk of slipping, tripping and falling and is particularly important for machinery where users are intended to step on to a moving surface such as escalators and moving walkways.

General specifications to prevent the risks of slipping, tripping and falling are given in the standards of the EN ISO 14122 series – see §240: comments on section 1.6.2[PP58] .

In addition to the general requirement set out in section 1.5.15, supplementary requirements relating to the risk of falling from the carrier of machinery for lifting persons are set out in section 6.3.2.

1.5.16         Lightning

Machinery in need of protection against the effects of lightning while being used must be fitted with a system for conducting the resultant electrical charge to earth.

§238   Lightning

The requirement set out in section 1.5.16 applies mainly to machinery intended to be used outdoors, whether intended to be installed at one fixed location or to be erected at successive locations. It may also apply to machinery that is connected to the outdoors by conductive parts. Machinery subject to risks due to lightning must be fitted with an appropriate lightning conductor and the means of connecting the conductor to earth. The manufacturer's instructions must specify how the connection to earth is to be made, inspected and maintained so that it remains effective – see §264 and §272: comments on sections 1.7.4.2 (i) and (r).

1.6              MAINTENANCE

1.6.1           Machinery maintenance

Adjustment and maintenance points must be located outside danger zones. It must be possible to carry out adjustment, maintenance, repair, cleaning and servicing operations while machinery is at a standstill.

If one or more of the above conditions cannot be satisfied for technical reasons, measures must be taken to ensure that these operations can be carried out safely (see section 1.2.5).

In the case of automated machinery and, where necessary, other machinery, a connecting device for mounting diagnostic fault-finding equipment must be provided.

Automated machinery components which have to be changed frequently must be capable of being removed and replaced easily and safely. Access to the components must enable these tasks to be carried out with the necessary technical means in accordance with a specified operating method.

§239   Maintenance

The first paragraph of section 1.6.1 states important general principles for the design of machinery to ensure that maintenance operations can be carried out safely. Locating adjustment and maintenance points outside danger zones avoids the need for maintenance operators to enter danger zones to carry out their tasks and the need to remove fixed guards or open interlocking movable guards for that purpose.

As far as possible, the machinery must be designed so that maintenance operations can be carried out while the machinery is at stop. For example, where tools have to be changed or removed for cleaning purposes, the machinery must be provided with the means of freeing them without starting the machinery. Where special equipment is needed for that purpose, it must be provided with the machinery – see §177: comments on section 1.1.2 (e). In some cases, it may not be necessary to stop the machinery as a whole, provided the parts on which the work is being carried out and the parts which could affect the safety of operators are at a stop.

The second paragraph of section 1.6.1 recognises that it is not possible, in every case, to avoid the need to enter danger zones for maintenance purposes and that it may be necessary to carry out certain setting operations or adjustments with the machinery running. In that case, the control system of the machinery must include an appropriate safe operating mode as referred to in section 1.2.5 – see §204: comments on section 1.2.5.

The requirements set out in the third and fourth paragraphs of section 1.6.1 aim to reduce risks due to operator intervention, particularly for automated machinery. The third paragraph of section 1.6.1 requires machinery to be provided, where appropriate, with the means of connecting the necessary diagnostic fault-finding equipment. The fourth paragraph requires the manufacturer to design automated machinery to facilitate the removal and replacement of components that have to be changed frequently. The safe method to be employed for such maintenance operations must be clearly specified and explained in the instructions – see §272: comments on section 1.7.4.2 (s).

1.6.2           Access to operating positions and servicing points

Machinery must be designed and constructed in such a way as to allow access in safety to all areas where intervention is necessary during operation, adjustment and maintenance of the machinery.

§240   Access to operating positions and servicing points

The requirement set out in section 1.6.2 must be considered when locating operating positions and servicing points. Locating operating positions and servicing points in easily accessible areas, for example, at ground level, can avoid the need to fit special means of access. Where special means of access are required, operating positions and servicing points to which frequent access is required should be located so they can be easily reached from a suitable means of access. Like the adjustment and maintenance points themselves, means of access should also be located outside the danger zones – see §239: comments on section 1.6.1.

The machinery manufacturer is responsible for ensuring that the necessary means of safe access are provided with the machinery. This includes the case of machinery the construction of which is completed at the user's premises. In that case, means of access already existing in the premises can be taken into account by the machinery manufacturer and should be specified in the technical file.

The means of access to servicing points must be designed taking account of the tools and equipment that are needed for the maintenance of the machinery.

Special means for exceptional access, such as, for example, for exceptional repairs, may be described in the manufacturer’s instructions – see §272: comments on section 1.7.4.2 (s).

Specifications for the choice and design of permanent means of access to machinery are given in the standards of the EN ISO 14122 series.[65][PP59] 

1.6.3           Isolation of energy sources

Machinery must be fitted with means to isolate it from all energy sources. Such isolators must be clearly identified. They must be capable of being locked if reconnection could endanger persons. Isolators must also be capable of being locked where an operator is unable, from any of the points to which he has access, to check that the energy is still cut off.

In the case of machinery capable of being plugged into an electricity supply, removal of the plug is sufficient, provided that the operator can check from any of the points to which he has access that the plug remains removed.

After the energy is cut off, it must be possible to dissipate normally any energy remaining or stored in the circuits of the machinery without risk to persons.

As an exception to the requirement laid down in the previous paragraphs, certain circuits may remain connected to their energy sources in order, for example, to hold parts, to protect information, to light interiors, etc. In this case, special steps must be taken to ensure operator safety.

§241   Isolation of energy sources

The objective of the requirement set out in section 1.6.3 is to keep machinery in a safe condition while maintenance is being carried out. To this end, operators carrying out maintenance operations while the machinery is stopped must be able to isolate the machinery from its sources of energy before intervening in order to prevent dangerous occurrences such as unexpected start-up of the machinery, whether due to machinery faults, to the action of other persons who may ignore the presence of maintenance operators or to inadvertent actions of the maintenance operators themselves.

For this purpose, means of isolation must be fitted to enable operators to disconnect and separate in a reliable way the machinery from all sources of energy, including the electricity supply and sources of mechanical, hydraulic, pneumatic or thermal energy.

Where the operators carrying out maintenance operations cannot easily check that the means of isolation remain in the isolating position, the isolators must be designed so that they are lockable in this position. When it is foreseeable that several operators may have to carry out maintenance operations simultaneously, the isolator should be designed so that each of the operators concerned can place his or her lock on the isolator for the duration of his or her intervention.

The second paragraph of section 1.6.3 applies mainly to hand-held power tools or transportable machinery, where the operator can check from any of the points to which he has access whether or not the electricity supply is connected. In that case, the removal of the electric plug is sufficient to ensure isolation from the energy source.

The third paragraph of section 1.6.3 requires machinery to be fitted with means to dissipate any stored energy that could put the operators at risk. Such stored energy may include, for example, kinetic energy (inertia of moving parts), electrical energy (capacitors) fluids under pressure, springs or parts of the machinery that may move due to their own weight.

The fourth paragraph of section 1.6.3 admits an exception to the requirements set out in the first three paragraphs, in cases where it is necessary to maintain the energy supply to certain circuits during maintenance operations in order to ensure safe working conditions. For example, it may be necessary to maintain the energy supply for stored information, for lighting, for the operation of tools or for the extraction of hazardous substances. In such cases, the energy supply must only be maintained to the circuits where it is needed and measures must be taken to ensure the safety of operators, such as, for example, preventing access to the circuits concerned or providing appropriate warnings or warning devices.

The manufacturer's instructions on safe adjustment and maintenance must include information on the isolation of energy sources, the locking of the isolator, the dissipation of residual energies and the verification of the safe state of the machinery – see §272: comments to section 1.7.4.2 (s).

General specifications for the means of isolation and locking for different sources of energy are given in standard EN 1037.[66][PP60]  For the machinery in its scope, standard EN 60204‑1[67] gives specifications for the reliable disconnection of the electrical supply.

A specific requirement relating to the disconnection of batteries on mobile machinery is set out in section 3.5.1.

1.6.4           Operator intervention

Machinery must be so designed, constructed and equipped that the need for operator intervention is limited. If operator intervention cannot be avoided, it must be possible to carry it out easily and safely.

§242   Operator intervention

The design and construction of the machinery and the fitting of devices and equipment in order to avoid or limit the need for operator intervention in danger zones is an effective way of reducing the associated risks. Where operator intervention cannot be entirely avoided, the machinery must be designed so that it can be carried out easily and safely.

1.6.5           Cleaning of internal parts

The machinery must be designed and constructed in such a way that it is possible to clean internal parts which have contained dangerous substances or preparations without entering them; any necessary unblocking must also be possible from the outside. If it is impossible to avoid entering the machinery, it must be designed and constructed in such a way as to allow cleaning to take place safely.

§243   Cleaning of internal parts

The requirement set out in section 1.6.5 deals with an example of operator intervention mentioned in the previous section which can be particularly dangerous. Entering parts of machinery such as, for example, silos, tanks, containers or piping, that have contained dangerous substances or preparations can give rise to a risk of intoxication or asphyxia, both for the operators concerned and for persons attempting to rescue them.

The general rule set out in the first sentence of section 1.6.5 is that it must be possible to clean or unblock such parts from the outside so that it is not necessary to enter them. Where it is not possible to avoid entering such parts, the necessary protective measures must be taken, such as, for example, the fitting of an adequate ventilation system, the monitoring of the concentration of hazardous substances or of the lack of oxygen in the air and provisions for the surveillance and safe rescue of operators.

 

1.7              INFORMATION

§244   Information for users

Since the safe use of machinery depends on a combination of design and construction measures taken by the manufacturer and protective measures taken by the user, providing the necessary information and instructions to users is an essential and integral part of the design of the machinery.

Information, warnings and instructions about residual risks concern the third step of the three-step method set out in section 1.1.2 on the principles of safety integration. The fact that this third step is the last in the order of priority implies that warnings and instructions must not be a substitute for inherently safe design measures and integrated protective measures when these are possible, taking into account the state of the art - see §174: comments on section 1.1.2 (b).

The requirements set out in sections 1.7.1 to 1.7.4 apply to machinery in the broad sense, that is to say to any of the products listed in Article 1 (1) (a) to (f) – see §33: comments on Article 2. For application of these requirements to partly completed machinery – see §390: comments on Annex VI.

1.7.1           Information and warnings on the machinery

Information and warnings on the machinery should preferably be provided in the form of readily understandable symbols or pictograms. Any written or verbal information and warnings must be expressed in an official Community language or languages, which may be determined in accordance with the Treaty by the Member State in which the machinery is placed on the market and/or put into service and may be accompanied, on request, by versions in any other official Community language or languages understood by the operators.

§245   Information and warnings on the machinery

The requirements set out in section 1.7.1 concern the form of information and warnings that are part of the machinery. The first sentence of section 1.7.1 advises manufacturers to use readily understood symbols or pictograms for this purpose. Well designed symbols or pictograms can be understood intuitively and avoid the need for the translation of written or verbal information.

The second sentence of section 1.7.1 applies when information is provided in the form of written words or text on the machinery, on a monitor screen or in the form of oral text provided, for example, by means of voice synthesiser. In such cases the information and warnings must be provided in the official language or languages of the Member States in which the machinery is placed on the market and/or put into service.

The user of machinery may also request the manufacturer to provide the information and warnings on the machinery or on monitor screens accompanied by versions in any other language or languages of the EU that are understood by the operators. This may be for various reasons, for example:

  • the persons who are to use the machinery do not understand the official language of the Member State concerned;
  • the machinery is to be used in a workplace that has a single working language other than the official language(s) of the Member State concerned;
  • the machinery is to be used in one Member State and maintained by technicians from a different Member State;
  • remote diagnostics are to be carried out in a Member State different from the Member State where the machinery is to be used.

Providing information or warnings on the machinery in EU languages other than the official language(s) of the Member State in which the machinery is placed on the market and/or put into service or in any other language(s) is a matter to be settled by contract between the manufacturer and the user when the machinery is ordered.

 

§246   The official languages of the EU

There are 23 official EU languages, used in the following Member States:

Austria

  • German

Italy

  • Italian

Belgium

  • Dutch, French and German

Latvia

  • Latvian

Bulgaria

  • Bulgarian

Lithuania

  • Lithuanian

Croatia

  • Croatian

Luxembourg

  • French and German

Cyprus

  • English and Greek

Malta:

  • English and Maltese

Czech Republic

  • Czech

The Netherlands

  • Dutch

Denmark

  • Danish

Poland

  • Polish

Estonia

  • Estonian

Portugal

  • Portuguese

Finland

  • Finnish and Swedish

Romania

  • Romanian

France

  • French

Slovakia

  • Slovak

Germany

  • German

Slovenia

  • Slovenian

Greece

  • Greek

Spain

  • Spanish

Hungary

  • Hungarian

Sweden

  • Swedish

Ireland

  • English and Irish

United Kingdom

  • English

Certain of the Member States with two or more official languages (Belgium, Finland) accept the use of one language only in areas where only that language is spoken. Manufacturers are advised to check this with the national authorities concerned. Other Member States with two official languages (Cyprus, Malta and Ireland) accept the sole use of English.

In the other countries where the Machinery Directive applies in virtue of the EEA, the MRA between Switzerland and the EU-Turkey Customs Union, the national provisions implementing the Machinery Directive require the use of the official language(s) of the country concerned:

Iceland

  • Icelandic

Switzerland

  • French, German and Italian

Liechtenstein

  • German

Turkey

  • Turkish

Norway

  • Norwegian

 

 

 

 

1.7.1.1        Information and information devices

The information needed to control machinery must be provided in a form that is unambiguous and easily understood. It must not be excessive to the extent of overloading the operator.

Visual display units or any other interactive means of communication between the operator and the machine must be easily understood and easy to use.

§247   Information and information devices

The requirement set out in section 1.7.1.1 applies to all information on the machinery which is needed to help operators to control its operation. In particular, it applies to the indicators and displays provided with control devices – see §194: comments on section 1.2.2. Such information is subject to the requirements set out in section 1.7.1.

Specifications for the design of information, information devices, indicators and displays are given in standards of the EN 894 series[PP61] [68] and in standards of the EN 61310 series.[69]

1.7.1.2        Warning devices

Where the health and safety of persons may be endangered by a fault in the operation of unsupervised machinery, the machinery must be equipped in such a way as to give an appropriate acoustic or light signal as a warning.

Where machinery is equipped with warning devices these must be unambiguous and easily perceived. The operator must have facilities to check the operation of such warning devices at all times.

The requirements of the specific Community Directives concerning colours and safety signals must be complied with.

§248   Warning devices

Section 1.7.1.2 deals with risks for persons due to faults in machinery or parts of machinery that are designed to operate without the permanent supervision of operators. The warning devices must be such as to inform the operators or other exposed persons of dangerous faults in order to enable the necessary action to protect persons at risk to be taken. Where appropriate, the warning devices can be fitted to the machinery itself or be activated at a distance.

Standard EN 61310-1 gives specifications for visual and acoustic signals[PP62] .

The last paragraph of section 1.7.1.2 refers to Directive 92/58/EEC,[70] which[PP63]  lays down minimum requirements for signs to be used at the workplace. The national regulations implementing that Directive do not therefore apply directly to machinery manufacturers. However, section 1.7.1.2 requires machinery manufacturers to comply with the technical requirements of that Directive in the interest of uniformity of safety signs in the workplace.

1.7.2           Warning of residual risks

Where risks remain despite the inherent safe design measures, safeguarding and complementary protective measures adopted, the necessary warnings, including warning devices, must be provided.

§249   Warning of residual risks

The requirement set out in section 1.7.2 refers to residual risks, that is to say, risks that cannot be eliminated or sufficiently reduced by inherently safe design measures and that cannot be completely prevented by integrated protective measures – see §174: comments on section 1.1.2 (b). Warnings about residual risks on the machinery are complementary to the information about the residual risks to be given in the manufacturer's instructions – see §267: comments on section 1.7.4.2 (l). Warnings on the machinery are useful where operators or other exposed persons need to be informed of particular precautions to be taken with respect to residual risks during the use of the machinery such as, for example, the presence of hot surfaces or lasers. They can also be useful to recall the need to use PPE.

The warnings marked on the machinery shall comply with the requirements set out in section 1.7.1. The warnings provided by means of warning devices shall comply with the requirements set out in section 1.7.1.2.

C-type standards may define the form and provide guidance on the content of warnings. Additionally, Directive 92/58/EEC and standard EN 61310-1 include guidance that is relevant for the design of such warnings[PP64] .

1.7.3           Marking of machinery

All machinery must be marked visibly, legibly and indelibly with the following minimum particulars:

  • the business name and full address of the manufacturer and, where applicable, his authorised representative,
  • designation of the machinery,
  • the CE Marking (see Annex III),
  • designation of series or type,
  • serial number, if any,
  • the year of construction, that is the year in which the manufacturing process is completed.

It is prohibited to pre-date or post-date the machinery when affixing the CE marking.

. . .

§250   Marking of machinery

The first paragraph of section 1.7.3 deals with particulars that must be marked on all machinery, in addition to other information or warnings to users. Apart from the CE marking and the ATEX marking, section 1.7.3 does not impose any particular form for the marking on the machinery, providing it is visible, legible and indelible. The marking must therefore be affixed in a place on the machine that is visible from the outside and not hidden behind or beneath parts of the machinery. Taking account of the size of the machinery, the characters used must be large enough to be read easily. The marking technique used must ensure that the marking will not be effaced during the lifetime of the machinery, taking account of the foreseeable conditions of use. If the marking is displayed on a plate, it should be permanently fixed to the machinery, preferably by welding, riveting or bonding.

In the case of products which are too small to bear a legible marking of the particulars required by section 1.7.3, the marking can be displayed on a durable label attached to the product (while ensuring that the correct functioning of the machinery is not affected).

Specific marking requirements for chains, ropes and webbing are set out in section 4.3.1 – see §357: comments on section 4.3.1.

The language requirements set out in section 1.7.1 do not apply to the particulars referred to the in first paragraph of section 1.7.3. However, these particulars should be written in one of the official EU languages.

The following comments refer to the six indents of the first paragraph of section 1.7.3:

  • the business name and full address of the manufacturer and, where applicable, his authorised representative

The purpose of the requirement set out in the first indent of section 1.7.3 is to enable the user or the market surveillance authorities to contact the manufacturer in case of a problem - see §79 to §81: comments on Article 2 (i). The same information must be given in the EC Declaration of Conformity – see §383: comments on Annex II 1 A.

The term 'business name' refers to the name under which the company concerned is registered.

The term 'full address' means a postal address that is sufficient to enable a letter to reach the manufacturer. The name of the country or town alone is not sufficient. There is no obligation to mark the manufacturer’s e-mail address or Website, although these can usefully be added.

The business name and full address of the authorised representative of the manufacturer established in the EU must also be marked on the machinery in cases where the manufacturer has mandated such an authorised representative – see §84 and §85: comments on Article 2 (j).

If it is not practicable to include in the marking the full address of the manufacturer or of his authorised representative, for example, in the case of very small machinery, this information be provided in the form of a code, provided that this code is explained and the full address is given in the instructions supplied with the machinery – see §259: comments on section 1.7.4.2 (b) and in the EC Declaration of Conformity of the machinery – see §383: comments on Annex II 1 A.

  • designation of the machinery

The term 'designation of the machinery' refers to the usual name of the category of machinery to which the specific model of machinery belongs. (The term has a similar meaning to the terms 'generic denomination and function' used in Annex II with respect to the EC Declaration of conformity). Wherever possible, the term used to designate the category of machinery concerned in harmonised standards should be used. The same information must be given in the EC Declaration of conformity – see §383: comments on Annex II 1 A.

If it is not practicable to include in the marking an explicit designation of the machinery, for example, in the case of very small machinery, the designation can be provided in the form of a code, providing that this code is explained and the explicit designation is given in the instructions supplied with the machinery – see §259: comments on section 1.7.4.2 (b) and in the EC Declaration of conformity of the machinery – see §383: comments on Annex II 1 A.

The manufacture’s designation of the machinery should not be construed as a basis for determining whether or not certain EHSRs or conformity assessment procedures are applicable, which must be determined independently.

  • the CE Marking (see Annex III)

The requirements for the CE marking are set out in Article 16 and Annex III. According to Annex III, the CE marking must be affixed in the immediate vicinity of the name of the manufacturer or his authorised representative, using the same technique - see §141: comments on Article 16 and §387: comments on Annex III.

  • designation of series or type

The designation of the series or type is the name, code or number given by the manufacturer to the model of machinery concerned that has been subject to the relevant conformity assessment procedure. The designation of the series or type often includes a trademark.

  • serial number, if any

A serial number is a means of identifying an individual item of machinery belonging to a series or type. The Machinery Directive does not require machinery to bear a serial number, but where a serial number has been attributed by the manufacturer, it must be indicated after the designation of the series or type.

  • the year of construction, that is the year in which the manufacturing process is completed.

It is prohibited to pre-date or post-date the machinery when affixing the CE marking.

The year of construction is defined as the year in which the manufacturing process is completed. For[PP65]  machinery that is assembled in the manufacturer's premises, the manufacturing process can be considered to be completed, at the latest, when the machinery leaves the manufacturer's premises to be transferred to an importer, a distributor or to the user. For machinery that is only finally assembled at the user's premises, the manufacturing process can be considered to be completed when the assembly of the machinery on site has been completed and is ready to be put into service. For machinery manufactured by the user for his own use, the manufacturing process can be considered to be completed when the machinery is ready to be put into service – see §80: comments on Article 2 (i).

In addition to the general requirements on marking set out in section 1.7.3, additional requirements on marking for mobile machinery are set out in section 3.6.2; requirements on marking for chains, ropes and webbing, lifting accessories and lifting machinery are set out in section 4.3; additional requirements on marking for machinery for lifting persons are set out in section 6.5.

It should be noted that, on machinery subject to the Outdoor Equipment Directive 2000/14/EC, the CE marking is accompanied by the marking of the guaranteed sound power level – see §92: comments on Article 3, and §271: comments on section 1.7.4.2 (u).

1.7.3           Marking of machinery (continued)

. . .

Furthermore, machinery designed and constructed for use in a potentially explosive atmosphere must be marked accordingly.

. . .

§251   Conformity marking for ATEX Machinery

The third paragraph of section 1.7.3 applies to machinery that is subject to the ATEX Directive 94/9/EC[71] in[PP66]  addition to the Machinery Directive - see §91: comments on Article 3, and §228: comments on section 1.5.7. The CE marking signifies the conformity of the machinery with the applicable EU Directives that provide for its affixing – see §141: comments on Article 16. In addition to the CE marking, the ATEX Directive provides for a specific marking for explosion protection:

          

The ATEX marking is followed by the symbol of the equipment group and category. Note that although this section does not directly apply to Partly Complete Machinery, if the PCM is covered by the ATEX directive it must bear the Ex mark and also be CE marked under the ATEX Directive.

1.7.3           Marking of machinery (continued)

. . .

Machinery must also bear full information relevant to its type and essential for safe use. Such information is subject to the requirements set out in section 1.7.1.

. . .

§252   Information essential for safe use

The fourth paragraph of section 1.7.3 requires the machinery to bear the necessary information essential for its safe use. This information is subject to the requirements relating to pictograms and language set out in section 1.7.1. The requirement relating to information and information devices set out in 1.7.1.1 should also be taken into consideration.

The manufacturer is not expected to mark on the machinery all the information for safe use provided in the instructions. However information concerning essential aspects of safe use must be marked on the machinery, such as, for example, the maximum dimensions of workpieces, the maximum dimensions of the tools to be used, the maximum slope on which the machinery is stable, the maximum wind speed and so on. The information to be marked on the machinery is usually specified in the relevant harmonised standards.

1.7.3           Marking of machinery (continued)

. . .

Where a machine part must be handled during use with lifting equipment, its mass must be indicated legibly, indelibly and unambiguously.

§253   Marking parts of the machinery to be handled with lifting equipment

The requirement set out in the last paragraph of section 1.7.3 is complementary to the requirements relating to the design of machinery to facilitate its handling – see §180: comments on section 1.1.5. It applies to parts of machinery that have to be handled during use, the weight, size or shape of which prevent them from being moved by hand. The requirement is to be applied in the light of an analysis of the different phases of the lifetime of the machinery concerned – see §173: comments on section 1.1.2 (a).

The mass must be marked on such parts in order to enable the user to employ lifting machinery with a sufficient lifting capacity. In order to avoid ambiguity, the mass should be marked in kilograms in a visible place on the part concerned, preferably in the immediate vicinity of the attachments for the lifting machinery.

1.7.4           Instructions

All machinery must be accompanied by instructions in the official Community language or languages of the Member State in which it is placed on the market and/or put into service.

The instructions accompanying the machinery must be either ‘Original instructions’ or a ‘Translation of the original instructions’, in which case the translation must be accompanied by the original instructions.

By way of exception, the maintenance instructions intended for use by specialised personnel mandated by the manufacturer or his authorised representative may be supplied in only one Community language which the specialised personnel understand.

The instructions must be drafted in accordance with the principles set out below.

§254   Instructions

Section 1.7.4 deals with one of the obligations to be fulfilled by the manufacturer before machinery is placed on the market and/or put into service – see §103: comments on Article 5 (1).

The first paragraph of section 1.7.4 states that the manufacturer's instructions must accompany the machinery. This entails that the instructions must be drawn up before the machinery is placed on the market and/or put into service and must accompany the machinery until it reaches the user. Importers or distributors of machinery must therefore ensure that the instructions are passed on to the user – see §83: comments on Article 2 (i).

In addition to the general requirements for instructions set out in sections 1.7.4, supplementary requirements for instructions are set out in the following sections:

  • sections 2.1.2, 2.2.1.1, 2.2.2.2 and 2.4.8 - foodstuffs machinery and machinery for cosmetics or pharmaceutical products, portable hand-held and hand-guided machinery and portable fixing and other impact machinery; and machinery for pesticide application;
  • sections 3.6.3.1 and 3.6.3.2 - mobile machinery and machinery with multiple uses;
  • sections 4.4.1 and 4.4.2- lifting accessories and lifting machinery.

§255   The form of the instructions

Section 1.7.4 does not specify the form of the instructions. It is generally agreed that all health and safety related instructions must be supplied in paper form, since it cannot be assumed that the user has access to the means of reading instructions supplied in electronic form or made available on an Internet site. However, it is often useful for the instructions to be made available in electronic form and on the Internet as well as in paper form, since this enables the user to download the electronic file if he so wishes and to recover the instructions if the paper copy has been lost. This practice also facilitates the updating of the instructions when this is necessary.

§256   The language of the instructions

As a general rule, all health and safety related instructions must be supplied in the official EU language or languages of the Member State in which it is placed on the market and/or put into service – see §246: comments on section 1.7.1.

The second paragraph of section 1.7.4 should be understood in light of section 1.7.4.1. Machinery must be accompanied by original instructions, that is to say, instructions verified by the manufacturer or his authorised representative. If original instructions are not available in the language(s) of the Member State in which the machinery is placed on the market and/or put into service, machinery must be accompanied by a translation of the original instructions together with the original instructions. The purpose of the latter requirement is to enable users to check the original instructions in case of doubt about the accuracy of a translation.

The third paragraph of section 1.7.4 foresees an exception to the general requirement set out in the first paragraph relating to the language of instructions. It applies to maintenance instructions intended for use by specialised personnel mandated by the manufacturer or his authorised representative. Such specialised personnel may either be staff of the manufacturer or of his authorised representative or of a company that has a contract or written agreement with the manufacturer or his authorised representative to service the machinery concerned. Instructions that are exclusively intended for such specialised personnel do not necessarily have to be supplied in the language(s) of the country of use but can be supplied in a language understood by the specialised personnel.

This derogation does not apply to instructions for maintenance operations that are to be carried out by the user or by maintenance personnel mandated by the user. For the derogation to be applicable, the manufacturer's instructions to the user must therefore specify clearly which maintenance operations are only to be carried out by specialised personnel mandated by the manufacturer or his authorised representative.

1.7.4.1        General principles for the drafting of instructions

(a)   The instructions must be drafted in one or more official Community languages. The words ‘Original instructions’ must appear on the language version(s) verified by the manufacturer or his authorised representative.

(b)   Where no ‘Original instructions’ exist in the official language(s) of the country where the machinery is to be used, a translation into that/those language(s) must be provided by the manufacturer or his authorised representative or by the person bringing the machinery into the language area in question. The translations must bear the words ‘Translation of the original instructions’.

            . . .

§257   The drafting and translation of instructions

Paragraphs (a) and (b) of section 1.7.4.1 explain in more detail how the language requirements set out in section 1.7.4 must be fulfilled.

Paragraph (a) of section 1.7.4.1 explains that the original instructions are the language versions of the instructions that have been verified by the manufacturer or his authorised representative. These language versions must bear the words 'Original instructions' (in the language of each version). The manufacturer may provide “Original Instructions” in one or more languages.

Paragraph (b) of section 1.7.4.1 deals with the situation where machinery is placed on the market in a Member State for which the manufacturer or his authorised representative has not prepared original instructions. This may occur, for example, if an importer, a distributor or a user takes the initiative to place the machinery on the market or put it into service in a Member State not initially foreseen by the manufacturer. In such cases, a translation of the instructions into the official EU language(s) of the Member State concerned must be provided by the manufacturer or his authorised representative or by the person bringing the machinery into the language area in question.

In practical terms, this requirement entails that the person bringing the machinery into the language area in question must either obtain a translation from the manufacturer or his authorised representative or, failing that, translate the instructions himself or have them translated – see §83: comments on Article 2 (i).

The translations must bear the words ‘Translation of the original instructions’ (in the language of each version) and must be accompanied by original instructions – see §254: comments on section 1.7.4.

1.7.4.1        General principles for the drafting of instructions (continued)

. . .

(c)   The contents of the instructions must cover not only the intended use of the machinery but also take into account any reasonably foreseeable misuse thereof.

. . .

§258   Preventing foreseeable misuse

Paragraph (c) of section 1.7.4.1 underlines that the instructions are one of the means for preventing the misuse of machinery. This implies that when drafting instructions on each of the aspects listed in section 1.7.4.2, manufacturers must take account of knowledge about how the machinery is liable to be misused, in the light of experience of past use of similar machinery, accident investigations and knowledge about readily predictable human behaviour – see §172: comments on section 1.1.1 (i), and §175: comments on section 1.1.2 (c).

1.7.4.1        General principles for the drafting of instructions (continued)

. . .

(d)        In the case of machinery intended for use by non-professional operators, the wording and layout of the instructions for use must take into account the level of general education and acumen that can reasonably be expected from such operators.

§259   Instructions for non-professional users

Paragraph (d) of section 1.7.4.1 makes a distinction between machinery intended for non-professional operators and machinery intended for professional use. The wording and layout of the instructions must be adapted to the public to whom they are addressed. Instructions for non-professional users must be written and presented in language that is understandable to laypersons, avoiding specialist technical terminology. This requirement is also relevant for machinery that may be used both by professionals and non-professionals.

Where machinery intended for consumer use is supplied with certain elements dismounted for transport and packaging purposes, particular attention must be given to ensure that the mounting instructions are complete and explicit and include clear, accurate and unambiguous diagrams, drawings or photographs – see §264: comments on section 1.7.4.2 (i).

The C-type standards for particular categories of machinery specify the content of the instructions but generally do not provide guidance on the drafting and layout. General guidance on the drafting of instructions is given in standard EN ISO 12100.[72] Although[PP67]  it is not a harmonised standard under the Machinery Directive, the guidance given in standard EN 62079[73] on the drafting and layout of instructions may also be useful for machinery instructions.

1.7.4.2        Contents of the instructions

Each instruction manual must contain, where applicable, at least the following information:

  1. the business name and full address of the manufacturer and of his authorised representative;
  2. the designation of the machinery as marked on the machinery itself, except for the serial number (see section 1.7.3);

. . .

§260   Contents of the instructions – particulars of the manufacturer and the machinery

Section 1.7.4.2 summarises the main aspects that must be covered in the manufacturer's instructions. The expression 'at least' indicates that the list is not to be taken as exhaustive. Thus, if any information not mentioned in sections 1.7.4.2 (a) to (v) is needed for the safe use of the machinery, it must be included in the instructions. The expression 'where applicable' means that the aspects mentioned in sections 1.7.4.2 (a) to (v) only need to be covered in the instructions if they are relevant for the machinery concerned.

The particulars mentioned in section 1.7.4.2 are the same as the particulars to be marked on the machinery – see §250: comments on 1.7.3. However, in the instructions, the designation of the machinery must be written in full in the language of the instructions. The serial number is not required, since the manufacturer's instructions usually cover a model or type of machinery rather than an individual product.

Where a model of machinery has several variants, it must be made clear to the user which specific parts of the instructions apply to each variant. Similarly, if the instructions cover more than one model or type, for example, if they cover several models or types of machinery belonging to the same series, it must be made clear to the user which specific parts of the instructions apply to each model or type.

1.7.4.2        Contents of the instructions (continued)

       . . .

  1. the EC declaration of conformity, or a document setting out the contents of the EC declaration of conformity, showing the particulars of the machinery, not necessarily including the serial number and the signature;

. . .

§261   Inclusion of the EC Declaration of Conformity in the instructions

Section 1.7.4.2 (c) concerns the inclusion of the EC Declaration of Conformity in the instructions. Like the instructions, the EC Declaration of Conformity must accompany the machinery – see §103: comments on Article 5 (1). In order to fulfil this obligation, the manufacturer can choose between the two following alternatives:

  • the signed EC Declaration of Conformity is included in the instruction handbook. This is appropriate in the case of one-off products or machinery produced in small numbers;
  • a document setting out the contents of the EC Declaration of Conformity (not necessarily including the serial number and the signature) is included in the instruction handbook, in which case the signed EC Declaration of Conformity itself must be provided separately – see §382: comments on Annex II 1 A.

1.7.4.2        Contents of the instructions (continued)

       . . .

  1. a general description of the machinery;
  2. the drawings, diagrams, descriptions and explanations necessary for the use, maintenance and repair of the machinery and for checking its correct functioning;
  3. a description of the workstation(s) likely to be occupied by operators;

. . .

§262   Descriptions, drawings, diagrams and explanations

The general description of the machinery mentioned in section 1.7.4.2 (d) aims to enable the user to identify the main parts of the machinery and their functions.

Section 1.7.4.2 (e) deals with the information and explanations necessary for safe use, maintenance and repair of the machinery and for checking its correct functioning. (More detailed requirements on the content of the instructions relating to these aspects are set out in the following sections). Clear and simple drawings, diagrams, graphs and tables are usually preferable to long written explanations. But the necessary written explanations should be placed adjacent to the illustrations to which they refer.

Section 1.7.4.2 (f) deals with the workstations foreseen for operators. Aspects to be covered include, for example:

  • the location of workstations,
  • the adjustment of seats, footrests or other parts of the machinery in order to ensure a good posture and reduce vibrations transmitted to the operator – see §183: comments on section 1.1.8;
  • the layout and identification of the control devices and their functions – see §185: comments on section 1.2.2;
  • the different operating or control modes and the protective measures and precautions relating to each mode – see §204: comments on section 1.2.5;
  • use of the guards and protective devices fitted to the machinery;
  • use of equipment fitted to contain or evacuate hazardous substances or to maintain good working conditions.
 

1.7.4.2        Contents of the instructions (continued)

. . .

  1. a description of the intended use of the machinery;
  2. warnings concerning ways in which the machinery must not be used that experience has shown might occur

. . .

§263   Intended use and foreseeable misuse

The description of the intended use of the machinery referred to in section 1.7.4.2 (g) must include a precise indication of the purposes for which the machinery is intended. The description of the intended use of the machinery must specify the limits on the conditions of use taken into account in the manufacturer's risk assessment and in the design and construction the machinery – see §171: comments on section 1.1.1 (h).

The description of the intended use of the machinery must cover all the different operating modes and phases of use of the machinery and specify safe values for the parameters on which the safe use of the machinery depends. Such parameters may include, for example:

  • the maximum load for lifting machinery;
  • the maximum slope on which mobile machinery can be used without loss of stability;
  • the maximum wind-speed in which machinery can be safely used outdoors;
  • the maximum dimensions of workpieces;
  • the maximum speed for rotating tools where break-up due to over speed is a hazard;
  • the type of materials that can be safely processed by the machinery.

Section 1.7.4.2 (h) requires the manufacturer's instructions to provide warnings against reasonably foreseeable misuse of the machinery – see §172: comments on section 1.1.1 (i), and §175: comments on section 1.1.2 (c). To avoid such misuse, it is helpful to indicate to the user the usual reasons for such misuse and to explain the possible consequences. The warnings against reasonably foreseeable misuse of the machinery should take account of feedback from users and information about accidents or incidents involving similar machinery.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  1. assembly, installation and connection instructions, including drawings, diagrams and the means of attachment and the designation of the chassis or installation on which the machinery is to be mounted;
  2. instructions relating to installation and assembly for reducing noise or vibration;

. . .

§264   Assembly, installation and connection

Section 1.7.4.2 (i) covers operations to be carried out by or on behalf of the user before the machinery is put into service.

Assembly instructions are necessary for machinery that is not supplied to the user ready to use, for example, where elements of the machinery have been disassembled for transport or packaging purposes. Particular attention must be given to assembly instructions where assembly is to be carried out by non-professional users – see §258: comments on section 1.7.4.1 (c).

Assembly instructions for interchangeable equipment must specify the type or types of basic machinery with which the equipment can be safely used and include the necessary instructions for the safe assembly of the interchangeable equipment with the basic machinery by the user – see §41: comments on Article 2 (b).

In the case of machinery supplied without a drive system, the instructions must indicate all the necessary specifications for the drive system to be fitted such as the type, power and means of connection, and include precise fitting instructions for the drive system – see §35: comment on the first indent of Article 2 (a).

Installation instructions are necessary for machinery that has to be installed on and/or fixed to particular supports, structures or buildings, on foundations or on the ground, in order to ensure its safe use and stability. The instructions must specify the requisite dimensions and load bearing characteristics of the supports and the means to be used to fix the machinery to its supports. For machinery intended to be installed on means of transport, the instructions must specify the vehicles or trailers on which the machinery can be safely installed, either by reference to their technical characteristics or, where necessary, by reference to specific models of vehicle – see §37: comments on the third indent of Article 2 (a).

Connection instructions must describe the measures to be used to ensure safe connection of the machinery to energy supplies, supplies of fluids and so on. The relevant characteristics of the supplies, such as, for example, voltage, power, pressure or temperature, must be specified. The safe connection of the machinery to the means of evacuating hazardous substances must also be specified, when these means are not an integral part of the machinery.

Paragraph 1.7.4.2 (j) refers to a specific aspect of the installation and assembly instructions relating to the reduction of noise or vibration emissions.

With respect to noise, the instructions must specify, where appropriate, the correct assembly and installation of equipment supplied by the machinery manufacturer to reduce noise emission.

With respect to vibrations, the instructions may include, for example, specifications for foundations with adequate damping characteristics.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  1. instructions for the putting into service and use of the machinery and, if necessary, instructions for the training of operators;

       . . .

§265   Putting into service and use

Section 1.7.4.2 (k) refers first to instructions relating to the putting into service of the machinery – see §86: comments on Article 2 (k).

The instructions for putting into service shall indicate all of the necessary adjustments, checks, inspections or functional tests to be carried out after the machinery has been assembled and installed and before it is put into service. Any particular procedures to be followed should be described. The same information shall be provided for putting machinery back into service, for example, following transfer to a new site or after major repairs.

The second aspect of the instructions referred to in section 1.7.4.2 (k) relates to the use of the machinery. The instructions must deal with the different phases of the use of the machinery. The instructions shall cover, as appropriate:

  • normal operation, setting and adjustment of the machinery;
  • the correct use of control devices, guards and protective devices;
  • the use of special tools or equipment provided with the machinery – see §117: comments on section 1.1.2 (e);
  • the selection and safe use of all operating or control modes – see §204: comments on section 1.2.5;
  • particular precautions to be taken in specific conditions of use.

§266   Operator training

The third aspect referred to in section 1.7.4.2 (k) is operator training. The machinery manufacturer must indicate whether specific training is needed to use the machinery safely. Normally, this is only appropriate in the case of machinery intended for professional use.

The manufacturer is not expected to provide a full training program or training manual in the instructions. However the instructions may indicate important aspects to be covered by the operator training in order to help employers to fulfil their obligations to provide appropriate training to operators. In this respect, it should be noted that, for certain categories of machinery, operator training and training programmes may be subject to national regulations implementing Directive 2009/104/EC[P68]  – see §140:comments on Article 15.

In addition to the basic information on training in the instructions, certain machinery manufacturers also offer operator training services to users, however such services are outside the scope of the Machinery Directive.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  • information about the residual risks that remain despite the inherent safe design measures, safeguarding and complementary protective measures adopted;
  • instructions on the protective measures to be taken by the user, including, where appropriate, the personal protective equipment to be provided;

. . .

§267   Information about residual risks

Sections 1.7.4.2 (l) and (m) deal with an important aspect of third step of the principles of safety integration – see §174: comments on section 1.2.2 (b). According to section 1.7.4.2 (l), the instructions must include clear statements relating to any risks that have not been sufficiently reduced by inherently safe design measures or by integrated technical protective measures.

The purpose of this information is to enable the user to take the necessary protective measures mentioned in section 1.7.4.2 (m). The measures to be specified in the instructions may include, for example:

  • the use of additional screens or guards in the workplace;
  • the organisation of safe systems of work;
  • the restriction of certain tasks to trained and authorised operators;
  • the provision and use of appropriate PPE.

It should be noted that the selection, provision and use of PPE are under the responsibility of employers and are subject to national provisions implementing Directive 89/656/EEC.[74][P69]  However, the machinery manufacturer's instructions may indicate the type of PPE to be used to protect against residual risks arising from the machinery. In particular, if the machinery is fitted with anchorage devices for the attachment of PPE against falls from a height, the compatible PPE must be specified – see §237: comments on section 1.5.15, and §374: comments on section 6.3.2.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  • the essential characteristics of tools which may be fitted to the machinery;

. . .

§268   The essential characteristics of tools

Section 1.7.4.2 (n) deals with instructions relating to tools, such as drill or router bits, simple digging buckets (powered clamshell buckets and attachments are considered part of the machine or partly complete machinery and not tools), cutting heads, that are not permanently fixed to the machinery and that may be changed by the user. Such tools are not considered as part of the machinery – see §41: comments on Article 2 (b) - however the safe use of the machinery frequently depends on the fitting and use of appropriate tools. The instructions must therefore specify the characteristics of the tools on which safe use depends. This is particularly important for fast moving or fast rotating tools, in order to avoid risks due to the break-up and ejection of fragments of tools or due to the ejection of the tools themselves – see §207 and §208: comments on sections 1.3.2 and 1.3.3.

The essential characteristics to be specified may include, for example:

  • the maximum or minimum dimensions and mass of tools;
  • the constituent materials and assemblies of tools;
  • the requisite shape or other essential design features of tools;
  • the compatibility of the tools with the tool-holders on the machinery.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  • the conditions in which the machinery meets the requirement of stability during use, transportation, assembly, dismantling when out of service, testing or foreseeable breakdowns;

. . .

§269   Stability conditions

Section 1.7.4.2 (o) is linked to the requirements set out in sections 1.3.1, 2.2.1, 3.4.1, 3.4.3, 4.1.2.1, 4.2.2, 5.1 and 6.1.2 relating to stability. Where the design and construction of the machinery ensures the stability of the machinery under certain defined conditions, these must be specified in the instructions.

In particular, where stability depends on the observance of certain limits on the conditions of use of the machinery such as, for example, the maximum slope, the maximum wind speed, the maximum reach or the position of certain elements of the machinery, these limits must be specified and the necessary explanations must be given on the use of the corresponding protective and warning devices fitted to the machinery and on how to avoid hazardous situations.

The instructions must also explain how to ensure the stability of the machinery or its parts during other phases of the lifetime of the machinery – see §173: comments on section 1.1.2 (a). Where particular measures, such as orientation during transport, configuration mode for transport or maintenance or use of carrying cradles, are needed to ensure stability during these phases, the measures to be taken and the means to be used must also be specified.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  1. instructions with a view to ensuring that transport, handling and storage operations can be made safely, giving the mass of the machinery and of its various parts where these are regularly to be transported separately;

. . .

§270   Transport, handling and storage

Section 1.7.4.2 (p) is linked to the requirements relating to the handling of the machinery and its parts – see §180: comments on section 1.1.5.

The instructions for safe transport, handling and storage of the machinery and of parts that are to be transported separately shall include, as appropriate:

  • instructions for safe manual handling of machinery or parts that are to be moved by hand;
  • instructions on the use of attachment points for lifting machinery, the mass of the machinery and of the parts to be transported;
  • instructions on how to ensure stability during transport and storage, including the use of any special equipment provided for that purpose;
  • a description of the special arrangements for the handling of hazardous tools or parts.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  1. the operating method to be followed in the event of accident or breakdown; if a blockage is likely to occur, the operating method to be followed so as to enable the equipment to be safely unblocked;

. . .

§271   Emergency procedures and methods for unblocking

Section 1.7.4.2 (q) requires the machinery manufacturer to anticipate potential malfunctioning of the machinery and to specify the procedures to be followed to deal with emergencies. The measures to be specified, include, for example, the methods to be used to rescue injured persons, to summon help or to rescue trapped persons – see §236: comments on section 1.5.14.

The instructions must also describe the method to be followed in case of a blockage of moving parts and explain the use of any special protective devices or tools provided for that purpose – see §212: comments on section 1.3.7.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  1. the description of the adjustment and maintenance operations that should be carried out by the user and the preventive maintenance measures that should be observed;
  2. instructions designed to enable adjustment and maintenance to be carried out safely, including the protective measures that should be taken during these operations;
  3. the specifications of the spare parts to be used, when these affect the health and safety of operators;

. . .

§272   Adjustment, maintenance and spare parts

Section 1.7.4.2 (r) requires the manufacturer to describe the adjustment and maintenance operations to be carried out by the user.

In particular, the instructions must specify the adjustment and maintenance operations that must be carried out and indicate their frequency. The instructions must list the elements or parts of the machinery that must be regularly checked in order to detect excessive wear, the periodicity of these checks (in terms of duration of use or number of cycles), the nature of the necessary inspections or tests and the equipment to be used. Criteria must be given for the repair or replacement of worn parts – see §207: comments on section 1.3.2.

Section 1.7.4.2 (s) is linked to the requirements set out in sections 1.6.1 to 1.6.5 relating to maintenance. The instructions must specify the necessary methods and procedures to be followed in order to ensure that adjustment and maintenance operations can be carried out safely. The appropriate protective measures and precautions to be taken during maintenance operations must be indicated. The instructions shall include, as appropriate:

  • information on the isolation of energy sources, the locking of the isolator, the dissipation of residual energies and the verification of the safe state of the machinery – see §241: comments on section 1.6.3;
  • measures to ensure safety for maintenance operations that must be carried out while the machinery is operating;
  • methods to be used to safely remove or replace components - see §239: comments on section 1.6.1;
  • precautions to be taken when cleaning internal parts which have contained hazardous substances – see §243: comments on section 1.6.5;
  • means of access to be used for exceptional repairs – see §240: comments on section 1.6.2.

Section 1.7.4.2 (t) refers to information about spare parts. In general, the supply of spare parts is not covered by the provisions of the Machinery Directive and is thus a matter for contractual agreement between the manufacturer and the user. However, where parts subject to wear and tear need to be replaced in order to protect the health and safety of users, the specifications of the appropriate spare parts must be given in the instructions. Examples of such spare parts include:

  • guards for removable mechanical transmission devices – see §319: comments on section 3.4.7;
  • flexible guards subject to wear and tear – see §216: comments on section 2.4.1;
  • filters for systems to provide clean air to operating positions – see §182: comments on section 1.1.7, and §322: comments on section 3.5.3;
  • load bearing components on lifting machinery – see §340 and §341: comments on sections 4.1.2.4 and 4.1.2.5;
  • guards and their fixing systems used to retain ejected objects or parts of machinery – see §216: comments on section 1.4.1.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  1. the following information on airborne noise emissions:
    • the A-weighted emission sound pressure level at workstations, where this exceeds 70 dB(A); where this level does not exceed 70 dB(A), this fact must be indicated,
    • the peak C-weighted instantaneous sound pressure value at workstations, where this exceeds 63 Pa (130 dB in relation to 20 μPa),
    • the A-weighted sound power level emitted by the machinery, where the A-weighted emission sound pressure level at workstations exceeds 80 dB(A).

These values must be either those actually measured for the machinery in question or those established on the basis of measurements taken for technically comparable machinery which is representative of the machinery to be produced.

In the case of very large machinery, instead of the A-weighted sound power level, the A-weighted emission sound pressure levels at specified positions around the machinery may be indicated.

Where the harmonised standards are not applied, sound levels must be measured using the most appropriate method for the machinery. Whenever sound emission values are indicated the uncertainties surrounding these values must be specified. The operating conditions of the machinery during measurement and the measuring methods used must be described.

Where the workstation(s) are undefined or cannot be defined, A-weighted sound pressure levels must be measured at a distance of 1 metre from the surface of the machinery and at a height of 1,6 metres from the floor or access platform. The position and value of the maximum sound pressure must be indicated.

Where specific Community Directives lay down other requirements for the measurement of sound pressure levels or sound power levels, those Directives must be applied and the corresponding provisions of this section shall not apply;

. . .

§273   The noise emission declaration[PP70] 

Section 1.7.4.2 (u) sets out the information on airborne noise emission to be stated in what is currently called the noise emission declaration. This declaration has two main purposes:

  • to assist users to choose machinery with reduced noise emission;
  • to provide information useful for the risk assessment to be carried out by the employer according to the national provisions implementing Article 4 of Directive 2003/10/EC[P71]  on the exposure of workers to the risks arising from noise.[75]

In this respect, it should be recalled that the manufacturer's noise emission declaration only provides information about the contribution of the machinery itself to noise in the workplace. The level of exposure of workers cannot be simply deduced from the machinery manufacturer's noise emission declaration, since the exposure of operators is also influenced by other factors – see §229: comments on section 1.5.8.

The information to be provided in the noise emission declaration includes three different noise emission quantities:

  1. The A-weighted emission sound pressure level, LpA, produced by the machinery at its workstation(s). This is the average A-weighted sound pressure level over a specific time, representative of a full work cycle of the machinery. Being an emission value, it excludes contributions from the environment of the machinery such as reflections of noise from walls or noise from other sources at the workplace.

This quantity must be determined by measurement for all machinery using an appropriate test code, whether or not the machinery is considered noisy. If the measured value does not exceed 70 dB(A), the instructions must state this. If the measured value exceeds 70 dB(A), the measured value must be stated in the instructions.

  1. The peak C-weighted instantaneous sound pressure value, also known as the C-weighted peak sound pressure level, LpCpeak. This is the maximum value reached by the C-weighted sound pressure over a specific duration representative of a full work cycle of the machine.

This value is relevant for machinery that emits strongly impulsive noise. It only has to be stated in the instructions if the measured value exceeds 63 Pa (130 dB in relation to 20 μPa).

  1. The A-weighted sound power level, LWA. This quantity represents the airborne sound energy radiated by the machine in space and thus characterises the machine as a noise source. It is the most important noise emission quantity and is independent of the environment in which the machine is placed.

Since the measurement of the LWA may be complex, this value only has to be measured and stated in the instructions if the LpA at any of the workstations exceeds 80 dB(A).

The second paragraph of section 1.7.4.2 (u) implies that, in the case of series production, testing can be carried out on a representative sample of technically comparable machinery. In the case of one-off production, the manufacturer must determine by measurement the noise emission for each item of machinery supplied.

The third paragraph of section 1.7.4.2 (u) deals with the case of very large machinery for which the determination of the sound power level, LWA, can be excessively complex. To determine whether a given category of machinery is to be considered as very large, consideration shall be given both to the distribution and directivity of the sound sources on the machinery and the effort required effort to determine the sound power level, LWA. Whether a given category of machinery is to be considered as very large is to be stated in the relevant noise test code. For such very large machinery, the statement of the LWA can be replaced by a statement of the emission sound pressure levels, LpA, at specified positions around the machinery.

The fourth paragraph of section 1.7.4.2 (u) concerns the methods to be used for measuring noise emission. Operating conditions have a strong influence on noise emission. Measurement of noise emission should therefore be carried out under conditions which are reproducible and representative of the foreseeable conditions of use of the machinery. Where a test code specified in a harmonised standard states the operating conditions under which the measurement is to be made, a reference to the harmonised standard is sufficient to indicate the operating conditions and measurement methods used. Where other test methods are used, the operating conditions and measurement methods used must be indicated in the noise emission declaration.

The fourth paragraph of section 1.7.4.2 (u) also requires the uncertainties surrounding the measured values to be specified in the noise emission declaration. Current technical knowledge does not allow the uncertainty associated with the measurement of LpCpeak values to be determined. Guidance on determining the uncertainty associated with the measurement of the LpA at workstations and the LWA should be given in the relevant test codes.

The fifth paragraph of section 1.7.4.2 (u) explains how to determine by measurement the emission sound pressure level, LpA, at workstations for machinery where the operators do not occupy well-defined workstations. If the method set out in this paragraph is used, the noise emission declaration must indicate where the LpA values have been measured.

The last paragraph of section 1.7.4.2 (u) refers to the Outdoor Equipment Directive 2000/14/EC.[76][P72]  For the machinery in its scope, the Outdoor Equipment Directive applies, in addition to the Machinery Directive, with respect to noise emissions in the environment – see §92: comments on Article 3.

The Outdoor Equipment Directive requires the equipment in its scope to bear a marking, accompanying the CE marking, indicating the guaranteed sound power level (which is the value of the sound power level measured according to the method set out in Annex III of the Directive, plus the value of the uncertainties due to production variation and measurement procedures).

The last paragraph of section 1.7.4.2 (u) means that, for machinery in the scope of the Outdoor Equipment Directive, the third value to be indicated in the noise emission declaration in the instructions is the guaranteed sound power level rather than the measured sound power level, LWA. However, the requirements set out in the first paragraph of section 1.7.4.2 (u) concerning the A-weighted emission sound pressure level, LpA, and the C-weighted peak sound pressure level, LpCpeak, remain applicable to such machinery.

1.7.4.2                    Contents of the instructions (continued)

       . . .

  1. where machinery is likely to emit non-ionising radiation which may cause harm to persons, in particular persons with active or non-active implantable medical devices, information concerning the radiation emitted for the operator and exposed persons.

§274   Implantable medical devices

The requirement set out in section 1.7.4.2 (v) deals with the particular case of residual risk due to non-ionising radiation – see §232: comments on section 1.5.10. Information on the nature of such radiation emission must be provided, particularly if it is likely to affect the functioning of implantable medical devices.

1.7.4.3        Sales literature

Sales literature describing the machinery must not contradict the instructions as regards health and safety aspects. Sales literature describing the performance characteristics of machinery must contain the same information on emissions as is contained in the instructions.

§275   Sales literature

While the instructions provided with the machinery are primarily intended to ensure safe use of the machinery, sales literature has a principally commercial function. However section 1.7.4.3 requires that the instructions and commercial documents relating to the machinery be consistent. This is particularly important with respect to the intended use of the machinery referred to in section 1.7.4.2 (g), since users are likely to choose machinery for their purposes on the basis of sales literature.

The second sentence of section 1.7.4.3 is intended to help users to choose machinery with reduced levels of emissions of noise, vibrations, harmful radiation or hazardous substances. In particular, the values included in the noise emission declaration required by section 1.7.4.2 (u) and the information on vibrations required by sections 2.2.1.1 and 3.6.3.1 must be included in commercial documents giving the performance characteristics of the machinery. Many sales brochures or catalogues include a section or table giving the principle performance characteristics of the machinery such as power, speed, capacity, production rate and so on, to enable potential customers to choose machinery appropriate to their needs. This section is the appropriate place to include the required information on emissions.

 

 

 

2.    SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS FOR CERTAIN CATEGORIES OF MACHINERY

 

 Foodstuffs machinery, machinery for cosmetics or pharmaceutical products, hand-held and/or hand- guided machinery, portable fixing and other impact machinery, machinery for working wood and material with similar physical characteristics and machinery for pesticide application must meet all the essential health and safety requirements set out in this chapter (see General Principles, point 4).

§276   Supplementary requirements for certain categories of machinery

Part 2 of Annex I sets out supplementary EHSRs for a number of specific categories of machinery, laid out in four sub-sections. A section on “machinery for pesticide application” was added by Directive 2009/127/EC[77].

 These sections apply to such machinery in addition to the relevant requirements of Part 1 of Annex I and, where applicable, of the other Parts of Annex I – see §163: comments on General Principle 4.

2.1. FOODSTUFFS MACHINERY AND MACHINERY FOR COSMETICS OR        PHARMACEUTICAL PRODUCTS

2.1.1.          General

Machinery intended for use with foodstuffs or with cosmetics or pharmaceutical products must be designed and constructed in such a way as to avoid any risk of infection, sickness or contagion.

The following requirements must be observed:

(a)   materials in contact with, or intended to come into contact with, foodstuffs or cosmetics or pharmaceutical products must satisfy the conditions set down in the relevant Directives. The machinery must be designed and constructed in such a way that these materials can be cleaned before each use. Where this is not possible disposable parts must be used;

(b)   all surfaces in contact with foodstuffs or cosmetics or pharmaceutical products, other than surfaces of disposable parts, must:

  • be smooth and have neither ridges nor crevices which could harbour organic materials. The same applies to their joinings,
  • be designed and constructed in such a way as to reduce the projections, edges and recesses of assemblies to a minimum,
  • be easily cleaned and disinfected, where necessary after removing easily dismantled parts; the inside surfaces must have curves with a radius sufficient to allow thorough cleaning;

(c) it must be possible for liquids, gases and aerosols deriving from foodstuffs, cosmetics or pharmaceutical products as well as from cleaning, disinfecting and rinsing fluids to be completely discharged from the machinery (if possible, in a ‘cleaning’ position);

(d) machinery must be designed and constructed in such a way as to prevent any substances or living creatures, in particular insects, from entering, or any organic matter from accumulating in, areas that cannot be cleaned;

(e)   machinery must be designed and constructed in such a way that no ancillary substances hazardous to health, including the lubricants used, can come into contact with foodstuffs, cosmetics or pharmaceutical products. Where necessary, machinery must be designed and constructed in such a way that continuing compliance with this requirement can be checked.

2.1.2.          Instructions

The instructions for foodstuffs machinery and machinery for use with cosmetics or pharmaceutical products must indicate recommended products and methods for cleaning, disinfecting and rinsing, not only for easily accessible areas but also for areas to which access is impossible or inadvisable.

§277   Hygiene requirements for machinery intended for use with foodstuffs or with cosmetics or pharmaceutical products

The requirements set out in section 2.1 apply to machinery intended for use with foodstuffs or with cosmetics or pharmaceutical products. The requirements apply whether the foodstuffs or products concerned are for human or animal consumption. The machinery concerned includes, for example, machinery for the manufacture, preparation, cooking, processing, cooling, handling, storage, transport, conditioning, packaging and distribution of foodstuffs, cosmetics and pharmaceutical products.

The requirements set out in section 2.1.1 (a) to (e) aim to avoid any hazardous contamination of the foodstuffs, cosmetics or pharmaceutical products from the materials used to constitute the machinery, from the environment of the machinery or from ancillary substances used with the machinery.

These requirements shall be applied in conjunction with the EHSRs set out in section 1.1.3 relating to materials and products, section 1.5.13 relating to emissions of hazardous materials and substances, and section 1.6 relating to maintenance.

Section 2.1.1 (a) deals with the constituent materials of the machinery that are intended to come into contact with the foodstuffs, cosmetics or pharmaceutical products.

The 'relevant Directives' referred to in section 2.1.1 (a) include:

  • Regulation (EC) N° 1935/2004[78] on[P73]  materials and articles intended to come into contact with food;
  • Directive 84/500/EEC[79] on ceramic articles to come into contact with foodstuffs;
  • Directive 2002/72/EC[80] on plastic materials and articles intended to come into contact with foodstuffs.

Where the materials intended to be in contact with foodstuffs incorporated into machinery are accompanied by a written declaration (such as the Declaration of compliance foreseen by Article 16 of Regulation (EC) N° 1935/2004) that declaration must be included in the technical file for the machinery according to the ninth indent of Annex VII A 1 (a). If this is not the case, the machinery manufacturer must document the suitability of the materials concerned in the technical file for the machinery.

Sections 2.1.1 (b) and (c) require the machinery to be designed and constructed to facilitate complete and thorough cleaning and to enable substances that could contaminate the foodstuffs, cosmetics or pharmaceutical products, such as, for example, waste, cleaning products, disinfectants or rinsing products, to be completely discharged or drained. Where pipes or hoses are used to convey foodstuffs, cosmetics or pharmaceutical products, they may be connected by screw threads, provided the threads are isolated from the product flow, for example, by means of appropriate seals or rings, so they are not in direct contact with the product being processed.

Section 2.1.1 (d) requires the machinery to be designed and constructed to prevent contaminants from the environment of the machinery such as dust or grease, or living creatures such as insects, from entering areas of the machinery that cannot be cleaned, and to prevent any organic matter from accumulating in such parts.

Section 2.1.1 (e) requires the machinery to be designed and constructed to prevent ancillary substances used with the machinery such as, for example, lubricants or hydraulic fluids, from contaminating the foodstuffs, cosmetics or pharmaceutical products.

The requirement set out in section 2.1.2 is complementary to the general requirements relating to the instructions set out in section 1.7.4.

Section 2.1.2 requires the machinery manufacturer to specify the appropriate cleaning methods, including methods for cleaning spaces which are normally inaccessible or to which access could be dangerous. He must also specify the products to be used for cleaning. The machinery manufacturer should not specify particular brands of cleaning products, but must specify the relevant characteristics of the products to be used, in particular, with respect to the chemical and mechanical resistance of the constituent materials of the machinery. If necessary, warnings must be given against the use of unsuitable cleaning products.

General specifications for the hygiene requirements for machinery are given in standard EN ISO 14159.[81][PP74]  Specifications for hygiene requirements for food processing machinery are given in standard EN 1672-2.[82]

2.2.             PORTABLE HAND-HELD AND/OR HAND-GUIDED MACHINERY

2.2.1.          General

Portable hand-held and/or hand-guided machinery must:

  • depending on the type of machinery, have a supporting surface of sufficient size and have a sufficient number of handles and supports of an appropriate size, arranged in such a way as to ensure the stability of the machinery under the intended operating conditions,
  • except where technically impossible, or where there is an independent control device, in the case of handles which cannot be released in complete safety, be fitted with manual start and stop control devices arranged in such a way that the operator can operate them without releasing the handles,
  • present no risks of accidental starting and/or continued operation after the operator has released the handles. Equivalent steps must be taken if this requirement is not technically feasible,
  • permit, where necessary, visual observation of the danger zone and of the action of the tool with the material being processed.

The handles of portable machinery must be designed and constructed in such a way as to make starting and stopping straightforward.

§278   Supplementary requirements for portable hand-held and/or hand-guided machinery

The requirements set out in section 2.2.1 apply to portable hand-held machinery and portable hand-guided machinery.

Portable hand-held machinery is machinery which is carried by the operator during use (with or without the aid of a harness).

Portable hand-guided machinery is portable machinery the weight of which is fully or partially supported, for example, on a work bench, on the material or workpiece being worked, on a floor or on the ground, the movement of which is guided by the operator's hands during use.

The categories of machinery concerned include, for example, portable hand-held and portable hand-guided power tools, gardening and forestry machinery. Portable machinery includes machinery driven by a mains or battery-powered electric motor, pneumatically powered machinery and machinery driven by an internal combustion engine.

The requirement set out in the first indent of section 2.2.1 is complementary to the general requirement relating to stability set out in section 1.3.1. The requirement for an adequate supporting surface is applicable, in particular, to portable hand-guided machinery that is in contact with a work bench, the material or the workpiece being worked, a floor or the ground during use.

Where its size permits, portable hand-held and hand-guided machinery must have at least two handles so that the stability of the machinery during use can be ensured by the operator using both hands. The handles shall be located and designed to ensure that the operator’s hands are kept out of the danger zone. The machinery shall be designed, as far as possible, in such a way as to discourage one-hand use. The positioning, dimensions and design of the handles must take account of ergonomic principles – see §181: comments on section 1.1.6. An example of an exemption to this requirement is the design of one handled chain saws designed for professional use by “tree surgeons” who work up in the tree and for safety reasons require one hand free to maintain stability while cutting  branch. However, such chain saws are not suitable for general and consumer use and should not be supplied for such use.

The requirements set out in the second indent and in the second paragraph of section 2.2.1 are complementary to the general requirements relating to starting and stopping set out in sections 1.2.3 and 1.2.4.1. In general, it must be possible to start and stop the machinery without releasing the handles. These requirements can often be fulfilled, for example, by means of a hold-to-run trigger control device integrated into the handles.

The requirement set out in the third indent of section 2.2.1 is complementary to the general requirement set out in the sixth indent of section 1.2.2 relating to control devices. The requirement has two aims:

  • to prevent unintentional start-up of the machinery due to unintended contact with the start control device;
  • to ensure that the machinery does not continue to operate when the machinery is put down or if the operator accidentally releases the handles.

In order to fulfil this requirement, the start control device must, as a general rule, be of the hold-to-run type and be designed to avoid undue fatigue during use. It must be located, designed and, if necessary, protected so that it is not liable to be activated unintentionally when the machinery is grasped, picked up, moved, or put down. Where there remains a risk of the machinery being started unintentionally, additional measures may be necessary such as, for example, fitting an additional enabling device or a start control device requiring two independent actions.

The requirement set out in the last indent of section 2.2.1, relating to the visibility of the danger zone and of the action of the tool with the material being processed, aims to ensure that the operator has the means to ensure full control over the operation of the machinery.

2.2.1.1.       Instructions

The instructions must give the following information concerning vibrations transmitted by portable handheld and hand-guided machinery:

  • the vibration total value to which the hand-arm system is subjected, if it exceeds 2,5 m/s2. Where this value does not exceed 2,5 m/s2, this must be mentioned,
  • the uncertainty of measurement.

These values must be either those actually measured for the machinery in question or those established on the basis of measurements taken for technically comparable machinery which is representative of the machinery to be produced.

If harmonised standards are not applied, the vibration data must be measured using the most appropriate measurement code for the machinery.

The operating conditions during measurement and the methods used for measurement, or the reference of the harmonised standard applied, must be specified.

§279   Declaration of vibrations transmitted by portable hand-held and hand-guided machinery

The requirement set out in section 2.2.1.1 is complementary to the general requirements relating to the instructions set out in section 1.7.4.

The first indent of the first paragraph of section 2.2.1.1 sets out the physical quantity relating to the vibrations transmitted by portable hand-held and hand-guided to the hand-arm system that must be declared in the instructions.

The value measured on the machinery must be declared if it exceeds 2.5 m/s2. If the value measured on the machinery does not exceed this value, that fact must be declared. The vibrations transmitted by the machinery must therefore be measured by the machinery manufacturer using an appropriate test method, unless it has been established that, for the category of machinery concerned, the measured values never exceed the above limit – this may be stated in the C-type standard for the category of machinery concerned.

The declaration of vibrations transmitted by the machinery has two main purposes:

  • to help users to choose machinery with reduced vibration emissions;
  • to provide information useful for the risk assessment to be carried out by the employer according to the national provisions implementing Directive 2002/44/EC on[P75]  the exposure of workers to the risks arising from vibrations.[83]

In this respect, it should be recalled that the level of exposure of workers to vibrations cannot be simply deduced from the machinery manufacturer's declaration of vibration emissions, since the exposure of operators is also influenced by other factors – see §231: comments on section 1.5.9.

The second indent of the first paragraph of section 2.2.1.1 requires the uncertainty surrounding the declared value to be specified. Guidance on determining the uncertainty associated with the measurement of vibrations transmitted by the machinery should be given in the relevant test codes.

The second paragraph of section 2.2.1.1 implies that, in the case of series production, measurement can be carried out on a representative sample or samples of technically comparable machinery. In the case of one-off production, the manufacturer must measure the vibrations transmitted by each item of machinery supplied.

The third and last paragraphs of section 2.2.1.1 concern the methods to be used for measuring vibrations. Operating conditions have a strong influence on the vibrations transmitted by machinery. Measurement of vibrations should therefore be carried out under representative operating conditions. Where the test code specified in a harmonised standard states the operating conditions under which the measurement is to be made, a reference to the harmonised standard is sufficient to indicate the operating conditions and measurement methods used. Where other test methods are used, the operating conditions and measurement methods used must be indicated in the declaration of vibrations.

It should be noted that the value declared in the instructions relating to vibrations must also be included in commercial documents relating to the performance characteristics of the machinery – see §273: comments on section 1.7.4.3.

2.2.2.          Portable fixing and other impact machinery

2.2.2.1.       General

Portable fixing and other impact machinery must be designed and constructed in such a way that:

  • energy is transmitted to the impacted element by the intermediary component that does not leave the device,
  • an enabling device prevents impact unless the machinery is positioned correctly with adequate pressure on the base material,
  • involuntary triggering is prevented; where necessary, an appropriate sequence of actions on the enabling device and the control device must be required to trigger an impact,
  • accidental triggering is prevented during handling or in case of shock,
  • loading and unloading operations can be carried out easily and safely.

Where necessary, it must be possible to fit the device with splinter guard(s) and the appropriate guard(s) must be provided by the manufacturer of the machinery.

2.2.2.2.       Instructions

The instructions must give the necessary information regarding:

  • the accessories and interchangeable equipment that can be used with the machinery,
  • the suitable fixing or other impacted elements to be used with the machinery,
  • where appropriate, the suitable cartridges to be used.

§280   Portable fixing and other impact machinery

Section 2.2.2 sets out supplementary requirements for portable machinery intended for driving fasteners such as nails, threaded studs, eyelets or similar objects into a base material. They also apply to similar impact machinery intended for other applications such as, for example, machinery for the hard marking of materials by imprinting or captive bolt pistols for the stunning of animals. The requirements apply to machinery operated by explosive cartridges and to machinery using other sources of energy such as pneumatic, spring-operated, electromagnetic or gas combustion-operated machinery.

The main purpose of the requirements set out in section 2.2.2.1 is to prevent the risk of serious injury due to the fasteners or other impacted elements, or splinters from the machinery or the base material, hitting parts of the body of the operator or other persons in the vicinity. They also deal with risks due to incidents during loading and unloading.

The requirement set out in the third indent of section 2.2.2 1 is intended to prevent accidents due to untimely triggering of an impact. It is usually necessary to ensure that both the enabling device and the control device have to be released before another impact can be triggered.

The requirements set out in section 2.2.2.2 are complementary to the general requirements relating to the instructions set out in section 1.7.4.

The first indent of section 2.2.2.2 is relevant to tools, to safeguarding means such as splinter guards and to interchangeable equipment that may be fitted to fixing machinery in order to modify its function, for example, for the hard marking of materials.

The Machinery Directive does not apply to the fasteners or other impacted elements used with fixing and other impact machinery. However, the second indent of section 2.2.2.2 requires the machinery manufacturer to specify the relevant characteristics of fasteners or other impacted elements to be used with the machinery in order to enable the user to choose fasteners and other impacted elements that are compatible with the machinery and do not fracture under the specified conditions of use.

The third indent of section 2.2.2.2 applies to portable fixing machinery and other impact machinery operated by explosive cartridges. The Machinery Directive does not apply to the cartridges used with such machinery, however the machinery manufacturer must specify the relevant characteristics of the cartridges that can safely be used with the machinery.[84][PP76] 

It should be noted that cartridge-operated portable fixing machinery and other cartridge-operated impact machinery are included in the list set out in Annex IV (item 18) of categories of machinery to which one of the procedures referred to in Article 12 (3) and (4) must be applied.

 

2.3.             MACHINERY FOR WORKING WOOD AND MATERIAL WITH SIMILAR PHYSICAL CHARACTERISTICS

Machinery for working wood and materials with similar physical characteristics must comply with the following requirements:

(a)       the machinery must be designed, constructed or equipped in such a way that the piece being machined can be placed and guided in safety; where the piece is hand-held on a work-bench, the latter must be sufficiently stable during the work and must not impede the movement of the piece;

(b)       where the machinery is likely to be used in conditions involving the risk of ejection of workpieces or parts of them, it must be designed, constructed, or equipped in such a way as to prevent such ejection, or, if this is not possible, so that the ejection does not engender risks for the operator and/or exposed persons;

(c)        the machinery must be equipped with an automatic brake that stops the tool in a sufficiently short time if there is a risk of contact with the tool whilst it runs down;

(d)       where the tool is incorporated into a non-fully automated machine, the latter must be designed and constructed in such a way as to eliminate or reduce the risk of accidental injury.

§281   Machinery for working wood and similar materials

The supplementary requirements set out in section 2.3 apply to machinery for working wood and to machinery that may also be used for working materials with similar physical characteristics such as, for example, cork, bone, hardened rubber, hardened plastic, laminates with metal or certain thin, hardened metals.

The requirements set out in section 2.3 (a) aim to ensure that the design and construction of the feeding mechanism, or of the work bench in case of machinery with manual feed, enables the workpiece to be safely placed and guided during the work.

The requirement set out in section 2.3 (b) deals with a particular case of the hazard dealt with in the general requirement relating to ejected objects set out in section 1.3.3. Section 2.3 (b) requires measures to be taken to prevent the ejection of workpieces or parts of them. Such measures include, for example, fitting suitable riving knives on circular saw benches. Where ejections hazards cannot be completely avoided, safeguarding measures must to be taken to prevent ejected objects from injuring operators or other exposed persons. This requirement must be applied in conjunction with the requirements relating to guards set out in section 1.4.

Section 2.3 (c) deals with the risk of contact with the tool during the run-down time. On machinery with a mechanised or automatic feed, this risk can be prevented by means of an interlocking guard with guard locking if necessary – see §129: comments on section 1.4.2.2. However, in cases where the tool is not completely inaccessible during the work, for example, where an adjustable guard restricting access is fitted according to section 1.4.2.3, it is necessary to prevent excessive run-down time of the tool by means of an automatic braking system (e.g. mechanical or DC injection). Harmonised standards specify the acceptable duration of the run-down time in such cases.

Section 2.3 (d) requires measures to be taken to reduce the risk of injury in case of accidental contact with the moving tool on machinery where access to the danger zone is not completely prevented by an interlocking movable guard. Such measures, include, for example, fitting Limited Cutter Projection Tooling (LCPT), cylindrical (or ‘round form’) cutter blocks or similar means of restricting the depth of cut.

It should be noted that several categories of woodworking machinery are included in the list set out in Annex IV (items 1 to 7) of categories of machinery to which one of the procedures referred to in Article 12 (3) and (4) must be applied.

2.4. MACHINERY FOR PESTICIDE APPLICATION [85]

2.4.1. Definition

‘Machinery for pesticide application’ means machinery specifically intended for the application of plant protection products within the meaning of Article 2 (1) of Regulation (EC) No 1107/2009 of the European Parliament and of the Council of 21 October 2009 concerning the placing of plant protection products on the market (1).

(1) OJ L 309, 24.11.2009, p. 1.

 

§282   Machinery for pesticide application

The supplementary requirements set out in section 2.4 apply to machinery for pesticide application and concern the protection of the environment. The requirements set out in section 2.4 are the only essential health and safety requirements in Annex I that concern the protection of the environment – see §163: comments on General Principle 4 of Annex I.

The scope of the requirements set out in section 2.4 is determined by the definition of 'machinery for pesticide application' given in section 2.4.1. It is based on the scope of Directive 2009/128/EC[86] on the sustainable use of pesticides. Directive 2009/128/EC only[PP77]  applies to the use of pesticides that are plant protection products as defined in the EU Regulation relating to the placing on the market of such products. Plant protection products include products intended for protecting plants against harmful organisms or for preventing the action of such organisms, for influencing the life processes of plants, for preserving plant products, and for destroying, checking or preventing the undesired growth of plants or parts of plants.

Currently, Directive 2009/128/EC[P78]  does not apply to pesticides that are biocidal products. Consequently, the requirements set out in section 2.4 of Annex I of the Machinery Directive do not apply to machinery specifically designed for the application of biocidal products. However, Recital 2 to Directive 2009/128/EC indicates that it is anticipated that the scope of the Directive will be extended to cover biocidal products. In that case, the Commission will also examine the possible extension of the scope of the requirements set out in section 2.4 of Annex I to the Machinery Directive to machinery for application of biocidal products.

The requirements set out in section 2.4 of Annex I apply to machinery for the direct application of pesticides in liquid form as well as dusters and granules spreaders for the application of pesticides in solid form. However they do not apply to machinery used with products containing pesticides such as pesticide-coated seeds.

The machinery subject to the requirements set out in section 2.4 includes self-propelled, towed, vehicle-mounted, semi-mounted and airborne machinery, as well as stationary machinery intended for pesticide application, both for professional and non-professional use. It also includes portable machinery such as knapsack sprayers and mist blowers, and handheld machinery, whether powered or for some manually-operated types that has a pressure chamber, that stores the energy for spraying. Very simple manually operated devices without a pressure chamber, such as sprayers for houseplants where the spray is produced by direct application of the trigger, are not concerned since they are not in the scope of the Machinery Directive as they operate by direct manual effort– see §35: comments on Article 2 (a) – first indent.

The European Commission has issued a specific mandate for harmonised standards supporting the requirements set out in section 2.4.[87]

2.4.2. General

The manufacturer of machinery for pesticide application or his authorised representative must ensure that an assessment is carried out of the risks of unintended exposure of the environment to pesticides, in accordance with the process of risk assessment and risk reduction referred to in the General Principles, point 1. Machinery for pesticide application must be designed and constructed taking into account the results of the risk assessment referred to in the first paragraph so that the machinery can be operated, adjusted and maintained without unintended exposure of the environment to pesticides.

Leakage must be prevented at all times.

§ 283  Preventing unintended exposure of the environment to pesticides

The first sentence of section 2.4.2 indicates how risks for the environment are to be taken into account in the machinery manufacturer's risk assessment – see §158 and §159: comments on General Principle 1 to Annex I. The machinery manufacturer is not able assess all possible damage to the environment caused by the application of pesticides since that depends mainly on the nature (type and concentration) of the pesticide used, on the quantity applied and on the frequency of and conditions of application. These are matters to be taken into account by the user in accordance with the national provisions implementing Directive 2009/108/EC on the sustainable use of pesticides.

However the machinery manufacturer is expected to minimise the risks of damage to the environment due to the release of pesticides by the machinery in ways not intended by the user. Such risks may result from over spraying, leakage and spillage or from the contamination of water sources during filling, emptying and cleaning and during application. The risks during use arise from the release of pesticides in unintended quantities or at an unintended rate, and from the unintended release of pesticide to areas other than the target areas during application.

The second paragraph of section 2.4.1 refers to one of the possible sources of losses of pesticide to the environment, namely leakage from parts of the machinery containing the pesticides such as tanks, booms, hoses, lances, nozzles, valves and so on. These parts and their connections must be designed and constructed to prevent the risk leakage under the foreseeable conditions of use. Since the risk of leakage is increased by high pressure, the machinery must be provided with appropriate systems to ensure that the pressure in the parts concerned does not exceed the required limits. Such systems must be designed to prevent any vented pesticide from being discharged into the environment.

2.4.3. Controls and monitoring

It must be possible to easily and accurately control, monitor and immediately stop the pesticide application from the operating positions.

§ 284 For most power operated machinery where there is an operating station, such as the driving position on the machine itself or the tractor towing the interchangeable equipment, easy access must be provided to a stop control to quickly stop the pesticide application. Also the operator must be able to see visual information devices (dials, display screens etc.) that show the application rates and have easy access to the controls to adjust the application rates. For portable knapsack sprayers and similar devices the stop function can be provided by the operating trigger on the lance and the monitoring of the application is by direct vision of the spray. Control of the application rate is by manual control but on some devices the spray heads can be adjusted.

 

 

2.4.4. Filling and emptying

The machinery must be designed and constructed to facilitate precise filling with the necessary quantity of pesticide and to ensure easy and complete emptying, while preventing spillage of pesticide and avoiding the contamination of the water source during such operations.

§ 285

Precise filling is required and if it is not easy to see the level in the tank, the use of visible gauges must be provided to indicate the level of liquid in the spray tank(s). The gauge or the level in the tank must be clearly visible to the sprayer operator from the normal filing  positions.

The tank should be clearly and durably marked to show the nominal (manufacturer’s recommended) maximum filling level that allows for a reasonable foreseeable error in filling (over fill) without the risk of spillage.

Size and location of filling openings, must be designed to allow easy filling  without overflowing or splashing, for example by providing suction filling from the pesticide container thus eliminating the need to manually decant.

 

Where filling of either water or chemical is manual, it should be possible for the operator to add the chemical or water to the tank either standing on the ground or on a purpose-built platform that gives a stable working area with the filling point at an ergonomically safe below head height.

Apart from the smaller manually carried types, there should be provided  a device for cleaning original pesticide containers so that less than 0.01% of the original contents remain in the container - means of rinsing pesticide cans and directing rinsing water to the tank. Where this is not provided (e.g. for knapsack sprayers) detailed instructions on the use, cleaning and disposal of the original pesticide containers must be provided

A fail-safe system should be incorporated into the sprayer to prevent back-flow by siphoning while the spray and rinse tanks are being filled.

 

Emptying

Sprayers with spray tank capacities of 1000 litres or more must be equipped with a flushing tank that complies with this module. These tanks are required to provide clean water to clean the sprayer tanks and the plumbing circuits on the sprayer that contain pesticide solution – adequate volume – means to prevent use for personal cleaning

 

Spray tanks should incorporate a safe and convenient system to enable the drained liquid to be collected or discharged to a point for safe disposal

Complete flushing or emptying  of the sprayer tanks and plumbing circuits must be provided so there remains a minimal residual volume of pesticide. It is critical to ensure that drained pesticide and flushing liquid can easily be collected for safe disposal, by means of a discharge point with an operating stop valve positions to allow disposal containers/disposal point to be located to accept the liquid with minimal risk of splash or spillage.

 

2.4.5. Application of pesticides

2.4.5.1. Application rate

The machinery must be fitted with means of adjusting the application rate easily, accurately and reliably.

2.4.5.2. Distribution, deposition and drift of pesticide

The machinery must be designed and constructed to ensure that pesticide is deposited on target areas, to minimise losses to other areas and to prevent drift of pesticide to the environment. Where appropriate, an even distribution and homogeneous deposition must be ensured.

2.4.5.3. Tests

In order to verify that the relevant parts of the machinery comply with the requirements set out in sections 2.4.5.1 and 2.4.5.2 the manufacturer or his authorised representative must, for each type of machinery concerned, perform appropriate tests, or have such tests performed.

§ 286

There are three major factors, which influence sprayer calibration: Forward speed, swath width, and liquid flow rate.

 

Positioning of nozzles (direction of spray) Adjustment of distance nozzle/crop according to nozzle type. Where air is used, adjustment of the air speed.

Boom height – nozzle height – sprayer body height

All nozzles along a boom are supported at the same height - fitted with a locking device

A minimum range of height adjustment of one metre should be possible.

The mechanism for height adjustment should incorporate a fail-safe feature so that in the event of failure of the mechanism, the boom height will not change by more than 0.2 m.

Drift – pesticide spray drift: Spray drift is the airborne movement of agricultural chemicals

away from the target area during, or shortly after, its application. e.g. the ground or water instead of on the plants

drift recovery sprayer (DRS) technology – drift reduction nozzles (air assist nozzles, low drift nozzles).

monitoring wind speed and direction

Losses e.g. dripping from the machine itself

Measurement of flow rate for each nozzle. For machines with air assistance – air flow rate.

 

2.4.5.4. Losses during stoppage

The machinery must be designed and constructed to prevent losses while the pesticide application function is stopped.

§ 287

The requirement set out in section 2.4.5.4 must be fulfilled by adequate design, performance and reliability of the stopping devices (valve) - “Anti-drip” valves should be incorporated in the sprayer circuit to minimise the loss of spray liquid from nozzles once the liquid supply to a boom section has been turned off.

 

2.4.6. Maintenance

2.4.6.1. Cleaning

The machinery must be designed and constructed to allow its easy and thorough cleaning without contamination of the environment.

2.4.6.2. Servicing

The machinery must be designed and constructed to facilitate the changing of worn parts without contamination of the environment.

2.4.7. Inspections

It must be possible to easily connect the necessary measuring instruments to the machinery to check the correct functioning of the machinery.

§ 288[PP79] 

2.4.6.1

 

Rough surfaces and awkward recesses should be avoided.

Sprayers with spray tank capacities of 1000 litres or more must be equipped with a flushing tank that complies with this module. These tanks are required to provide clean water to clean the sprayer tanks and the plumbing circuits on the sprayer that contain pesticide solution – adequate volume – means to prevent use for personal cleaning - a rinsing or flushing tank containing clean water to help wash out the inside of the tank and spray liquid circuits;

Spray tanks should incorporate a safe and convenient system to enable the drained liquid to be collected or discharged for safe disposal

 

 

Filters should be readily accessible for cleaning and maintenance - Filters should be easy to clean without needing to empty the sprayer tank(s).

 

a clean water tank for use by the operators for personal washing;

2.4.7 Adapters for test equipment e.g. calibration of pressure gauge, measurement of flow rate (flowmeter).

 

2.4.8. Marking of nozzles, strainers and filters

Nozzles, strainers and filters must be marked so that their type and size can be clearly identified.

2.4.9. Indication of pesticide in use

Where appropriate, the machinery must be fitted with a specific mounting on which the operator can place the name of the pesticide in use.

§ 289 section 2.4.8 requires that the nozzles, strainers and filters fitted to the pesticide machinery or supplied as spares/consumables must be clearly marked with details of their type and size so the operator can ensure the correct type has been fitted. It is preferable to use a marking system that is easily understood by reference to the machinery instructions in all EU languages, with the use of appropriate codes as required.

Section 2.4.9 requires that a “card holder” or similar is fitted so a card with the details (name etc.) of the pesticide can be placed. This will apply to most pesticide mobile machinery, but for smaller machines such as knap sack sprayers a card holder is not normally required, but it should be possible to record the content on the sprayer, such as a panel that can be written on.

2.4.10. Instructions

The instructions must provide the following information:

(a)   precautions to be taken during mixing, loading, application, emptying, cleaning, servicing and transport operations in order to avoid contamination of the environment;

(b)   detailed conditions of use for the different operating environments envisaged, including the corresponding preparation and adjustments required to ensure the deposition of pesticide on target areas while minimising losses to other areas, to prevent drift to the environment and, where appropriate, to ensure an even distribution and homogeneous deposition of pesticide;

(c)   the range of types and sizes of nozzles, strainers and filters that can be used with the machinery;

(d)   the frequency of checks and the criteria and method for the replacement of parts subject to wear that affect the correct functioning of the machinery, such as nozzles, strainers and filters;

(e)   specification of calibration, daily maintenance, winter preparation and other checks necessary to ensure the correct functioning of the machinery;

(f)    types of pesticides that may cause incorrect functioning of the machinery;

(g)   an indication that the operator should keep updated the name of the pesticide in use on the specific mounting referred to in section 2.4.9;

(h)   the connexion and use of any special equipment or accessories, and the necessary precautions to be taken;

(i)    an indication that the machinery may be subject to national requirements for regular inspection by designated bodies, as provided for in Directive 2009/128/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for Community action to achieve the sustainable use of pesticides (1);

(j)    the features of the machinery which must be inspected to ensure its correct functioning;

(k)   instructions for connecting the necessary measuring instruments.

(1)      OJ L 309, 24.11.2009, p. 1.

§ 290

(a) The instructions must give comprehensive information on the operation of the machine with respect to loading, use, adjustment of nozzles and emptying of remaining pesticides. It must also give information on the techniques to be used to avoid spillage, the type of: containers that should be used; mixing equipment and how these should be cleaned and in particular the means of disposal of wash liquor and waste pesticide. The precautions to be taken in the transport of the equipment such how any pesticide is isolated so as to minimise the possibility of spillage and how, if relevant, spray arms etc. are to be purged of pesticides.

(b) The detail of the information required will depend on the type of machinery involved. The information will include details of the limits of wind speed it can be operated in, the size and location of areas it is unsuitable for use and basic information on when the pesticide can be used, with reference to the pesticide information supplied by its manufacture. Information should also be given on the types of pesticide it is suitable for. Particular attention must be paid to the guidance on the set up of the machine and its adjustments to ensure the designed application control, and how this can be checked and if faulty reminded. For a simple knapsack sprayer the information will involve the way the lance is operated and give general guidance on the conditions, wind speed and locations it is unsafe to use the machine. It should also give the pressure (pumps) range it is optimised for and information on maintenance and replacement of the lance nozzle.

(c) Recommended nozzles, nozzle positions, heights and spacing, to give the required spray volume distribution at the target - the range of pressures and flow rates over which the nozzles are designed to operate

(d) Criteria of procedure for determining when nozzles are worn to 125% of their original flow rates and operating pressure(s), and should be replaced. Information on how and when strainers and filters should be checked and when they should be replaced.

(e) Information is required to inform the user about the daily checks needed prior to using the machine and also the special checks for storage or use over winter. These are all to ensure the machine functions correctly at the set calibration  

(f) If any type of pesticide may cause damage to the machine or incorrect application rate, due to example to the type of carrying media, then these must be specified

(g) the marking of the type of pesticide contained in the machine (see paragraph 289)  is especially important when the machine is left partly filled and also to give third parties information on what is being sprayed or the emergency services in the case of an accident on the road or elsewhere. A reminder of the need to display this information is required in the instructions including how to use the card holder

(h) if accessories or other equipment is envisaged by the manufacturer to be fitted to the machine, whether supplied with the machine or available as an after purchase item, then information on how it is fitted and connected to the spray system (if relevant) and the precautions to take to prevent spillage and the correct delivery of the pesticide is needed.

(i) depending on the national requirements that implemented Directive 2009/128/EC on the use of pesticides there may be a legal requirement for regular inspection of certain types of pesticide machinery by designated bodies. The manufacturer is not expected to give details of these for every member states, but they are expected to inform in the instructions that such measures may exist in a member state and for the operator to check this for where the machine is being used, for example in a member state other than were the machine is located.

(j) to comply with this section a good approach is to provide a “check list” of the items that need to be checked prior to use of the machine to ensure its correct functioning of the delivery system and its correct calibration.

(k) measuring instruments may need to be connected to check calibration depending on the type of machine. Instructions must be given on how this is to be done, for example to avoid spillage, to fit only when the machine is idle and not under pressure etc.

 

 

 

 

 

3.    SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS TO OFFSET HAZARDS DUE TO THE MOBILITY OF MACHINERY

Machinery presenting hazards due to its mobility must meet all the essential health and safety requirements described in this chapter (see General Principles, point 4).

§291   Supplementary requirements for hazards due to mobility of machinery

Part 2 of Annex I sets out supplementary EHSRs relating to hazards due to the mobility of machinery. These apply to the machinery concerned in addition to the relevant requirements of Part 1 of Annex I and, where applicable, of the other Parts of Annex I – see §163: comments on General Principle 4.

3.1.             GENERAL

3.1.1.          Definitions

(a)   ‘Machinery presenting hazards due to its mobility’ means

  • machinery the operation of which requires either mobility while working, or continuous or semicontinuous movement between a succession of fixed working locations, or
  • machinery which is operated without being moved, but which may be equipped in such a way as to enable it to be moved more easily from one place to another.

. . .

§292   Definition of 'hazards due to mobility'

The definition of 'machinery presenting hazards due to its mobility' set out in section 3.1.1 (a) establishes the scope of the requirements set out in Part 3 of Annex I. According to the definition, the machinery concerned comprises:

-           machinery that can travel while fulfilling its main function. Examples of such machinery are dumpers, compactors, lift trucks, gantry cranes, track-mounted mobile cranes and lawnmowers;

-           machinery that remains stationary while carrying out its main application but is designed to travel from one working location to another. Examples of such machinery are drill rigs and mobile cranes, loader cranes and self-propelled or trailer-mounted mobile elevating work platforms that are mounted on stabilisers during lifting operations;

-           machinery which remains stationary in use but which is equipped with means, such as powered wheels or tracks or towing devices to enable it to travel easily from one place of use to another.

It is clear from the definition that the hazards due to mobility covered in Part 3 of Annex I are those due to the mobility of the machinery itself, not those due to moving parts of the machinery which are dealt with in sections 1.3.7 and 1.3.8.

The machinery concerned by the requirements set out in Part 3 includes, for example:

  • mobile construction equipment such as earthmoving machinery,
  • mobile road construction machinery,
  • mobile machinery for underground mines,
  • self-propelled and towed mobile agricultural, forestry and gardening machinery,
  • mobile machinery for the transport and lifting of goods or persons such as industrial trucks (including driverless trucks), mobile cranes and mobile elevating work platforms,
  • machinery mounted on means of transport such as loader cranes, compressors and tippers,
  • refuse collection vehicles,
  • mobile machinery for the off-road transport of goods or persons such as quads, buggies, off-road motorcycles and karts,
  • mobile winter service machinery,
  • mobile aircraft ground support machinery.

3.1.1.          Definitions (continued)

. . .

(b)        ‘Driver’ means an operator responsible for the movement of a machine. The driver may be transported by the machinery or may be on foot, accompanying the machinery, or may guide the machinery by remote control.

. . .

§293   Definition of 'driver'

Section 3.1.1 (b) defines 'driver' as an operator responsible for the movement of a machine, in other words, the person who controls the travel movements of the machinery itself. The definition refers to three main driving modes:

  • mobile machinery may have a ride-on driver, transported by the machinery, who may be seated or standing;
  • mobile machinery may be designed for pedestrian control;
  • mobile machinery may be guided from a distance by means of a remote control.

Certain mobile machinery may also be designed with two or more alternative driving modes. For example, mobile machinery may be designed to be controlled either by a ride-on driver or by means of remote control – see §204: comments on section 1.2.5.

The requirements set out in Part 3 address the specific risks associated with the different driving modes and the necessary protective measures to deal with them.

 

3.2.             WORK POSITIONS

3.2.1.          Driving position

Visibility from the driving position must be such that the driver can, in complete safety for himself and the exposed persons, operate the machinery and its tools in their foreseeable conditions of use. Where necessary, appropriate devices must be provided to remedy hazards due to inadequate direct vision.

Machinery on which the driver is transported must be designed and constructed in such a way that, from the driving positions, there is no risk to the driver from inadvertent contact with the wheels and tracks.

The driving position of ride-on drivers must be designed and constructed in such a way that a driver's cab may be fitted, provided this does not increase the risk and there is room for it. The cab must incorporate a place for the instructions needed for the driver.

§294   Driving position

The requirement set out in section 3.2.1 is complementary to the general requirements relating to operating positions and seating set out in sections 1.1.7 and 1.1.8.

The first paragraph of section 3.2.1 deals with visibility from the driving position. The driver must have permanent control of the movements of the machinery.

  • Wherever possible, the machinery must be designed and constructed so that the driver has adequate direct vision of the area around the machinery. In particular, the driver must be able to see whether there are persons near the machinery who may be at risk due to the operation or movement of the machinery – see §195: comments on the fifth paragraph of section 1.2.2. Means that may be used to improve direct visibility include, for example, elevating, tilting or reversible driving positions and cabs or alternative driving positions.
  • Where direct visibility is insufficient, in other words, where the driver's view of a person or an obstacle in the danger zone is liable to be obscured by parts of the machinery or by objects or materials carried by the machinery, to the extent that the driver may not be aware of their presence, appropriate devices to provide indirect vision must be fitted. Such devices include appropriate mirrors and closed circuit television (CCTV). The decision to fit devices to provide indirect vision and the choice, design and location of such devices must take account of ergonomic principles and of the constraints to which the driver is subject in the foreseeable conditions of use of the machinery, which will include that pedestrians and other machinery are likely to be in the vicinity at times. Factors to be considered when choosing the type of device will include, for example, likely use of the machinery at night or in poor lighting conditions, use on uneven ground, use in areas where pedestrians or other machinery may be at particular risk, such as where children are likely to be present or  use involving frequent or prolonged reversing – see §181: comments on section 1.1.6.
  • Where there is residual risk of collisions with persons, machinery may be fitted with means to prevent such collisions such as, for example, pressure-sensitive, radar, infra-red or ultrasonic protective devices, to detect the presence of persons and stop the machinery or warn the driver before a collision occurs, however such devices do not remove the requirement for direct or when not possible, indirect vision.

The second paragraph of section 3.2.1 concerns machinery where the driving position is close to the wheels or tracks. If the driving position is not completely enclosed and if there is not an adequate safety distance between the driving position and the wheels or tracks, it is necessary to fit guards to prevent inadvertent contact with these parts.

The third paragraph of section 3.2.1 requires machinery with a ride-on driver to be designed and constructed in such a way that a driver's cab may be fitted, unless the machinery is too small to fit a cab or the fitting of a cab would increase the risk or impair the functionality of the machinery. In such cases, other measures must be considered to protect the drivers such as, for example, seats with a protective canopy or remote control.

The requirement set out in the third paragraph of section 3.2.1 must be applied in conjunction with the requirements set out in section 1.1.7 relating to operating positions and section 3.5.3 relating to emissions of hazardous substances - see §182: comments on section 1.1.7 and §322: comments on section 3.5.3.

The second sentence of the third paragraph of section 3.2.1 requires a place to be provided in the driver's cab for the instructions needed for the driver. The instructions concerned are those relating to the safe operation of the machinery and to any inspection or maintenance operations to be carried out by the driver.

3.2.2.          Seating

Where there is a risk that operators or other persons transported by the machinery may be crushed between parts of the machinery and the ground should the machinery roll or tip over, in particular for machinery equipped with a protective structure referred to in section 3.4.3 or 3.4.4, their seats must be designed or equipped with a restraint system so as to keep the persons in their seats, without restricting movements necessary for operations or movements relative to the structure caused by the suspension of the seats. Such restraint systems should not be fitted if they increase the risk.

§295   Seat restraint system

The requirement set out in section 3.2.2 is complementary to the general requirements on seating set out in section 1.1.8.

Section 3.2.2 deals with the risk of crushing due to ejection of operators or other transported persons in case machinery rolls or tips over. The roll-over and tip-over protective structures referred to in section 3.4.3 can only fulfil their role if the persons concerned are maintained within the protected volume. For this purpose, machinery must either:

-     be designed to prevent operators from being thrown out if the machinery rolls or tips over,

-     be provided with seats designed to prevent operators from being thrown out, or

-     be provided with seats fitted with a seat restraint system with adequate anchorage points.

Seat restraint systems must be easy to open and close and restrict the necessary movements of the operator as little as possible. This is particularly important for machinery such as, for example, industrial trucks, where the driver may have to frequently leave and return to the driving position.

Where the safety of the operators depends on the closure of a seat restraint system, the necessary instructions on the use of the restraint system must be given – see §263: comments on section 1.7.4.2 (k).

The last sentence of section 3.2.2 recognises that, in some cases, restraint systems should not be fitted because they may increase the risk. This may be the case, for example, on small mobile machinery that is not fitted with a cab or a protective structure or machinery with a standing ride-on driver, or certain types of machines that are designed to operate on marsh areas with open water where the risk is of being trapped under water in the case or a roll over is paramount.. It may also be impracticable to fit a restraint system on machinery designed for active riding that demands extensive movement of the driver while travelling. Restraint systems are not usually required on machinery equipped with a falling-object protective structure only.

3.2.3.          Positions for other persons

If the conditions of use provide that persons other than the driver may occasionally or regularly be transported by the machinery or work on it, appropriate positions must be provided which enable them to be transported or to work on it without risk.

The second and third paragraphs of section 3.2.1 also apply to the places provided for persons other than the driver.

§296   Positions for persons other than the driver

The requirements set out in section 3.2.3 are complementary to the general requirements relating to operating positions and seating set out in sections 1.1.7 and 1.1.8.

Section 3.2.3 requires safe positions to be provided for persons other than the driver who may be occasionally or regularly transported by the machinery or work on it. Depending on the type of machinery and the tasks of the persons concerned, such positions may be seats or places to stand such as platforms or footboards. Particular protective measures must be taken to deal with risks such as the risk of falling from the machinery or the risk of impacts or crushing where the positions provided for persons other than the driver are outside the normal clearance of the machinery.

The second paragraph of section 3.2.3 states that the requirements set out in section 3.2.1 relating to risks of contact with wheels or tracks and the provision of a cab are applicable to positions for persons other than the driver.

3.3.             CONTROL SYSTEMS

If necessary, steps must be taken to prevent unauthorised use of controls.

. . ..

§297   Unauthorised use of controls

The requirements set out in section 3.3 are complementary to the general requirements relating to the safety and reliability of control systems set out in section 1.2.1.

The first sentence of section 3.3 requires measures to be taken to prevent unauthorised use of controls if necessary. These measures are necessary for machinery which is exposed to use by unauthorised persons such as, for example, industrial trucks, or machinery intended to be used or parked in public areas.[88] The measures that can be taken include, for example, fitting locks, electronic access systems or systems requiring the operator to carry an electronic tag to operate the machinery.

3.3.             CONTROL SYSTEMS (continued)

. . .

In the case of remote controls, each control unit must clearly identify the machinery to be controlled from that unit.

The remote control system must be designed and constructed in such a way as to affect only:

  • the machinery in question,
  • the functions in question.

Remote controlled machinery must be designed and constructed in such a way that it will respond only to signals from the intended control units.

§298   Remote controls

The requirements set out in the second, third and last paragraphs of section 3.3 apply to remote control systems for mobile machinery. In the case of machinery intended for control either by a ride-on driver or by means of remote control, these requirements apply to the remote control mode – see §293: comments on section 3.1.1 (b).

These requirements for remote control systems are complementary to the requirement relating to cable-less control systems set out in the last paragraph of section 1.2.1.

The requirement set out in the second paragraph of section 3.3 is a particular application of the general requirement set out in the fourth paragraph of section 1.2.2 relating to indicators. Where the control unit of a remote control system is not located on the machinery it controls, it must be clear to operators which machinery is affected by the use of each control unit.

The third and last paragraphs of section 3.3 set out requirements for the design and construction of the remote control system itself.

The purpose of the requirement set out in the third paragraph of section 3.3, that the system shall only affect the intended machinery and functions, is to avoid unintended commands being given to other machinery or other functions that may be in the range of the remote control system.

The requirement set out in the last paragraph of section 3.3 aims to prevent signals from any sources other than the appropriate control unit from triggering unintended actions of the remote controlled machinery.

In order to fulfil the requirements set out in section 3.3, the design and construction of the remote control system must ensure an adequate level of performance – see §184: comments on section 1.2.1.

Supplementary requirements for the remote control of the travelling function are set out in the fourth paragraph of section 3.3.3 and in the third paragraph of section 3.6.1.

3.3.1.          Control devices

The driver must be able to actuate all control devices required to operate the machinery from the driving position, except for functions which can be safely actuated only by using control devices located elsewhere. These functions include, in particular, those for which operators other than the driver are responsible or for which the driver has to leave the driving position in order to control them safely.

. . .

§299   Location and positioning of the control devices

The requirements set out in section 3.3.1 are complementary to the general requirements for control devices set out in section 1.2.2.

The requirements set out in the first paragraph of section 3.3.1 concern the location and positioning of the control devices at the driving position – see §187: comments on the second indent of section 1.2.2.

The second paragraph of section 3.3.1 recognises that it may be necessary to provide mobile machinery with control positions other than the driving position in order to control certain functions safely. This may be necessary, for example, to ensure that the operator controlling those functions has adequate visibility of the related danger zones, for example, on mobile cranes or loader cranes - see §195: comments on the fifth paragraph of section 1.2.2, and §343: comments on section 4.1.2.7. In that case, it is important to take account of the requirements set out in the eighth and last paragraphs of section 1.2.2 relating to multiple control and operating positions – see §197 and §198: comments on section 1.2.2.

3.3.1.          Control devices (continued)

. . .

Where there are pedals, they must be so designed, constructed and fitted as to allow safe operation by the driver with the minimum risk of incorrect operation. They must have a slip-resistant surface and be easy to clean.

. . .

§300   Pedals

Since the operators of ride-on mobile machinery frequently need to have their hands free to steer and control other functions of the machinery, pedals are often used to control, amongst others, the acceleration and braking functions. Since most machinery operators are also drivers of road vehicles, it is important that the pedals for these functions should, as far as possible, have a similar mode of operation and layout to those of road vehicles in order to reduce the risk of incorrect operation – see §190: comments on the sixth indent of section 1.2.2, and §193: comments on the third paragraph of section 1.2.2.

In order to ensure safe operation, the dimensions and layout of the pedals must also take account of the fact that operators may have to wear protective footwear such as, for example, the large boots worn in winter or in refrigerated warehouses – see §176: comments on section 1.1.2 (d). For similar reasons, pedals must have a slip-resistant surface and be easy to clean, taking into account the intended conditions of use.

3.3.1.          Control devices (continued)

. . .

Where their operation can lead to hazards, notably dangerous movements, the control devices, except for those with preset positions, must return to the neutral position as soon as they are released by the operator.

. . .

§301   Return to neutral

Control devices for controlling movements of the machinery itself and for controlling other hazardous functions shall, as a general rule, be of the hold-to-run type, returning to the neutral position when released, in order to enable the operator to stop the movement or hazardous function immediately when necessary. Special consideration should be given to situations where the operator may not be able to release the control, for example when being pushed onto the control due to the movement of the vehicle. If this is a significant risk then means to mitigate this by way of the controls’ design should be provided.

Control devices with preset positions may be fitted when it is necessary to maintain a parameter, such as, for example, the travel speed of the machinery, at a constant value for a prolonged period. This may be necessary, for example, on certain agricultural machinery or road construction machinery. In that case, the control device should be designed so that it can be easily and quickly returned to the neutral position in an emergency.

Self-propelled machinery with a ride-on driver equipped with a control device with preset positions for the travel movements must be fitted with an enabling device to comply with the requirement set out in the first paragraph of section 3.3.2, since, in that case, it is possible to leave the driving position while the machinery is travelling – see §304: comments on section 3.3.2.

3.3.1.          Control devices (continued)

. . .

In the case of wheeled machinery, the steering system must be designed and constructed in such a way as to reduce the force of sudden movements of the steering wheel or the steering lever caused by shocks to the guide wheels.

Any control that locks the differential must be so designed and arranged that it allows the differential to be unlocked when the machinery is moving.

. . .

§302   Steering

The requirement set out in the fourth paragraph of section 3.3.1 aims to prevent the risk of loss of control and injury due to kickback of the steering device when the guide wheels hit an obstacle on the ground. In order to meet this requirement, the steering system must have adequate damping between the guide wheels and the steering device.

Some types or mobile machinery are fitted with a locking differential in order to improve traction and prevent wheel spin on soft, slippery or uneven surfaces. The fifth paragraph of section 3.3.1 requires differential locking controls to allow the differential to be opened when the machinery is moving, in order to enable the driver to recover full steering capacity when necessary. Where appropriate, an automatic differential locking system that locks or opens the differential as needed, without action by the driver, can be fitted to comply with this requirement.

3.3.1.          Control devices (continued)

. . .

The sixth paragraph of section 1.2.2, concerning acoustic and/or visual warning signals, applies only in the case of reversing.

§303   Reverse warning signals

The last paragraph of section 3.3.1 refers to the sixth paragraph of section 1.2.2 which requires an acoustic and/or visual warning signal to be given before the starting of machinery if the operator is not able to ensure that no-one is in the danger zone or if it is not possible to design the control system to prevent starting while someone is in the danger zone.

For mobile machinery, an automatic acoustic and/or visual warning signal is only required in the case of the reversing. Since it may be necessary to control reversing movements quickly in case of an emergency, the time interval between the warning signal and the reversing movement shall usually be reduced. It should be noted that automatic reverse warning signals are not a substitute for measures to ensure direct or indirect visibility of the danger zones – see §294: comments on section 3.2.1.

Warning devices relating to forward movements should usually be actuated by the driver – see §323: comments on section 3.6.1.

3.3.2.          Starting/moving

All travel movements of self-propelled machinery with a ride-on driver must be possible only if the driver is at the controls.

. . .

§304   Control of travel movements by a ride-on driver

The requirement set out in the first paragraph of section 3.3.2 stems from the fact that safe travel movement of self-propelled machinery with a ride-on driver requires the driver to be permanently in control. It must not be possible to start travel movements of the machinery if the driver is not at the controls and it must not be possible for the machinery to continue travelling under power if the driver leaves the driving position. In the case of machinery designed for control either by a ride-on driver or by means of a remote control, this requirement only applies to the ride-on control mode – see §293: comments on section 3.1.1 (b).

The requirement set out in the first paragraph of section 3.3.2 can be considered to be fulfilled if:

  • the control devices are of the hold-to-run type, returning to neutral when released
  • and
  • the control devices for controlling travel movements of the machinery are not easily accessible from outside the driver's cab.

If these two conditions are not met, other measures must be taken to prevent travel movements if the driver is not at the controls. Such measures may include, for example, fitting an enabling device such as a sensor on the armrest supporting the control devices, a position sensor in the seat or a seat switch. Such devices shall be chosen and designed to avoid creating other risks and to avoid triggering by vibrations of the machinery or by foreseeable movements of the driver while driving. The devices and their integration into the control system must have an adequate performance level – see §184: comments on section 1.2.1.

 

3.3.2.          Starting/moving (continued)

. . .

Where, for operating purposes, machinery is fitted with devices which exceed its normal clearance zone (e.g. stabilisers, jib, etc.), the driver must be provided with the means of checking easily, before moving the machinery, that such devices are in a particular position which allows safe movement.

This also applies to all other parts which, to allow safe movement, have to be in particular positions, locked if necessary.

Where it does not give rise to other risks, movement of the machinery must depend on safe positioning of the aforementioned parts.

. . .

§305   Devices exceeding the normal clearance zone

The requirements set out in the second, third and fourth paragraphs of section 3.3.2 deal with the risk that may be created by devices fitted to the machinery which, for operational purposes, are deployed outside the normal clearance zone.

Such devices include, for example, stabilisers or outriggers which are extended outside the chassis of mobile machinery or of the vehicle on which the machinery is mounted to ensure stability during operation. Stabilisers may be fitted, for example, to lifting machinery such as loader cranes, mobile cranes, mobile elevating work platforms or earth moving equipment. The devices concerned also include, for example, lifting structures such as telescopic or articulated jibs, arms and booms on lifting machinery or on truck-mounted concrete pumps and truck-mounted tipper bodies, which may be extended horizontally or vertically outside the normal clearance zones of the machinery or of the vehicle on which the machinery is mounted.

If these devices are not secured in a safe position before travel movements of the machinery or of the vehicle on which it is mounted, they may hit pedestrians, other machinery, vehicles, bridges, tunnels, overhead electricity lines and so on. Such collisions can cause severe or fatal accidents as well as substantial damage to property.

Where the devices concerned are liable to move from the safe position during travel, due to centrifugal forces for example, it must be possible to lock them in the safe position.

In all such cases, the driver must be able to check that the devices concerned are in a safe travel position, locked in that position if necessary, before starting travel movements. If it is not easy to carry out such a check visually, the necessary indicators or warning devices must be provided at the driving position.

Interlocking systems should be fitted to prevent travel movements of the machinery or prevent starting if the devices concerned are not placed and, where necessary, locked in a safe travel position, provided such devices do not give rise to other risks such as, for example, a risk of unexpected stopping during road circulation.

3.3.2.          Starting/moving (continued)

. . .

It must not be possible for unintentional movement of the machinery to occur while the engine is being started.

§306   Unintended travel movement

The requirement set out in the last paragraph of section 3.3.2 is a particular application of the general requirement set out in section 1.2.3 relating to starting.

In order to avoid unintended or unexpected movement of mobile machinery, it is necessary to separate the starting of the engine or motor from the starting of movement. It must be possible to start the engine without starting the movement of the machinery and it must not be possible to start the engine or motor if the transmission is engaged, for example the gear shift or travel lever must be in neutral for the starter motor to operate..

3.3.3.          Travelling function

Without prejudice to road traffic regulations, self-propelled machinery and its trailers must meet the requirements for slowing down, stopping, braking and immobilisation so as to ensure safety under all the operating, load, speed, ground and gradient conditions allowed for.

The driver must be able to slow down and stop self-propelled machinery by means of a main device. Where safety so requires, in the event of a failure of the main device, or in the absence of the energy supply needed to actuate the main device, an emergency device with a fully independent and easily accessible control device must be provided for slowing down and stopping.

Where safety so requires, a parking device must be provided to render stationary machinery immobile. This device may be combined with one of the devices referred to in the second paragraph, provided that it is purely mechanical.

. . .

§307   Slowing down, stopping and immobilisation

The first three paragraphs of section 3.3.3 deal with the braking, slowing down, stopping and immobilisation of mobile machinery.

The first paragraph of section 3.3.3 requires mobile machinery to have a braking system that is able to slow down and stop the machinery safely and keep it at a standstill. The braking system must be designed, constructed and verified to ensure that these functions can be ensured under all intended and reasonably foreseeable load, speed, ground and gradient conditions. This requirement applies to self-propelled machinery and to most towed machinery, unless such machinery can be safely slowed down and stopped by the braking system of the towing machinery or vehicle.

The second paragraph of section 3.3.3 requires the braking system of self-propelled mobile machinery to include an emergency braking device that safely slows down and stops the machinery, or can be used by the driver to do so, in case of the failure of the main braking device or of its energy supply. This requirement applies to all mobile machinery where there is a risk of losing control of the movement of the machinery if the braking system fails. The requirement can be satisfied for example, by a mechanically linked handbrake, spring applied brakes that apply in the event of power failure or a dual braking system that isolates the failed circuit in the event of a failure of the energy supply.

The third paragraph of section 3.3.3 requires mobile machinery to be fitted with a parking brake where there is a risk of the machinery moving unintentionally from a stationary position. The parking brake must be designed so that its effectiveness is not liable to diminish for as long as the machinery is parked. For purely mechanical braking systems, the parking brake can be combined with the main or emergency braking devices.

§308   Regulations for road circulation

The first paragraph of section 3.3.3 states that the requirements of the Machinery Directive in respect to slowing down, stopping and immobilisation apply 'without prejudice to road traffic regulations'. There is a similar reference to road traffic regulations in the second paragraph of section 3.6.1 on warning devices and light signals.

The rules and procedures governing the circulation of mobile machinery on public roads are not harmonised at EU level. Consequently, in addition to the requirements and procedures of the Machinery Directive, manufacturers seeking approval of mobile machinery for road circulation may have to apply rules and procedures in force at national level. Aspects that may be covered by such national rules include, for example:

  • maximum dimensions, mass, axle load and speed,
  • suspension and tyres,
  • braking and steering systems,
  • direct and indirect visibility,
  • warning devices, signs and signals, and lights.

3.3.3.          Travelling function (continued)

. . .

Remote-controlled machinery must be equipped with devices for stopping operation automatically and immediately and for preventing potentially dangerous operation in the following situations:

  • if the driver loses control,
  • if it receives a stop signal,
  • if a fault is detected in a safety-related part of the system,
  • if no validation signal is detected within a specified time.

. . .

§309   Stopping and controlling potentially dangerous operation by remote control

The requirements set out in the fourth paragraph of section 3.3.3 are complementary to the general requirements relating to control systems set out in section 1.2.1 and to the requirements relating to remote control of mobile machinery set out in section 3.3 and in the third paragraph of section 3.6.1.

The remote control device and the control system of the machinery must be designed to bring to a safe stop the machinery itself and, where necessary, to prevent any potentially dangerous operation of the machinery, in all of the situations described in the four indents of this paragraph. These objectives can be achieved by a combination of means, including, for example, hold-to-run control devices, means for detecting and stopping the machinery in the event of hazardous situations such as abnormal acceleration, vibration or tilt, and enabling devices that have to be actuated at regular intervals.

The 'specified time' referred to in the last indent of the fourth paragraph of section 3.3.3 must be short enough to prevent a dangerous situation arising during the time interval concerned.

In order to fulfil the requirements set out in section 3.3.2, the remote control system must have an adequate level of performance – see §184: comments on section 1.2.1.

3.3.3.          Travelling function (continued)

. . .

Section 1.2.4 does not apply to the travelling function.

§310   Stopping of the travelling function

The last paragraph of section 3.3.3 foresees a derogation to the general requirements for the stopping functions set out in section 1.2.4. In particular, section 1.2.4.1 requires that, once machinery has been stopped, the energy supply to the actuators must be cut off. This does not apply to the travelling function of mobile machinery which may be stopped in neutral with the engine running.

The requirements applicable to the stopping of the travelling function of mobile machinery are those set out in the first three paragraphs of this section – see §307: comments on the first three paragraphs of section 3.3.3.

3.3.4.          Movement of pedestrian-controlled machinery

Movement of pedestrian-controlled self-propelled machinery must be possible only through sustained action on the relevant control device by the driver. In particular, it must not be possible for movement to occur while the engine is being started.

The control systems for pedestrian-controlled machinery must be designed in such a way as to minimise the risks arising from inadvertent movement of the machine towards the driver, in particular:

  • crushing,
  • injury from rotating tools.

The speed of travel of the machinery must be compatible with the pace of a driver on foot.

In the case of machinery on which a rotary tool may be fitted, it must not be possible to actuate the tool when the reverse control is engaged, except where the movement of the machinery results from movement of the tool. In the latter case, the reversing speed must be such that it does not endanger the driver.

§311   Movement of pedestrian-controlled machinery

Section 3.3.4 concerns pedestrian-controlled self-propelled mobile machinery, that is to say, machinery with powered travel movements controlled by a driver accompanying the machinery on foot, who usually walks behind or ahead of the machinery and operates the control devices and steering device by hand – see §293: comments on section 3.1.1 (b). Pedestrian-controlled machinery includes pedestrian-controlled pallet trucks, surface cleaning machinery, compactors, cultivators, motor hoes and lawnmowers. Section 3.3.4 does not concern pedestrian-propelled machinery.

The requirements set out in the first paragraph of section 3.3.4 are intended to reduce the risk of uncontrolled movements of the machinery. The control devices for movement must be of the hold-to-run type and the release of the control device must bring the machinery to a safe stop. If the machinery is likely to continue moving after the control device has returned to the neutral position, it may be necessary for the release of the control device to actuate a brake. Since the operator usually has to hold the steering device and the control device for movement with the same hand, it is important for the hold-to-run control device to be designed and located to reduce the constraint for the operator – see §193: comments on the third paragraph of section 1.2.2.

The second sentence of the first paragraph of section 3.3.4 deals with a specific aspect of the requirement set out in the first sentence: the design and construction of the machinery must make it impossible for movement of the machinery to occur during the starting of the engine.

The requirement set out in the second paragraph of section 3.3.4 deals with the risk of the driver being crushed or injured by the moving machinery itself, by moving parts of the machinery or by tools. This risk is particularly important when the driver walks ahead of the machinery or if the machinery is able to reverse towards the driver. In such cases, it may be necessary to fit protective devices that stop the machinery if it approaches or comes into contact with the driver's body.

The requirement, set out in the third paragraph of section 3.3.4, that the speed of travel must be compatible with the pace of the driver on foot, aims to ensure that the driver does not lose control of the machinery while it is moving.

The last paragraph of section 3.3.4 deals with the risk of injury to the pedestrian driver due to contact with a rotary tool such as, for example, the blade of a cultivator or hoe. If the function of the machinery requires a reverse function, the tool must be disengaged during reversing or, where the movement of the machinery results from the movement of the tool, a 'crawl' speed must be foreseen to reduce the risk.

3.3.5.          Control circuit failure

A failure in the power supply to the power-assisted steering, where fitted, must not prevent machinery from being steered during the time required to stop it.

§312   Failure in the power supply to steering

Power-assisted steering is fitted to mobile machinery to reduce the efforts needed to steer the machinery, particularly on large machinery and for tight manoeuvres. However, since the driver must be able to control movement of the machinery at all times, it must be possible to steer the machinery for long enough to bring it to a safe stop in the event of the failure of the power supply. If it is possible steer the machinery manually to a safe stop, this requirement can be fulfilled by reverting to manual steering in the event of failure of the power-supply. Otherwise, a back-up power supply is necessary.

A back-up power supply is always necessary on machinery with a power steering system, such power supply may in hydraulic system be by means of a suitable accumulator. This must allow sufficient movements of the steering in the event of a power failure, to give time for the machine to be brought safely to a halt with a good safety margin[PP80] .

 

3.4.             PROTECTION AGAINST MECHANICAL HAZARDS

3.4.1.          Uncontrolled movements

Machinery must be designed, constructed and where appropriate placed on its mobile support in such a way as to ensure that, when moved, uncontrolled oscillations of its centre of gravity do not affect its stability or exert excessive strain on its structure.

§313   Uncontrolled movements

The requirement set out in section 3.4.1 is complementary to the general requirements relating to stability and the risk of break-up during operation set out in sections 1.3.1 and 1.3.2.

The design and construction of mobile machinery must take account of the dynamic effects due to the movements of the machinery that may affect its stability or the mechanical resistance of its structures. Particular consideration must be given to these risks for self-propelled or towed machinery intended for road circulation, for machinery intended to be mounted on road vehicles and for machinery intended to travel at high speed.

3.4.2.          Moving transmission parts

By way of exception to section 1.3.8.1, in the case of engines, moveable guards preventing access to the moving parts in the engine compartment need not have interlocking devices if they have to be opened either by the use of a tool or key or by a control located in the driving position, providing the latter is in a fully enclosed cab with a lock to prevent unauthorised access.

§314   Access to the engine compartment

Section 3.4.2 foresees an exception to the general requirements for preventing access to moving transmission parts set out in section 1.3.8.1. The derogation applies to movable guards preventing access to the moving parts in the engine compartment (engine covers with a guarding function). Such engine covers do not have to be fitted with an interlocking device that stops the engine when the cover is opened. However measures must be taken to prevent unauthorised access to the engine compartment:

-           the engine cover must be designed to require the use of a tool or key to be opened – see §218: comments on section 1.4.2.1,

or

-           the engine cover must be fitted with a lock that can only be released from the driving position by means of a device located in a fully enclosed cab which can itself be locked to prevent unauthorised access.

3.4.3.          Roll-over and tip-over

Where, in the case of self-propelled machinery with a ride-on driver, operator(s) or other person(s), there is a risk of rolling or tipping over, the machinery must be fitted with an appropriate protective structure, unless this increases the risk.

This structure must be such that in the event of rolling or tipping over it affords the ride-on person(s) an adequate deflection-limiting volume.

In order to verify that the structure complies with the requirement laid down in the second paragraph, the manufacturer or his authorised representative must, for each type of structure concerned, perform appropriate tests or have such tests performed.

§315   Roll-over and tip-over

Section 3.4.3 deals with the residual risk of loss of stability of the machinery if, despite the measures taken according to sections 1.3.1 and 3.4.1 to ensure adequate stability, there is a residual risk due to the machinery rolling or tipping over. The term 'roll-over' designates complete overturning involving a rotation of 180°. The term 'tip-over' designates the situation where the machinery falls over but where its shape or an element such as a mast or a boom prevents it from rotating more than 90°. The machinery may be liable to roll-over or tip-over in a lateral or longitudinal direction or both. Roll-over or tip-over always creates a risk for the driver or other persons transported by the machinery of being ejected or crushed.

The first paragraph of section 3.4.3 requires machinery having such a residual risk to be equipped with an appropriate protective structure, that is to say a roll-over protective structure or a tip-over protective structure. These structures must be designed to protect all persons transported by the machinery who are exposed to the risk concerned.

The assessment of the residual risk due to rolling or tipping over should take account of the following parameters:

  • the intended and foreseeable operating conditions of the machinery (such as speed, maximum slope and terrain);
  • the mass, dimensions and centre of gravity of the machinery, the different loading conditions, the presence of levelling devices;
  • the shape of the machinery and the position of the operator(s).

The necessary protection may be ensured by parts of the machinery itself that ensure the necessary protection of the operator(s) in the event of roll-over or tip-over. When a specific protective structure is required, it may be an integrated into a cab.

For many categories of mobile machinery, harmonised standards state whether a protective structure is necessary and specify the type of protective structure to be fitted.

The only exception to this requirement is where fitting a protective structure would increase the risk related to rolling or tipping over. For example, it is not advisable to fit a protective structure on machinery intended for active riding on which a seat restraint device cannot be used – see §295: comments on section 3.2.2[PP81] .

The second paragraph of section 3.4.3 sets out the objective to be achieved by roll-over and tip-over protective structures. The protective structure must provide an adequate deflection-limiting volume, in other words, in the event of roll-over or tip-over, it should not deform to the extent that it contacts the operator while he or she is in the operating position. It should be noted that such protective structures can only fulfil their protective functions if the persons concerned are restrained so that they remain on their seats in case of roll-over or tip-over – see §295: comments on section 3.2.2.

The third paragraph of section 3.4.3 requires roll-over and tip-over protective structures to be subject to the necessary type-tests to verify that they fulfil their protective role.

It should be noted that roll-over and tip-over protective structures independently placed on the market are safety components, while ROPS are included in the indicative list of safety components set out in Annex V (item 14). Such ROPS are also included in the categories of machinery listed in Annex IV (item 22) subject to the conformity assessment procedures referred to in Article 12 (3 and (4).

3.4.4.          Falling objects

Where, in the case of self-propelled machinery with a ride-on driver, operator(s) or other person(s), there is a risk due to falling objects or material, the machinery must be designed and constructed in such a way as to take account of this risk and fitted, if its size allows, with an appropriate protective structure.

This structure must be such that, in the event of falling objects or material, it guarantees the ride-on person(s) an adequate deflection-limiting volume.

In order to verify that the structure complies with the requirement laid down in the second paragraph, the manufacturer or his authorised representative must, for each type of structure concerned, perform appropriate tests or have such tests performed.

§316   Falling objects

The requirement set out section 3.4.4 is complementary to the general requirement on risks due to falling or ejected objects set out in section 1.3.3.

The risk for the driver or other persons transported on self-propelled mobile machinery of being injured by falling objects may be due to objects or materials moved or lifted by the machinery, for example, by lift trucks or earthmoving machinery. The risk may also be due to the environment in which the machinery is intended to operate such as, for example, demolition, and warehouses with high racking or forestry. Where a risk due to falling objects exists in the intended or foreseeable conditions of use of the machinery, the necessary protective measures must be taken, including, where the size of the machinery allows, the fitting of an appropriate falling object protective structure. The protective structure must be designed to protect all persons transported by the machinery who are exposed to the risk concerned. The design of the protective structure must take account both of the size of potential falling objects (to avoid objects falling through the structure) and the need for adequate visibility from the driving position – see §294: comments on section 3.2.1.

Harmonised standards for most categories of mobile machinery specify the type of protective structure required.

The comments on the second and third paragraphs of section 3.4.3 relating to protection against roll-over and tip-over also apply to the second and third paragraphs of section 3.4.4.

It should be noted that falling object protective structures independently placed on the market are safety components and are included in the indicative list of safety components set out in Annex V (item 15). Such FOPS are also included in the categories of machinery listed in Annex IV (item 23) subject to the conformity assessment procedures referred to in Article 12 (3 and (4).

3.4.5.          Means of access

Handholds and steps must be designed, constructed and arranged in such a way that the operators use them instinctively and do not use the control devices to assist access.

§317   Steps and handholds for access

Section 3.4.5 deals with the design, construction and location of steps and handholds fitted to enable drivers and other persons to safely reach and leave the driving position and other operating positions and servicing points on the machinery – see §237: comments on section 1.5.15, and §240: comments on section 1.6.2. This requirement should be applied in conjunction with the general requirements on the design of control devices – see §190: comments on the sixth indent of section 1.2.2.

Means of access to driving and other operating positions shall also be designed and located in order to avoid operators using as steps or handholds parts not intended for that purpose, such as, for example, holes in the structure, guards or moving parts. In particular they should be designed to avoid the risk of a person holding onto the steering wheel when alighting or climbing the access steps, by for example the positioning and provision of easy to access safe hand holds. The access should meet the requirements of section 1.1.6 on ergonomics

 

3.4.6.          Towing devices

All machinery used to tow or to be towed must be fitted with towing or coupling devices designed, constructed and arranged in such a way as to ensure easy and secure connection and disconnection and to prevent accidental disconnection during use.

Insofar as the tow bar load so requires, such machinery must be equipped with a support with a bearing surface suited to the load and the ground.

§318   Towing devices

The requirements set out in section 3.4.6 apply to machinery intended to tow other machinery or equipment. Such towing machinery includes, for example, certain industrial trucks, aircraft ground support equipment intended to tow aircraft or other equipment and certain earthmoving machinery. The requirements set out in section 3.4.6 also apply to machinery intended to be towed by other machinery, by a vehicle or a by a tractor. Such towed machinery includes, for example, earthmoving machinery intended to be towed, towed agricultural machinery, trailer-mounted compressors, mobile elevating work platforms and removal lifts.

Towing devices such as tow bars, hooks and hitches, coupling bodies, mounting brackets and base plates, must be easy to connect securely and to disconnect. They must be designed and equipped to prevent accidental disconnection during towing, for example, by means of an automatic latch.

If the towing devices are heavy, a support must be provided such as, for example, a support leg with a surface for bearing on the ground, and the correct use of the support must be described in the instructions.

3.4.7.          Transmission of power between self-propelled machinery (or tractor) and recipient machinery

Removable mechanical transmission devices linking self-propelled machinery (or a tractor) to the first fixed bearing of recipient machinery must be designed and constructed in such a way that any part that moves during operation is protected over its whole length.

On the side of the self-propelled machinery (or tractor), the power take-off to which the removable mechanical transmission device is attached must be protected either by a guard fixed and linked to the self-propelled machinery (or tractor) or by any other device offering equivalent protection.

It must be possible to open this guard for access to the removable transmission device. Once it is in place, there must be enough room to prevent the drive shaft damaging the guard when the machinery (or the tractor) is moving.

On the recipient machinery side, the input shaft must be enclosed in a protective casing fixed to the machinery.

Torque limiters or freewheels may be fitted to universal joint transmissions only on the side adjoining the driven machinery. The removable mechanical transmission device must be marked accordingly.

All recipient machinery, the operation of which requires a removable mechanical transmission device to connect it to self-propelled machinery (or a tractor), must have a system for attaching the removable mechanical transmission device so that, when the machinery is uncoupled, the removable mechanical transmission device and its guard are not damaged by contact with the ground or part of the machinery.

The outside parts of the guard must be so designed, constructed and arranged that they cannot turn with the removable mechanical transmission device. The guard must cover the transmission to the ends of the inner jaws in the case of simple universal joints and at least to the centre of the outer joint or joints in the case of wide-angle universal joints.

If means of access to working positions are provided near to the removable mechanical transmission device, they must be designed and constructed in such a way that the shaft guards cannot be used as steps, unless designed and constructed for that purpose.

§319   Removable mechanical transmission devices

The requirements set out in section 3.4.7 concern the design and construction of removable mechanical transmission devices and their guards – see §45: comments on Article 2 (f). The purpose of these requirements is to prevent persons being caught up in the rotating transmission shaft or in the parts connecting the shaft to the power take-off on the towing machinery or tractor and to the towed machinery. This objective must be achieved by adequate safeguarding of the transmission shaft and of the connecting parts.

The first, second, third, fourth and seventh paragraphs of section 3.4.7 set out requirements for the guards and their characteristics.

The third, sixth and last paragraphs of section 3.4.7 require measures to be taken to prevent damage to guards for the power take-off and for the removable mechanical transmission device, both during use and while the removable transmission device is uncoupled. The last paragraph of section 3.4.7 is complementary to the general requirement set out in section 1.6.2 relating to access to operating positions and servicing points.

It should be noted that guards for removable mechanical transmission devices independently placed on the market are safety components and are included in the indicative list given in Annex V (item 1). Removable mechanical transmission devices, including their guards, and guards for removable mechanical transmission devices are included among the categories of machinery listed in Annex IV (items 14 and 15) subject to the conformity assessment procedures set out in Article 12 (3) and (4).
 

3.5.             PROTECTION AGAINST OTHER HAZARDS

3.5.1.          Batteries

The battery housing must be designed and constructed in such a way as to prevent the electrolyte being ejected on to the operator in the event of rollover or tipover and to avoid the accumulation of vapours in places occupied by operators.

Machinery must be designed and constructed in such a way that the battery can be disconnected with the aid of an easily accessible device provided for that purpose.

§320   Batteries

The requirement set out in section 3.5.1 relates to type of battery and the location, design and construction of the battery housing on mobile machinery. The use of sealed or 'maintenance free' batteries may be one of the means for reducing the risks concerned. Many types of batteries give of hydrogen when in charging and this can present an explosion hazard if it not allowed to disperse, the last part of the first paragraph addresses this risk. This can be done by, for example, placing the battery compartment remote and not connected to operator cab and providing adequate ventilation to the battery compartment.

The requirement set out in the second paragraph relating to the disconnection of the battery is a particular application of the general requirement set out in section 1.6.3 relating to isolation of energy sources. In order to comply with this requirement, the manufacturer may either fit an easily accessible isolator switch or, if the battery terminals are easily accessible, ensure that the battery terminals can be disconnected easily without the use of tools.

3.5.2.          Fire

Depending on the hazards anticipated by the manufacturer, machinery must, where its size permits:

  • either allow easily accessible fire extinguishers to be fitted, or
  • be provided with built-in extinguisher systems.

§321   Fire extinguishers and extinguisher systems

The requirement set out in section 3.5.2 is complementary to the general requirement set out in section 1.5.6 relating to the risk of fire.

Complementary protective measures to limit the effects of a fire on mobile machinery are to be determined in light of the intended conditions of use of the machinery and the assessment of the fire risk, including the possible consequences of a fire for persons and property. Factors to be considered include, for example:

  • whether the machinery is intended to be used in an environment where the consequences of a fire may be severe;
  • whether the machinery is intended for use indoors or in confined spaces;
  • whether the machinery incorporates or is likely to carry significant quantities of combustible or flammable materials or substances;
  • whether escape from the driving position or other operating positions could be compromised, for example, on large mobile plant.

If there is a significant residual risk of fire on the machinery and where its size permits, the machinery should be provided with easily accessible places where an appropriate number of adequately dimensioned fire extinguishers can be placed. The machinery manufacturer is not expected to provide the fire extinguishers.

In cases where the machinery presents a high residual risk of fire and/or where the consequences of a fire in the intended conditions of use may be severe, and where its size permits, the machinery manufacturer must fit a built-in fire extinguisher system.

It should be noted that the fitting of a built-in fire extinguisher system is an explicit requirement for certain machinery intended for underground work – see §366: comments on section 5.5.

3.5.3.          Emissions of hazardous substances

The second and third paragraphs of section 1.5.13 do not apply where the main function of the machinery is the spraying of products. However, the operator must be protected against the risk of exposure to such hazardous emissions.

§322   Protection of sprayer operators against risks due to exposure to hazardous substances

The first sentence of section 3.5.3 indicates that the requirements set out in the second and third paragraphs of section 1.5.13, relating to the containment, evacuation, precipitation, filtering or treatment of hazardous materials and substances emitted by the machinery, do not apply to machinery the main function of which is the spraying of products that may be hazardous. Such machinery includes, for example, pesticide sprayers and certain surface cleaning and road construction machinery.

It should be noted that the first paragraph of section 1.5.13, relating to the prevention of risks of inhalation, ingestion, contact with the skin, eyes and mucous membranes and penetration through the skin of hazardous materials and substances produced by the machinery, is applicable to machinery intended for spraying products.

The second sentence of section 3.5.3 stresses that, for machinery intended for spraying products, the operator must be protected against the risk of exposure to hazardous emissions by appropriate means that may be different from those mentioned in the second and third paragraphs of section 1.5.13. This requirement must be applied in conjunction with the requirements set out in section 1.1.7 on operating positions and the requirements set out in sections 3.2.1 and 3.2.3 on the driving position and on positions for other persons. Consequently, self-propelled machinery with a ride-on driver must be supplied with a driver's cab designed and constructed to protect against the risk of exposure to the hazardous substances concerned by means such as, for example, an adequate air filtering system with filters suitable and effective for  the substance being sprayed and the cab being kept at positive pressure – see §182: comments on section 1.1.7, §235: comments on section 1.5.13, §294: comments on section 3.2.1, and §296: comments on section 3.2.3.

Complementary requirements for machinery for pesticide application relating to the protection of the environment are set out in section 2.4 of Annex I – see §282 to §290: comments on section 2.4 of Annex I.

 

3.6.             INFORMATION AND INDICATIONS

3.6.1.          Signs, signals and warnings

All machinery must have signs and/or instruction plates concerning use, adjustment and maintenance, wherever necessary, so as to ensure the health and safety of persons. They must be chosen, designed and constructed in such a way as to be clearly visible and indelible.

Without prejudice to the provisions of road traffic regulations, machinery with a ride-on driver must have the following equipment:

  • an acoustic warning device to alert persons,
  • a system of light signals relevant to the intended conditions of use; the latter requirement does not apply to machinery intended solely for underground working and having no electrical power,
  • where necessary, there must be an appropriate connection between a trailer and the machinery for the operation of signals.

Remote-controlled machinery which, under normal conditions of use, exposes persons to the risk of impact or crushing must be fitted with appropriate means to signal its movements or with means to protect persons against such risks. The same applies to machinery which involves, when in use, the constant repetition of a forward and backward movement on a single axis where the area to the rear of the machine is not directly visible to the driver.

Machinery must be constructed in such a way that the warning and signalling devices cannot be disabled unintentionally. Where it is essential for safety, such devices must be provided with the means to check that they are in good working order and their failure must be made apparent to the operator.

Where the movement of machinery or its tools is particularly hazardous, signs on the machinery must be provided to warn against approaching the machinery while it is working; the signs must be legible at a sufficient distance to ensure the safety of persons who have to be in the vicinity.

§323   Signs, signals and warnings

The requirements set out in section 3.6.1 are complementary to the requirements set out in sections 1.7.1 to 1.7.3 on information and information devices, warning devices, warning of residual risks and the marking of information essential for safe use of machinery – see §245 to §250 and §252: comments on sections 1.7.1 to 1.7.3.

The requirements relating to the form and language of information and warnings on the machinery set out in section 1.7.1 apply to the information required in the first paragraph of section 3.6.1. The requirements on warning devices set out in section 1.7.1.2 are applicable to the acoustic and visual warning devices, signals and signs required by the second and third paragraphs of section 3.6.1.

The reference to 'the provisions of road traffic regulations' in the second paragraph of section 3.6.1 concerns rules for the road circulation of mobile machinery – see §308: comments on section 3.3.3.

The third paragraph of section 3.6.1 deals with risks due to collisions between remote-controlled or driverless mobile machinery and persons. Such machinery must be equipped with appropriate means to signal its movements such as acoustic and/or visual warning devices. Where necessary, protective devices must also be fitted to prevent collisions – see §294: comments on section 3.2.1.

The requirements set out in paragraph 3 of section 3.6.1 also apply to machinery with a ride-on driver intended to execute constant to-and-fro movements, such as, for example, certain road construction machinery or loaders, since the driver of such machinery may not be able to permanently monitor the area to the rear.

3.6.2.          Marking

The following must be shown legibly and indelibly on all machinery:

  • nominal power expressed in kilowatts (kW),
  • mass of the most usual configuration, in kilograms (kg);

and, where appropriate:

  • maximum drawbar pull provided for at the coupling hook, in Newtons (N),
  • maximum vertical load provided for on the coupling hook, in Newtons (N).

§324   Marking of mobile machinery

The requirements set out in section 3.6.2 for the marking of mobile machinery are complementary to the general requirements for marking set out in section 1.7.3 – see §250: comments on section 1.7.3. The marking of the nominal power, mass and, where appropriate, the maximum drawbar pull and vertical load provided for on the coupling hook should be affixed using the same technique as the other markings. Logically, the marking of power and mass should be affixed in the same place as the other markings, while the marking of the maximum drawbar pull and vertical load should be marked either in the same place or close to the towing device, as appropriate.

3.6.3.          Instructions

3.6.3.1.       Vibrations

The instructions must give the following information concerning vibrations transmitted by the machinery to the hand-arm system or to the whole body:

  • the vibration total value to which the hand-arm system is subjected, if it exceeds 2,5 m/s2. Where this value does not exceed 2,5 m/s2, this must be mentioned,
  • the highest root mean square value of weighted acceleration to which the whole body is subjected, if it exceeds 0,5 m/s2. Where this value does not exceed 0,5 m/s2, this must be mentioned,
  • the uncertainty of measurement.

These values must be either those actually measured for the machinery in question or those established on the basis of measurements taken for technically comparable machinery which is representative of the machinery to be produced.

Where harmonised standards are not applied, the vibration must be measured using the most appropriate measurement code for the machinery concerned.

The operating conditions during measurement and the measurement codes used must be described.

§325   Declaration of vibrations transmitted by mobile machinery

The requirement set out in section 3.6.3.1 is complementary to the general requirements relating to the instructions set out in section 1.7.4. In particular, the requirements relating to the language of the instructions apply – see §257: comments on sections 1.7.4.1 (a) and (b).

The first two indents of the first paragraph of section 3.6.3.1 set out the physical quantities relating to the vibrations transmitted by mobile machinery to the hand-arm system and to the whole body that must be declared in the instructions.

The values measured on the machinery must be declared if they exceed 2.5 m/s2 for the hand-arm system and 0.5 m/s2 for the whole body. If the values measured on the machinery do not exceed these values, that fact must be declared. The vibrations transmitted by the machinery must therefore be measured by the machinery manufacturer using an appropriate test method, unless it has been established that, for the category of machinery concerned, the measured values never exceed the above limits – this may be stated in the C-type standard for the category of machinery concerned.

The declaration of vibrations transmitted by the machinery has two main purposes:

  • to assist users to choose machinery with reduced vibration emissions;
  • to provide information useful for the risk assessment to be carried out by the employer according to the national provisions implementing Directive 2002/44/EC[PP82]  on the exposure of workers to the risks arising from vibrations.[89]

In this respect, it should be recalled that the level of exposure of workers to vibrations cannot be simply deduced from the machinery manufacturer's declaration of vibration emissions, since the exposure of operators is also influenced by other factors – see §231: comments on section 1.5.9.

The third indent of the first paragraph of section 3.6.3.1 requires the uncertainties surrounding the declared values to be specified. Guidance on determining the uncertainty associated with the measurement of vibrations transmitted by the machinery should be given in the relevant test codes.

The second paragraph of section 3.6.3.1 implies that, in the case of series production, measurement can be carried out on a representative sample of technically comparable machinery. In the case of one-off production, the manufacturer must measure the vibrations transmitted by each item of machinery supplied.

The third and last paragraphs of section 3.6.3.1 concern the methods to be used for measuring vibrations. Operating conditions have a strong influence on the vibrations transmitted by machinery. Measurement of vibrations should therefore be carried out under representative operating conditions. Vibration test codes for machinery specify the operating conditions or the range of operating conditions under which the measurements shall be made. Where a test code specified in a harmonised standard states the operating conditions under which the measurement is to be made, a reference to the harmonised standard is sufficient to indicate the operating conditions and measurement methods used. Where other test methods are used, the operating conditions and measurement methods used must be indicated in the declaration of vibrations.

General guidance on the determination of the vibration emission value for mobile machinery is given in standard EN 1032.[90][PP83] 

It should be noted that the values declared in the instructions relating to vibrations must also be included in commercial documents relating to the performance characteristics of the machinery – see §273: comments on section 1.7.4.3.

 

3.6.3.2.       Multiple uses

The instructions for machinery allowing several uses depending on the equipment used and the instructions for the interchangeable equipment must contain the information necessary for safe assembly and use of the basic machinery and the interchangeable equipment that can be fitted.

§326   Instructions on multiple uses

Section 3.6.3.2 underlines that instructions for mobile machinery intended to fulfil different functions using interchangeable equipment must include the information necessary for the safe assembly and use of the combination of the basic machinery and the interchangeable equipment.

The manufacturer of the basic machinery must:

  • provide detailed information about the interface between the basic machinery and the interchangeable equipment

and

  • indicate the essential characteristics of compatible interchangeable equipment or specify the interchangeable equipment that can safely be assembled with the machinery.

This requirement is complementary to the requirement of the manufacturer of interchangeable equipment to specify the basic machinery with which the equipment can be safely used and to provide the necessary assembly instructions – see §41: comments on Article 2 (b), and §262: comments on section 1.7.4.2 (i).

 

 

4.         SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS TO OFFSET HAZARDS DUE TO LIFTING OPERATIONS

Machinery presenting hazards due to lifting operations must meet all the relevant essential health and safety requirements described in this chapter (see General Principles, point 4).

§327   The scope of application of Part 4

Part 4 of Annex I sets out essential health and safety requirements for machinery presenting hazards due to lifting operations. The hazardous situations associated with lifting operations include, in particular, the fall or uncontrolled movement of the load, collisions with the machinery, the carrier or the load and the collapse or overturning of the lifting machinery.

The requirements set out in Part 4 of Annex I apply to all lifting operations as defined in section 4.1.1 (a), whether the lifting operation is the main function of the machinery, a secondary function of the machinery or a function of part of the machinery. In Part 4, the term ‘lifting machinery’ must therefore be understood as referring to all machinery presenting hazards due to lifting operations.

The requirements set out in Part 4 may be applicable to machinery in the strict sense, to interchangeable equipment intended for lifting operations, to safety components fitted to ensure the safety of lifting operations, to lifting accessories, to chains, ropes and webbing for lifting. Where requirements set out in Part 4 require tests to be carried out in order to check stability and strength, interchangeable equipment for lifting must be tested in the conditions under which it is intended to be used. It may therefore be necessary, for example, to carry out such tests on the interchangeable equipment assembled with a representative item of the basic machinery with which it is intended to be used – see § 41: comments on Article 2 (b).

In the following comments the scope of the different requirements is specified where necessary. It should be noted that any of the requirements set out Part 4 should be applied to partly completed machinery involving lifting operations.

4.1       GENERAL

4.1.1    Definitions

(a)       ‘Lifting operation’ means a movement of unit loads consisting of goods and/or persons necessitating, at a given moment, a change of level.

            . . .

§328   Lifting Operation

In the definition of the term ‘lifting operation’, the expression ‘unit loads’ refers to groups of one or more persons or objects or quantities of bulk material which are moved as single items.

The expression ‘necessitating, at a given moment, a change of level’ implies that the term ‘lifting operations’ covers any movement or sequence of movements of unit loads that includes lifting or lowering or both. Lifting and lowering includes changes of level in an upright vertical direction as well as at an inclined angle. It is important to apply a sensible approach to when to apply this section to movement along very low angles where if the load came free it would not move, such as on a slight slope on a field. A dimension of such a slope cannot be given as the same slope on a rail system could cause the load to “run away”.

The expression ‘at a given moment’ indicates that machinery intended to move objects, fluids, materials or persons in a continuous manner, for example, on conveyors, on escalators or through pipes are not considered as carrying out ‘lifting operations’ in this sense and are not subject to the requirements set out in Part 4.

The expression ‘unit loads’ does not cover parts of the machinery itself. Thus an operation where part of a machine is lifted but no external load is lifted is not considered as a lifting operation in this sense.

Normal digging and movement of materials by earth moving machinery such as, for example, excavators and loaders, are not considered as lifting operations, thus earth moving machinery used only for this purpose is not subject to Part 4 of Annex I. However, earth moving machinery that is also designed and equipped for lifting unit loads is subject to the requirements of Part 4 of Annex I, such machinery designed of for use in general construction work can be expected to be used for lifting unit loads (e.g. pipes and other equipment), and this should be taken into account.

4.1.1    Definitions (continued)

(b)       ‘Guided load’ means a load where the total movement is made along rigid or flexible guides whose position is determined by fixed points.

            . . .

§329   Guided Load

The definition of ‘guided load’ covers both loads placed on carriers that follow guide-rails, tracks or ropes and loads lifted by machinery with equipment that moves the carrier along a predetermined trajectory, such as a scissor mechanism – see §336: comments on section 4.1.2.2, §342 to §344: comments on sections 4.1.2.6, 4.1.2.7, and 4.1.2.8, and §356: comments on section 4.2.3. It should be noted that the term ‘guided load’ does not apply to machinery, such as, for example, gantry cranes or rail mounted tower cranes, where the movements of the machinery itself are guided but the movements of the load do not follow a predetermined trajectory.

4.1.1    Definitions (continued)

(c)       ‘Working coefficient’ means the arithmetic ratio between the load guaranteed by the manufacturer or his authorised representative up to which a component is able to hold it and the maximum working load marked on the component.

            . . .

§330   Working coefficient

‘Working coefficient’ is a concept relevant to the strength of load-bearing components of lifting machinery, of lifting accessories or of interchangeable equipment for lifting. Because the strength of such components is critical for the safety of lifting operations, they are to be dimensioned with a safety factor, referred to in part 4 of Annex I as a 'working coefficient'. The working coefficient of a load bearing component is the ratio between the maximum load to which the component can be subjected without breaking (referred to in the relevant harmonised standards as the minimum breaking force of the component), and the specified maximum working load that should not be exceeded during use. Thus, for example, a component with a working coefficient of 5, is a component the minimum breaking force of which is 5 times its maximum working load – see §340 and §341: comments on sections 4.1.2.4 and 4.1.2.5, and §369: comments on section 6.1.1.

4.1.1    Definitions (continued)

(d)       ‘Test coefficient’ means the arithmetic ratio between the load used to carry out the static or dynamic tests on lifting machinery or a lifting accessory and the maximum working load marked on the lifting machinery or lifting accessory.

            . . .

§331   Test coefficient

‘Test coefficient’ is a concept relevant to the static and dynamic overload tests carried out to prove that lifting machinery, lifting accessories or interchangeable equipment for lifting will operate correctly and without damage while lifting the maximum loads for which they are designed – see §339: comments on section 4.1.2.3, §350 to §352: comments on section 4.1.3, and §360 and §361: comments on sections 4.4.1 and 4.4.2.

4.1.1    Definitions (continued)

(e)        ‘Static test’ means the test during which lifting machinery or a lifting accessory is  first inspected and subjected to a force corresponding to the maximum working load multiplied by the appropriate static test coefficient and then re-inspected once the said load has been released to ensure that no damage has occurred.

            . . .

§332   Static Test

The static test is one of the means used to verify the integrity of machinery for lifting before it is put into service. Static tests are applied to lifting machinery in the strict sense, to lifting accessories and to interchangeable equipment for lifting – see §328: comments on section 4.1.1 (a), §339: comments on section 4.1.2.3, §350 to §352: comments on section 4.1.3, and §361: comments on sections 4.4.1 and 4.4.2.

4.1.1    Definitions (continued)

(f)         ‘Dynamic test’ means the test during which lifting machinery is operated in all its possible configurations at the maximum working load multiplied by the appropriate dynamic test coefficient with account being taken of the dynamic behaviour of the lifting machinery in order to check that it functions properly.

            . . .

§333   Dynamic Test

The dynamic test is another of the means used to verify the integrity and correct functioning of lifting machinery after it has been assembled. Dynamic tests are applied to lifting machinery in the strict sense and to interchangeable equipment for lifting – see §328: comments on section 4.1.1 (a), §339: comments on section 4.1.2.3, §352: comments on section 4.1.3, and §361: comments on section 4.4.2.

4.1.1    Definitions (continued)

(g)       ‘Carrier’ means a part of the machinery on or in which persons and/or goods are supported in order to be lifted.

§334   Carrier

The term ‘carrier’ is a generic term to designate parts of the machinery, such as, for example, cars, tables, platforms or chairs on which or in which loads, comprising goods, persons or both goods and persons are supported in order to be lifted – see §343 to §348: comments on sections 4.1.2.7 and 4.1.2.8, §359: comments on section 4.3.3, and §359 to §381: comments on sections 6.1, 6.2, 6.3, 6.4, and 6.5.

4.1.2           Protection against mechanical hazards

4.1.2.1        Risks due to lack of stability

Machinery must be designed and constructed in such a way that the stability required by section 1.3.1 is maintained both in service and out of service, including all stages of transportation, assembly and dismantling, during foreseeable component failures and also during the tests carried out in accordance with the instruction handbook. To that end, the manufacturer or his authorised representative must use the appropriate verification methods.

§335   Risks due to lack of stability

The requirement set out in section 4.1.2.1 is applicable to lifting machinery in the strict sense, to interchangeable equipment for lifting and, where appropriate, to safety components fitted to ensure the safety of lifting operations.

The requirement set out in section 4.1.2.1 is complementary to the general requirement set out in section 1.3.1 of Annex I, which states that the machinery and its components and fittings must be stable enough to avoid overturning during transportation, assembly, dismantling, and any other action involving the machinery. Section 4.1.2.1 stresses that the manufacturer must ensure the stability of lifting machinery both in service and out of service, during foreseeable component failures and during the static, dynamic and functional tests to which it may be submitted. The machinery must be designed to remain stable in the intended conditions of use.

The manufacturer must specify in the instructions the conditions under which the machinery meets the stability requirements. These conditions may include factors such as, for example, the maximum slope, the maximum wind speed and the resistance of the surface on which the machinery is used – see §263: comments on section 1.7.4.2 (g), and §269: comments on section 1.7.4.2 (o). Where the stability of the machinery depends on its installation at the place of use, the necessary installation instructions must be given – see §264: comments on sections 1.7.4.2 (i), and §361: comments on section 4.4.2 (a).

The measures to be taken to ensure the stability of the machinery, in accordance with the principles of safety integration set out in section 1.1.2, concern first the intrinsic stability of the machinery. Secondly, where a risk of loss of stability remains, the necessary protective devices and equipment to prevent the machinery tipping or overturning must be fitted. It this respect, the manufacturer must consider foreseeable misuse of the machinery that can give rise to a risk of tipping or overturning. The necessary protective measures may include, for example, fitting stabilisers, speed limiters, position control devices, overload and moment control devices and inclination control devices. Thirdly, for residual risks that cannot be fully prevented by such devices, the necessary indicators such as, for example, speedometers, inclinometers and anemometers, and the necessary information, warnings and instructions must be provided to enable operators to avoid situations that could lead to tipping or overturning of the machinery during the different phases of its lifetime – see §263: comments on section 1.7.4.2 (h).

The verification methods referred to in the last sentence of section 4.1.2.1 may include stability tests, simulations or both. Examples of stability tests include inclined plane tests and dynamic stability tests such as, for example, the ‘kerb test’ used to test mobile elevating work platforms. In the case of one-off production, such tests must be carried out on each machine. For series production, they are type-tests. The appropriate verification methods are usually specified in the relevant harmonised standards for particular categories of machinery.

In general, there is no obligation for such tests or simulations to be carried out by independent or third-party test bodies, although for lifting machinery subject to the EC type-examination or full quality assurance procedures, tests may be carried out by a Notified Body – see §129 and §130: comments on Article 12, §388: comments on Annex IV items 16 and 17, and §406: comments on Annex IX 3.2.

Stability tests carried to verify the conformity of the machinery with the essential requirements of the Machinery Directive should not be confused with tests that may be foreseen in national regulations relating to in-service inspection of lifting machinery – see §140: comments on Article 15.

4.1.2.2        Machinery running on guide rails and rail tracks

Machinery must be provided with devices which act on the guide rails or tracks to prevent derailment.

If, despite such devices, there remains a risk of derailment or of failure of a rail or of a running component, devices must be provided which prevent the equipment, component or load from falling or the machinery from overturning.

§336   Rail tracks and guide rails

The requirement set out in section 4.1.2.2 applies to lifting machinery intended to travel on rails or tracks, such as, for example, lifting machinery operating on rail networks, gantry cranes, container handling cranes, dock cranes, certain tower cranes and certain suspended work platforms.

Derailment can be prevented both by the design of the interface between the guide rails or tracks and the running components of the machinery and also by equipping the machinery with protective devices to prevent derailment, such as, for example, devices that deflect obstacles on the rails from the path of the running components of the machinery.

The requirement set out in the second paragraph of section 4.1.2.2 applies where there is a risk of the machinery overturning or falling away from its support in case of derailment or of the failure of a running component, devices must be fitted to prevent this. Examples of devices to prevent this risk include, for example, mechanical limiters to prevent a rail mounted suspended work platform falling from its support in case the running component leaves the rail.

If the rails on which lifting machinery is to be installed are not supplied by the machinery manufacturer, the manufacturer’s instructions for installation must specify the characteristics of the rails and tracks and their foundations on which the machinery can be safely installed – see §361: comments on section 4.4.2 (a). Machinery intended for operation on existing rail networks must be designed to take account of the characteristics of the rails and tracks of the networks on which they are intended to be used – see §264: comments on section 1.7.4.2 (i).

4.1.2.3        Mechanical strength

Machinery, lifting accessories and their components must be capable of withstanding the stresses to which they are subjected, both in and, where applicable, out of use, under the installation and operating conditions provided for and in all relevant configurations, with due regard, where appropriate, to the effects of atmospheric factors and forces exerted by persons. This requirement must also be satisfied during transport, assembly and dismantling.

Machinery and lifting accessories must be designed and constructed in such a way as to prevent failure from fatigue and wear, taking due account of their intended use.

The materials used must be chosen on the basis of the intended working environments, with particular regard to corrosion, abrasion, impacts, extreme temperatures, fatigue, brittleness and ageing.

. . .

§337   Mechanical strength

The requirement set out in section 4.1.2.3 applies to lifting machinery in the strict sense, to interchangeable equipment intended for lifting, to lifting accessories and, where appropriate, to safety components fitted to ensure the safety of lifting operations. Such machinery is, by its function, subject to repeated mechanical stresses, fatigue and wear which can lead to failures resulting in the fall of the load or the overturning or collapse of the lifting machinery. The requirement set out in section 4.1.2.3 is complementary to the general requirement relating to the risk of break-up during operation – see §207: comments on section 1.3.2 of Annex I.

The first paragraph of section 4.1.2.3 requires the designer to ensure the strength of the components and assemblies of the machinery, taking into account the intended conditions of use during all phases of its lifetime. If certain restrictions on the conditions of use are taken into account in the design, such as, for example, a maximum wind speed, a maximum or minimum temperature or a maximum inclination, measures must be taken, in accordance with the principles of safety integration set out in section 1.1.2, to ensure that the machinery is only used within the prescribed limits.

The second paragraph of this section requires the designer to take account of fatigue and wear. Since fatigue and wear depend on the duration and the intensity of use of machinery, the calculations must be based on hypotheses relating to the lifetime of the machinery, such as, for example, a number of hours of operation or of operational cycles. It should be noted that the hypotheses used for the design of the machinery must be consistent with the instructions given by the manufacturer on the type and frequency of inspections and preventive maintenance of the machinery and on the criteria for the replacement of parts subject to wear – see §207: comments on section 1.3.2, and §272: comments on section 1.7.4.2 (r) of Annex I.

4.1.2.3        Mechanical strength (continued)

Machinery and lifting accessories must be designed and constructed in such a way as to withstand the overload in the static tests without permanent deformation or patent defect. Strength calculations must take account of the value of the static test coefficient chosen to guarantee an adequate level of safety. That coefficient has, as a general rule, the following values:

(a) manually-operated machinery and lifting accessories: 1,5;

(b) other machinery: 1,25.

. . .

§338   Mechanical Strength – static test coefficients

The fourth paragraph of section 4.1.2.3 is applicable to lifting machinery, lifting accessories and interchangeable equipment for lifting operations that are submitted to a static overload test – see §331 and §332: comments on sections 4.1.1 (d) and (e), and §350 to §352: comments on section 4.1.3.

The design and construction of the machinery, including the strength and stability calculations, must take into account the test coefficient used for the static overload test to which the machinery will be submitted. The purpose of this requirement is to ensure that the machinery will not suffer damage while lifting its maximum working load and to provide a margin of safety in use.

The static test coefficient applies to tests carried out on complete machinery ready for use. It should not be confused with the working coefficient that applies to the dimensioning of load-bearing components of machinery – see §330 and §331: comments on sections 4.1.1 (c) and (d).

Section 4.1.2.3 specifies that the static test coefficients used must ensure an adequate level of safety. Consequently, the choice of a test coefficient must be based on the manufacturer’s risk assessment. Section 4.1.2.3 also indicates test coefficients to be used “as a general rule”. The test coefficients specified in section 4.1.2.3 may not be appropriate for particular categories of lifting machinery or lifting accessories. The test coefficients specified in section 4.1.2.3 should be applied unless more appropriate test coefficients are specified in the relevant harmonised standard or are duly justified in the manufacturer’s technical file. Application of a relevant harmonised standard that specifies such an alternative test coefficient gives a presumption of conformity to the requirement set out in section 4.1.2.3 – see §110: comments on Article 7 (2).

As a general rule, for lifting machinery and interchangeable equipment for lifting, the static tests referred to in section 4.1.2.3 are unit tests – see §350 to 352: comments on section 4.1.3.

In general, there is no obligation for these tests to be carried out by independent or third-party test bodies, although for lifting machinery subject to the EC type-examination or full quality assurance procedures, tests may be carried out by a Notified Body – see §129 and §130: comments on Article 12 (3) and (4), §388: comments on Annex IV items 16 and 17, and §398: comments on Annex IX 3.2.

The static overload tests carried to verify the conformity of the machinery with the essential requirements of the Machinery Directive should not be confused with tests that may be foreseen in national regulations relating to in-service inspection of lifting machinery – see §140: comments on Article 15.

4.1.2.3        Mechanical strength (continued)

Machinery must be designed and constructed in such a way as to undergo, without failure, the dynamic tests carried out using the maximum working load multiplied by the dynamic test coefficient. This dynamic test coefficient is chosen so as to guarantee an adequate level of safety: the coefficient is, as a general rule, equal to 1,1. As a general rule, the tests will be performed at the nominal speeds provided for. Should the control circuit of the machinery allow for a number of simultaneous movements, the tests must be carried out under the least favourable conditions, as a general rule by combining the movements concerned.

§339   Mechanical Strength – dynamic test coefficients

The last paragraph of section 4.1.2.3 is applicable to lifting machinery and interchangeable equipment for lifting operations that is submitted to a dynamic test  It is not applicable to lifting accessories – see §331 and §333: comments on sections 4.1.1 (d) and (f), and §350 to §352: comments on section 4.1.3.

The design and construction of the machinery, including both the strength and stability calculations, must take into account the test coefficient used for the dynamic test to which the machinery will be submitted. The purpose of this requirement is to ensure that that the machinery will function correctly and will not suffer damage during use.

Section 4.1.2.3 specifies that the test coefficient used for the dynamic test must ensure an adequate level of safety. Consequently, the choice of a test coefficient must be based on the manufacturer’s risk assessment. Section 4.1.2.3 also indicates the test coefficient to be used “as a general rule”. The test coefficient specified in section 4.1.2.3 may not be appropriate for particular categories of lifting machinery or lifting accessories. The test coefficient specified in section 4.1.2.4 should be applied unless a more appropriate test coefficient is specified in the relevant harmonised standard or is duly justified in the manufacturer’s technical file. Application of a relevant harmonised standard that specifies such an alternative test coefficient gives a presumption of conformity to the requirement set out in section 4.1.2.4 – see §110: comments on Article 7 (2).

As a general rule, for lifting machinery in the strict sense and interchangeable equipment for lifting, the dynamic tests referred to in section 4.1.2.3 are unit tests – see §350 to §352: comments on section 4.1.3.

In general, there is no obligation for these tests to be carried out by independent or third-party test bodies, although for lifting machinery subject to the EC type-examination or full quality assurance procedures, tests may be carried out by a Notified Body – see §129 and §130: comments on Article 12 (3) and (4), §388: comments on Annex IV items 16 and 17, and §398: comments on Annex IX 3.2.

The dynamic tests carried to verify the conformity of the machinery with the essential requirements of the Machinery Directive should not be confused with tests that may be foreseen in national regulations relating to in-service inspection of lifting machinery – see §140: comments on Article 15.

4.1.2.4        Pulleys, drums, wheels, ropes and chains

Pulleys, drums and wheels must have a diameter commensurate with the size of the ropes or chains with which they can be fitted.

Drums and wheels must be designed, constructed and installed in such a way that the ropes or chains with which they are equipped can be wound without coming off.

Ropes used directly for lifting or supporting the load must not include any splicing other than at their ends. Splicings are, however, tolerated in installations which are intended by design to be modified regularly according to needs of use.

Complete ropes and their endings must have a working coefficient chosen in such a way as to guarantee an adequate level of safety. As a general rule, this coefficient is equal to 5.

Lifting chains must have a working coefficient chosen in such a way as to guarantee an adequate level of safety. As a general rule, this coefficient is equal to 4.

In order to verify that an adequate working coefficient has been attained, the manufacturer or his authorized representative must, for each type of chain and rope used directly for lifting the load and for the rope ends, perform the appropriate tests or have such tests performed.

§340   Pulleys, drums, wheels, ropes and chains

The requirements set out in section 4.1.2.4 of Annex I are applicable to pulleys, drums, wheels, ropes and chains incorporated into lifting machinery or into interchangeable equipment for lifting. The components of lifting accessories are subject to the specific requirements set out in the following section 4.1.2.5.

The requirements set out in the first and second paragraphs of section 4.1.2.4 relating to the compatibility of pulleys, wheels and drums with the ropes or chains with which they are to be used are intended:

  • to ensure that the ropes or chains are not subject to undue wear due to bending round the pulleys, drums or wheels;
  • to ensure that the ropes or chains do not come off the pulleys, wheels or drums around which they are wound.

The dimensional ratios and the compatibility of pulleys, drums and wheels on the one hand and chains and ropes on the other hand are usually specified in the relevant harmonised standards.

According to the third paragraph of section 4.1.2.4, as a general rule, splicing of load bearing ropes, other than at their ends, is forbidden. However, the second sentence of this paragraph recognises that splicing may be necessary on certain categories of machinery, such as, for example, cableways for goods only or mobile yarders for logging, which employ long ropes designed to be modified regularly according to the needs of use or for authorised repair.

Section 4.1.2.4 specifies that the working coefficients for ropes and chains have to ensure an adequate level of safety. Consequently, the dimensioning of ropes and chains must be based on risk assessment carried out by the manufacturer of the lifting machinery or lifting accessory. Section 4.1.2.4 also indicates the working coefficient to be taken into account for the dimensioning of ropes and chains “as a general rule”. The working coefficients set out in section 4.1.2.4 may not be appropriate for particular components or for particular categories of lifting machinery. The working coefficients set out in section 4.1.2.4 should be applied unless more appropriate working coefficients are specified in the relevant harmonised standard or are duly justified in the manufacturer's technical file for the lifting machinery or lifting accessory – see §392: comments on Annex VII A 1 (a). Application of a relevant harmonised standard that specifies such an alternative working coefficient gives a presumption of conformity to the requirement set out in section 4.1.2.4 – see §110: comments on Article 7 (2).

The last paragraph of section 4.1.2.4 requires tests to be carried out in order to verify that the chains or ropes directly used for lifting the load and their endings have an adequate working coefficient. In order to apply a working coefficient, it is necessary to know the minimum breaking force of the chain or rope concerned – see §330: comments on section 4.1.1 (c).

For chains and ropes for lifting purposes, the tests needed to establish the minimum breaking force of the chain or rope itself are normally carried out by the manufacturer of the chain or rope and are specified in the relevant certificate – see §357: comments on section 4.3.1 of Annex I.

However, if the manufacturer of the lifting machinery, the lifting accessory or the interchangeable equipment for lifting manufactures chains or ropes or their endings himself, he must perform the necessary tests or have them performed. The results of the tests must be included in the manufacturer’s technical file for the machinery – see §392: comments on Annex VII A 1 (a).

The tests referred to in section 4.1.2.4 are type-tests intended to experimentally verify the manufacturer’s strength calculations. In general, there is no obligation for such tests to be carried out by independent or third-party test bodies, although for lifting machinery subject to the EC type-examination or full quality assurance procedures, tests may be carried out by a Notified Body – see §129 and §130: comments on Article 12 (3) and (4), and comments on Annex IX. These tests should not be confused with tests that may be foreseen in national regulations relating to in-service inspection of lifting machinery or lifting accessories – see §140: comments on Article 15.

4.1.2.5        Lifting accessories and their components

Lifting accessories and their components must be sized with due regard to fatigue and ageing processes for a number of operating cycles consistent with their expected life-span as specified in the operating conditions for a given application.

Moreover:

(a) the working coefficient of wire-rope/rope-end combinations must be chosen in such a way as to guarantee an adequate level of safety; this coefficient is, as a general rule, equal to 5. Ropes must not comprise any splices or loops other than at their ends;

(b) where chains with welded links are used, they must be of the short-link type. The working coefficient of chains must be chosen in such a way as to guarantee an adequate level of safety; this coefficient is, as a general rule, equal to 4;

(c)   the working coefficient for textile ropes or slings is dependent on the material, method of manufacture, dimensions and use. This coefficient must be chosen in such a way as to guarantee an adequate level of safety; it is, as a general rule, equal to 7, provided the materials used are shown to be of very good quality and the method of manufacture is appropriate to the intended use. Should this not be the case, the coefficient is, as a general rule, set at a higher level in order to secure an equivalent level of safety. Textile ropes and slings must not include any knots, connections or splicing other than at the ends of the sling, except in the case of an endless sling;

(d) all metallic components making up, or used with, a sling must have a working coefficient chosen in such a way as to guarantee an adequate level of safety; this coefficient is, as a general rule, equal to 4;

(e)   the maximum working load of a multilegged sling is determined on the basis of the working coefficient of the weakest leg, the number of legs and a reduction factor which depends on the slinging configuration;

(f)    in order to verify that an adequate working coefficient has been attained, the manufacturer or his authorised representative must, for each type of component referred to in (a), (b), (c) and (d), perform the appropriate tests or have such tests performed.

§341   Lifting accessories and their components

The requirements set out in section 4.1.2.5 apply to lifting accessories and their components – see §43: comments on Article 2 (d). ‘Components’ in the context of section 4.1.2.5 refers to items to be integrated into lifting accessories and which are relevant to their safety.

The requirement set out in the first paragraph of section 4.1.2.5 is complementary to the requirements set out in the first three paragraphs of section 4.1.2.3 and the general requirements relating to the risk of break-up during operation set out in section 1.3.2. It should be noted that the hypotheses used in the design of lifting accessories and their components with respect to their conditions of use and their foreseeable life-span must be consistent with the instructions given by the manufacturer for their inspection and maintenance and with the criteria for their replacement – see §207: comments on section 1.3.2 and §272: comments on section 1.7.4.2 (r).

Section 4.1.2.5 specifies that the working coefficients for the components of lifting accessories have to ensure an adequate level of safety. Consequently, the dimensioning of such components must be based on the risk assessment carried out by the manufacturer of the lifting accessory. Paragraphs (a) to (d) of Section 4.1.2.5 indicate the working coefficients to be taken into account for the dimensioning of components of lifting accessories “as a general rule”. The working coefficients set out in section 4.1.2.5 may not be appropriate for particular components or for particular categories of lifting accessories. The working coefficients set out in section 4.1.2.5 should be applied unless more appropriate working coefficients are specified in the relevant harmonised standard or are duly justified in the manufacturer’s technical file. Application of a relevant harmonised standard that specifies such an alternative working coefficient gives a presumption of conformity to the requirement set out in section 4.1.2.5 – see §110: comments on Article 7 (2).

Paragraph (f) of section 4.1.2.5 requires tests to be carried out in order to verify that the components of lifting accessories referred to in paragraphs (a) to (d) have been designed and constructed with an adequate working coefficient. In order to apply a working coefficient, it is necessary to know the minimum breaking force of the component concerned – see §330: comments on section 4.1.1 (c).

For chains, ropes or webbing, the tests needed to establish the minimum breaking force of the chain, rope or webbing itself are normally carried out by the manufacturer of the chain, rope or webbing and are specified in the relevant certificate – see §357: comments on section 4.3.1 of Annex I. For other components, the necessary tests can be carried out by or for the component manufacturer or the manufacturer of the lifting accessory.

If a component of a lifting accessory is manufactured as a single item or in a small series, it may not be practicable to carry out tests that would render the component unusable. In that case, the lifting accessory manufacturer must verify by other appropriate means, such as design calculations, that the component used to make up the lifting accessory has an adequate working coefficient.

The tests referred to in section 4.1.2.5 (f) are type-tests. There is no obligation for the tests to be carried out by an independent or third-party test body. These tests should not be confused with tests that may be foreseen in national regulations relating to in-service inspection of lifting machinery – see §140: comments on Article 15.

The relevant calculations and the reports giving the outcome of the tests referred to in section 4.1.2.5 (f) must be included in the manufacturer's technical file for the lifting accessory - see §392: comments on Annex VII A 1 (a).

4.1.2.6        Control of movements

Devices for controlling movements must act in such a way that the machinery on which they are installed is kept safe.

(a) Machinery must be designed and constructed or fitted with devices in such a way that the amplitude of movement of its components is kept within the specified limits. The operation of such devices must, where appropriate, be preceded by a warning.

(b) Where several fixed or rail-mounted machines can be manoeuvred simultaneously in the same place, with risks of collision, such machinery must be designed and constructed in such a way as to make it possible to fit systems enabling these risks to be avoided.

(c)   Machinery must be designed and constructed in such a way that the loads cannot creep dangerously or fall freely and unexpectedly, even in the event of partial or total failure of the power supply or when the operator stops operating the machine.

(d) It must not be possible, under normal operating conditions, to lower the load solely by friction brake, except in the case of machinery whose function requires it to operate in that way.

(e)   Holding devices must be designed and constructed in such a way that inadvertent dropping of the loads is avoided.

§342   Control of movements

The requirements set out in section 4.1.2.6 apply to lifting machinery in the strict sense, to interchangeable equipment for lifting and, where appropriate, to safety components fitted to ensure the safety of lifting operations. They may also apply to lifting accessories with controlled moving parts.

The requirement set out in the first sentence of section 4.1.2.6 is a general requirement for all devices controlling movements of the machinery or of the load.

Paragraph (a) of section 4.1.2.6 concerns limits on the amplitude of movements, where this is necessary to ensure safe operation. In some cases, this requirement can be satisfied by the design of the drive and control systems. In other cases, the fitting of limiting devices on the elements subject to movement, such as, for example, mechanical stops, limit switches or buffers may also be necessary to fulfil this requirement.

Paragraph (b) of section 4.1.2.6 deals with the risk of collision between fixed or rail mounted machines. The risk of collision may exist when several machines are used in the same operational area, such as, for example, when two or more tower cranes are installed on one construction site or when two or more gantry cranes are installed in the same building. For lifting machinery intended to be used in situations where this risk may exist, the manufacturer must ensure that the necessary anti-collision devices can be fitted to the machinery, and provide the necessary fitting instructions.

Paragraph (c) of section 4.1.2.6 deals with the risk of uncontrolled movements of the load. Such movements may include uncontrolled upward or downward movement of the load under the effect of its own weight or of a counterweight. Measures to fulfil this requirement include, for example, the fitting of brakes that apply in absence of energy, check valves on hydraulic cylinders and safety gear on rail guided lifts and hoists.

The requirement does not rule out all creep of the load when slight movement of the load does not create a risk. Harmonised standards may specify the maximum amplitude or speed of movement that is acceptable. For certain types of lifting machinery, such as, for example, vehicles servicing lifts, where no movement of the load from its raised position is acceptable, and locking devices may have to be fitted to comply with this requirement.

Paragraph (d) of section 4.1.2.6 sets out a requirement for the lowering of the load which is applicable to most lifting machinery, since a friction brake does not usually provide a reliable means of controlling the lowering movement.

Paragraph (e) of section 4.1.2.6 applies to the design of load holding devices, whether they are part of lifting machinery or part of a lifting accessory. The most common means used to fulfil this requirement is the safety catch fitted to a hook. For other types of load holding device, the measures necessary to fulfil this requirement include, for example, fitting a reserve vacuum to vacuum lifters or fitting a stand-by battery to electric lifting magnets.

4.1.2.7        Movements of loads during handling

The operating position of machinery must be located in such a way as to ensure the widest possible view of trajectories of the moving parts, in order to avoid possible collisions with persons, equipment or other machinery which might be manoeuvring at the same time and liable to constitute a hazard.

Machinery with guided loads must be designed and constructed in such a way as to prevent persons from being injured by movement of the load, the carrier or the counterweights, if any.

§343   Prevention of the risks of collisions

The first paragraph of section 4.1.2.7 applies to lifting machinery or interchangeable equipment for lifting, operations of which are under the constant control of the operator. In that case, the location and design of the operating position must provide the operator with the best possible visibility of the movements of the load. In certain cases, in order to fulfil this requirement, the operating position must itself be moveable. In other cases, a remote control can be provided to enable the operator to control the movements of the load from a position where he has adequate visibility. In the case of mobile lifting machinery, the requirement set out in the first paragraph of section 4.1.2.7 is complementary to the requirement set out in the first paragraph of section 3.2.1 of Annex I.

The second paragraph of section 4.1.2.7 applies to lifting machinery with a guided load, to interchangeable equipment for lifting with a guided load and, where appropriate, to safety components fitted to ensure the safety of such lifting operations – see §329: comments on section 4.1.1 (b). For such machinery, the movements of the carrier, the load and the counterweights if any are usually not under the constant control of the operator. The measures to be taken to prevent the risk of injury to persons due to contact with the carrier, the load or the counterweight depend on the risk assessment. In some cases, in case of high travel speed for example, the trajectory of the carrier, load or counterweight must be completely inaccessible during normal operation either by location or by guarding. In other cases, in case of low speed for example, it may be possible to prevent the risk of injury by fitting protective devices to the carrier – see §347: comments on section 4.1.2.8.3 of Annex I.

4.1.2.8        Machinery serving fixed landings

§344   Machinery serving fixed landings

Section 4.1.2.8 applies to a variety of lifting appliances that are outside the scope of the Lifts Directive 95/16/EC as amended, either because they do not correspond to the definition of a lift given in Article 1 of the Lifts Directive, or because they are excluded from the scope of the Lifts Directive by its Article 1 (3) – see §151: comments on Article 24.

Machinery serving fixed landings is machinery intended to move goods, persons or both goods and persons between pre-determined levels or floors of a building, a construction or a structure. Machinery serving fixed landings includes, for example, goods-only lifts, construction site hoists for goods and persons, lifts connected to machinery such as, for example, tower cranes or wind generators, for access to workstations, home lifts, lifting platforms for persons with impaired mobility and stair lifts (if the machine is designed to lift persons then part 6 of this Annex also applies, in addition to part 4).

Machinery serving fixed landings is to be distinguished from machinery intended to provide access to positions at a height where access to and from the carrier is only foreseen at one level (usually the ground level), such as, for example, mast climbing or suspended work platforms, to which the requirements set out in section 4.1.2.8 are not applicable.

Machinery having both of the above functions, in other words, machinery that serves fixed landings and that can also be used, for example, as a work platform for access to positions in its travel zone, is subject to the requirements set out in section 4.1.2.8 for the hazards associated with the function of serving fixed landings.

4.1.2.8.1     Movements of the carrier

The movement of the carrier of machinery serving fixed landings must be rigidly guided to and at the landings. Scissor systems are also regarded as rigid guidance.

§345   Movements of the carrier

The objective of the requirement set out in section 4.1.2.8.1 is to ensure that the carrier of machinery serving fixed landings is safely guided to the landings, avoiding any risk of collision with the structures and devices at the landings, and reaches a position permitting the safe transfer of goods, persons or persons and goods between the carrier and the landings – see §329: comments on section 4.1.1 (b).

4.1.2.8.2     Access to the carrier

Where persons have access to the carrier, the machinery must be designed and constructed in such a way as to ensure that the carrier remains stationary during access, in particular while it is being loaded or unloaded.

The machinery must be designed and constructed in such a way as to ensure that the difference in level between the carrier and the landing being served does not create a risk of tripping.

§346   Access to the carrier

The requirement set out in the first paragraph of section 4.1.2.8.2 deals with the risks due to unintended movement of the carrier while it is being loaded or unloaded or while persons are entering or leaving the carrier at landings. To fulfil this requirement, the lifting mechanism and the control system must be designed so that the carrier remains at the landing while it is accessible.

Application of the requirement set out in the first paragraph of section 4.1.2.8.2 does not rule out levelling movements of the carrier, providing such levelling movements are completed by the time persons are able to access the carrier. Furthermore, if the level of the carrier is liable to change during loading and unloading, re-levelling movements of the carrier may also be necessary.

The requirement set out in the second paragraph of section 4.1.2.8.2 is complementary to the general requirement set out in section 1.5.15 of Annex I. Machinery serving fixed landings with a carrier accessible to persons must have an adequate degree of stopping accuracy to prevent the risk of tripping when persons are entering or leaving the carrier. The requirement is applicable whether access to the carrier is foreseen for the transport of persons or only for the purpose of loading goods.

4.1.2.8.3     Risks due to contact with the moving carrier

Where necessary in order to fulfil the requirement expressed in the second paragraph of section 4.1.2.7, the travel zone must be rendered inaccessible during normal operation.

When, during inspection or maintenance, there is a risk that persons situated under or above the carrier may be crushed between the carrier and any fixed parts, sufficient free space must be provided either by means of physical refuges or by means of mechanical devices blocking the movement of the carrier.

§347   Contact with the moving carrier

The requirement set out in the first paragraph of section 4.1.2.8.3 is applicable to lifting machinery serving fixed landings in the strict sense and, where appropriate, to safety components fitted to ensure the safety of lifting operations serving fixed landings. It is complementary to the requirement set out in the second paragraph of section 4.1.2.7.

The requirement set out in the first paragraph of section 4.1.2.8.3 implies that, for machinery serving fixed landings, the general rule is that the travel zone must be inaccessible to persons during normal operation, either by location or by guarding. Exceptions to this general rule are possible for machinery where the travel zone cannot be made inaccessible, such as, for example, stair lifts or certain types of lifting platforms for persons with impaired mobility. In such cases, the risk of contact with persons must be prevented by other means. Usually it is necessary to use a combination of means such as, for example, slow speed, hold-to-run controls and pressure sensitive protective devices.

On the other hand, access to the travel zone may be needed for inspection and maintenance purposes. The requirement set out in the second paragraph of section 4.1.2.8.3 deals with the risk of a person who enters the travel zone for inspection or maintenance purposes being crushed between the carrier and the limits of the travel zone or obstacles situated above or below the carrier, in case of unintended movement of the carrier. This risk can effectively be prevented by ensuring that there is enough permanently available free space above and below the carrier in its highest and lowest positions to enable persons working there to avoid being crushed. If there is not enough room to provide such a permanent free space, mechanical devices must be used to block the carrier in a safe position. It must be possible to deploy such protective devices from a safe position i.e. outside the danger zone.

4.1.2.8.4     Risk due to the load falling off the carrier

Where there is a risk due to the load falling off the carrier, the machinery must be designed and constructed in such a way as to prevent this risk.

§348   Loads falling off the carrier

The requirement set out in section 4.1.2.8.4 is expressed in general terms and its practical application depends on the assessment of the risk of the load falling. Factors to be taken into account include, for example, the height to which the load is lifted, the travel speed, the size, shape and weight of the load which the machinery is intended to carry, the possible presence of persons below the carrier and the design of the carrier itself. The normal way to apply this requirement is for the carrier to be equipped with a physical barrier preventing the load falling off.

4.1.2.8.5     Landings

Risks due to contact of persons at landings with the moving carrier or other moving parts must be prevented.

Where there is a risk due to persons falling into the travel zone when the carrier is not present at the landings, guards must be fitted in order to prevent this risk. Such guards must not open in the direction of the travel zone. They must be fitted with an interlocking device controlled by the position of the carrier that prevents:

—         hazardous movements of the carrier until the guards are closed and locked,

—         hazardous opening of a guard until the carrier has stopped at the corresponding landing.

§349   Safety at landings

The requirement set out in section 4.1.2.8.5 deals with risks for persons on the landings. It is applicable to lifting machinery serving fixed landings in the strict sense and, where appropriate, to safety components fitted to ensure the safety of such lifting operations. Two risks are considered: risks due to contact with the moving carrier or other moving parts of the machine (such as, for example, the risk of being hit, or crushed by the carrier or entrapped by the moving parts) and the risk of a person at the landing falling from a height into the travel zone when the carrier is not at the landing. Often, the same means can be used to protect against both risks.

The manufacturer of a stair lift must take measures to reduce the risk of falling down the stairs when getting on and off the lift, but he is not expected to fit a guard to prevent the risk of falling down the stairs from the landings, since this risk exists whether or not a stair lift is installed.

The interlocking guards referred to in the second paragraph of section 4.1.2.8.5 may be landing doors that prevent all access to the travel zone in absence of the carrier or barriers that prevent persons from reaching the travel zone. Specifications for such guards are included in harmonised standards for specific categories of machinery. Harmonised standards on safety distances,[91] on the design of moveable guards[92], on interlocking devices for guards[93] and on means of preventing falling from platforms or walkways for access to machinery[94][PP84]  may also be relevant for the design of guards on landings.

It should be noted that devices for locking landing doors for machinery designed for lifting persons between fixed landings are included in the list of safety components given in Annex V – see §389: comments Annex V item 17.

4.1.3           Fitness for purpose

When lifting machinery or lifting accessories are placed on the market or are first put into service, the manufacturer or his authorised representative must ensure, by taking appropriate measures or having them taken, that the machinery or the lifting accessories which are ready for use — whether manually or power-operated — can fulfil their specified functions safely.

The static and dynamic tests referred to in section 4.1.2.3 must be performed on all lifting machinery ready to be put into service.

Where the machinery cannot be assembled in the manufacturer's premises or in the premises of his authorised representative, the appropriate measures must be taken at the place of use. Otherwise, the measures may be taken either in the manufacturer's premises or at the place of use.

§350   Checking fitness for purpose

The requirement set out the first paragraph of section 4.1.3 applies to lifting machinery in the strict sense, to interchangeable equipment for lifting and to lifting accessories.

The aim of this requirement is to ensure the integrity and correct functioning (referred to as ‘fitness for purpose’) of all lifting machinery, interchangeable equipment for lifting or lifting accessories that are placed on the market and put into service. The purpose of the measures required in the first paragraph of section 4.1.3 is not to verify the design of the machinery but to check the integrity of the construction and assembly of the machinery and the correct functioning of the controls and protective devices.

The requirement means that the manufacturer must ensure that the necessary functional tests and inspections are carried out before the machinery is first put into service by the user. There is no obligation for the tests to be carried out by an independent or third-party test body. They can be carried out by the manufacturer himself or entrusted to any competent person or body acting on his behalf.

The measures necessary to check the fitness for purpose of machinery, carried out by or on behalf of the manufacturer after the machinery has been assembled and before the machinery is first put into service should not be confused with tests that may be foreseen in national regulations relating to in-service inspection of lifting machinery – see §140: comments on Article 15.

§351   Static and dynamic tests

The second paragraph of section 4.1.3 specifies that, for all lifting machinery in the strict sense or interchangeable equipment for lifting, the ‘measures’ required in the first paragraph must include the static and dynamic overload tests referred to in section 4.1.2.3. As a general rule, static and dynamic tests are unit tests to be carried out on each machine after it has been assembled and before it is first put into service. This is particularly important when manual welding is employed in the production process, since the dynamic and static testing with the required overload contributes to the relief of stresses in the welding.

For some categories of machinery produced in series, where the production techniques employed and the application of a duly documented quality control system make it possible to guarantee that every machine produced will have identical characteristics when fully assembled, static or dynamic tests on adequate samples of the machinery can be considered as fulfilling the requirement set out in the second paragraph of section 4.1.3.

The conditions for carrying out the static and dynamic tests are usually specified in the harmonised standards for the category of machinery concerned. The relevant test reports must be included in the instructions accompanying the machinery – see §361: comments on section 4.4.2 (d). Some harmonised standards propose model formats for such test reports.

§352   Checking fitness for purpose at the place of use

Since the measures necessary to ensure the fitness for purpose required by the first and second paragraphs of section 4.1.3 must be carried out after the machinery has been assembled, the third paragraph of section 4.1.3 specifies that, for lifting machinery that cannot be assembled in the manufacturer’s premises but can only be assembled at the place of use, such as, for example, large gantry cranes, the necessary tests and inspections must be carried out at the place of use. For other lifting machinery that can be assembled in the manufacturer's premises, the manufacturer can choose whether the necessary tests and inspections are carried out at his premises or at the place of use.

4.2              REQUIREMENTS FOR MACHINERY WHOSE POWER SOURCE IS OTHER THAN MANUAL EFFORT

4.2.1           Control of movements

Hold-to-run control devices must be used to control the movements of the machinery or its equipment. However, for partial or complete movements in which there is no risk of the load or the machinery colliding, the said devices may be replaced by control devices authorising automatic stops at pre-selected positions without the operator holding a hold-to-run control device.

§353   Control of movements of the machinery and the load

The requirement set out in section 4.2.1 applies to lifting machinery in the strict sense, to interchangeable equipment for lifting and to lifting accessories with controlled moving parts. The use of hold-to-run control devices is intended to ensure that the movements of the machinery and the load are kept under the constant control of the operator. The exception to this general rule set out in the second sentence of section 4.2.1 applies to movements of machinery where there is no risk of the load or the machinery colliding with persons, with obstacles or with other machinery. The exception applies, for example, to the control of movements of a guided load where the travel zone is completely inaccessible during normal operation – see §343: comments on section 4.1.2.7 of Annex I.

4.2.2           Loading control

Machinery with a maximum working load of not less than 1000 kilograms or an overturning moment of not less than 40 000 Nm must be fitted with devices to warn the driver and prevent dangerous movements in the event:

—         of overloading, either as a result of the maximum working load or the maximum working moment due to the load being exceeded, or

—         of the overturning moment being exceeded.

§354   Preventing overloading and overturning

The requirement set out in section 4.2.2 applies to lifting machinery in the strict sense and interchangeable equipment for lifting with a maximum working load of not less than 1000 kg or an overturning moment of not less than 40 000 Nm and to safety components fitted to such machinery to prevent overloading and overturning.

The purpose of the requirement set out in section 4.2.2 is to prevent machinery from being used, intentionally or unintentionally, to lift loads in excess of the maximum working load specified by the manufacturer or in such a way that the overturning moment is exceeded. Overloading of machinery can lead to immediate failure of load-bearing components or to the collapse or overturning of the machinery. Repeated overloading of the machinery may also cause excessive wear of load-bearing components, leading to failure after a certain time.

Section 4.2.2 takes account of the fact that, in the foreseeable conditions of use, the operator may not correctly evaluate the weight of the load to be lifted, he may attempt to lift a load that is too heavy or lift the load to a position that would lead to loss of stability. This requirement thus aims to prevent such foreseeable misuse of the machinery – see §173: comments on section 1.1.2 (a).

The choice of protective devices depends on the category and characteristics of the machinery concerned. For most categories of lifting machinery, the devices to be fitted are specified in the relevant harmonised standards. In general, load and moment control devices must be able to measure or calculate relevant parameters such as, for example, the weight of the load, the position of the load and the overturning moment created by the load. The devices must transmit a warning to the operator before the maximum working load or the overturning moment is reached, in order to enable him to take action to avoid overloading the machinery or moving the load to a position that would lead to overturning. The protective devices must be integrated into the control system in such a way as to prevent dangerous movements of the machinery or the load if the maximum working load or the overturning moment is exceeded. Non-dangerous movements of the machinery can be permitted.

It may be necessary to provide a means of overriding a load or moment control device, for example, in order to carry out overload tests or to bring the load back to a safe position. In that case, the necessary measures must be taken to prevent misuse of the override facility, for example, by means of a mode selector – see §204: comments on section 1.2.5 - or by locating the override control out of the reach of the normal operating position. For machinery intended to be used by emergency services, it may also be necessary to permit trained operators to override a load or moment control device, for example, to deal with a threat of fire or explosion.

Loading control is not required if it does not contribute to the safety of the machinery. For example, for machinery fitted with load holding device, such as a casting ladle, that makes it impossible to lift a load greater than the maximum working load of the machinery, the requirement for loading control may not be applicable.

§355   Loading control on industrial lift trucks

It was recognised, in a statement included in the minutes of the Council meeting of 14 June 1991, that the requirement relating to loading control might be problematic for industrial lift trucks:

"The Council and the Commission found that, in the current state of the art, certain machinery, including industrial trucks, might not meet this requirement in its entirety. Any problems in applying this point would be submitted to the Machinery Committee for examination."

The Machinery Committee set up according to Article 6 (2) of Directive 98/37/EC indicated that the above statement relating to ‘industrial trucks’ did not apply to variable reach lift trucks with a telescopic boom (telehandlers) but only to industrial mast lifting trucks, since there was no technical difficulty in fitting variable reach trucks with devices to prevent the overturning moment being exceeded as a result of the load being lifted.[95]

The statement by the Council and the Commission of 14 June 1991 remains valid for industrial mast lifting trucks with respect to the application of the requirement set out in section 4.2.2 of Annex I to Directive 2006/42/EC. However, it is expected that the state of the art will develop to approach the requirement set out in section 4.2.2. This development will be reflected in the revision of the relevant harmonised standards.

4.2.3           Installations guided by ropes

Rope carriers, tractors or tractor carriers must be held by counterweights or by a device allowing permanent control of the tension.

§356   Guide ropes

This requirement applies to lifting machinery with a carrier suspended from carrier ropes and pulled by traction ropes, such as, for example, cableways for the transport of goods. It also applies to machinery with a carrier suspended by the traction ropes, such as, for example, goods only lifts or construction site hoists. Maintaining adequate tension in such ropes is necessary to develop the required friction forces, to ensure that the ropes wind correctly around their drums, pulleys or sheaves and to prevent them from leaving their guides

4.3              INFORMATION AND MARKINGS

4.3.1           Chains, ropes and webbing

Each length of lifting chain, rope or webbing not forming part of an assembly must bear a mark or, where this is not possible, a plate or irremovable ring bearing the name and address of the manufacturer or his authorised representative and the identifying reference of the relevant certificate.

The certificate mentioned above must show at least the following information:

(a) the name and address of the manufacturer and, if appropriate, his authorised representative;

(b) a description of the chain or rope which includes:

—    its nominal size,

—    its construction,

—    the material from which it is made, and

—    any special metallurgical treatment applied to the material;

(c)   the test method used;

(d) the maximum load to which the chain or rope should be subjected in service. A range of values may be given on the basis of the intended applications.

§357   Information and markings for chains, ropes and webbing

The requirements set out in section 4.3.1 applies to the products referred to in Article 1 (1) (e) and defined in Article 2 (e) – see §44: comments on Article 2 (e).

The markings required by section 4.3.1 are complementary to the marking requirements set out in section 1.7.3 – see §250: comments on section 1.7.3.

These marking requirements are applicable to the products placed on the market by the chain, rope or webbing manufacturer. The marking may be affixed to the bulk reels, drums, rolls, coils or bundles of chain, rope or webbing. The plate or ring on which the marking is affixed must be irremovable, in other words, it must not be liable to be unintentionally removed during storage and transport. It is advisable for the CE marking to be affixed in the same place – see §141: comments on Article 16 (2), and §387: comments on Annex III.

The marking requirements do not apply to lengths of chain, rope or webbing cut from the products placed on the market by the chain, rope or webbing manufacturer for incorporation into lifting machinery or lifting accessories. Consequently, the lengths of chain, ropes or webbing that are incorporated into lifting machinery or lifting accessories are not expected to bear these markings.

However distributors of chains, ropes and webbing must ensure that the relevant EC Declaration of Conformity, the reference of the certificate setting out the characteristics of the chain, rope or webbing and the manufacturer's instructions are passed on with the cut lengths of chain, rope or webbing supplied to manufacturers of lifting machinery or lifting accessories or to users - see §44: comments on Article 2 (e).

The information included in the certificate and the EC Declaration of Conformity of the chain, rope or webbing must be recorded in the manufacturer's technical file for the lifting machinery or lifting accessories into which the chain, rope or webbing is incorporated – see §392: comments on Annex VII A 1 (a).

The certificate referred to in the second paragraph of section 4.3.1 shall set out the technical characteristics of the rope, chain or webbing. The relevant harmonised standards provide model formats for this certificate.

The test method referred to in section 4.3.1 (c) is the method used for the sample test required to establish the minimum breaking force of the chain, rope or webbing – see §340 and §341: comments on sections 4.1.2.4 and 4.1.2.5. Where the appropriate test method set out in a harmonised standard is used, it is sufficient to specify the reference of the standard.

The information required by section 4.3.1 (d) shall enable to manufacturer of lifting machinery or lifting accessory to choose a chain, rope or webbing with an adequate working coefficient, taking account of the intended use of the lifting machinery or lifting accessory and the maximum load to which the chain, rope or webbing is to be subject during use. The chain, rope or webbing manufacturer must therefore indicate the minimum breaking force of the chain, rope or webbing.

Although section 4.3.1 does not specify that the certificate referred to in the second paragraph must accompany the product, the information included in the certificate must be available to manufacturer or user of lifting machinery or lifting accessories to enable him to select ropes, chains or webbing that are appropriate to the intended use and that have the required working coefficient and technical characteristics – see §337 to §341: comments on sections 4.1.2.3, 4.1.2.4 and 4.1.2.5.

It is therefore advisable to include the EC Declaration of Conformity, the information referred to in the second paragraph of section 4.3.1 and the instructions for the chain, rope or webbing in a single document.

4.3.2           Lifting accessories

Lifting accessories must show the following particulars:

—           Identification of the material where this information is needed for safe use,

—           the maximum working load.

In the case of lifting accessories on which marking is physically impossible, the particulars referred to in the first paragraph must be displayed on a plate or other equivalent means and securely affixed to the accessory.

The particulars must be legible and located in a place where they are not liable to disappear as a result of wear or jeopardise the strength of the accessory.

§358   Marking of lifting accessories

The marking requirements set out in section 4.3.2 apply to lifting accessories – see §43: comments on Article 2 (d). These requirements are complementary to the requirements relating to marking of machinery set out in section 1.7.3.

If a lifting accessory is manufactured from components permanently assembled together, the assembly must be marked as a single lifting accessory. If components for slings or other lifting accessories are placed on the market that can be also be used as separate lifting accessories, such components should bear the markings required by section 4.3.2. On the other hand, components that cannot be used as separate lifting accessories should not bear those markings.

Harmonised standards for steel components for slings specify a code system for marking. It such components can be used as separate lifting accessories, the coded marking can be considered to comply with the requirement set out in section 4.3.2 providing the meaning of the code is made explicit in the manufacturer’s instructions – see §360: comments on section 4.4.1 of Annex I.

The CE marking shall be affixed in the same place as the markings required by sections 1.7.3 and 4.3.2 – see §387: comments on Annex III.

4.3.3           Lifting machinery

The maximum working load must be prominently marked on the machinery. This marking must be legible, indelible and in an un-coded form.

Where the maximum working load depends on the configuration of the machinery, each operating position must be provided with a load plate indicating, preferably in diagrammatic form or by means of tables, the working load permitted for each configuration.

Machinery intended for lifting goods only, equipped with a carrier which allows access to persons, must bear a clear and indelible warning prohibiting the lifting of persons. This warning must be visible at each place where access is possible.

§359   Marking of lifting machinery

The requirements set out in section 4.3.3 apply to lifting machinery in the strict sense and to interchangeable equipment for lifting. They are complementary to the requirements relating to the marking of machinery set out in section 1.7.3.

Section 4.3.3 specifies that the maximum working load must be marked ‘prominently’. This is a stronger requirement than that applicable to other markings in section 1.7.3, which only have to be ‘visible’. This implies that the maximum working load must be marked on the machinery in such a way as to be easily seen by the operators. The maximum working load should be marked in kilograms.

On the other hand, the load plate referred to in the second paragraph of section 4.3.3, indicating the maximum working load for each of the operating positions of the machinery, must be visible from the relevant operating positions.

The third paragraph of section 4.3.3 deals with a foreseeable risk of misuse of certain machinery only intended for lifting goods – see §175: comments on section 1.1.2 (c). Machinery with a carrier that is large enough to allow access to persons, such as, for example, goods-only lifts, must bear an appropriate warning to persons who might be tempted to travel in the carrier. This warning is subject to the requirements set out in section 1.7.1 of Annex I relating to information and warnings on machinery.

4.4              INSTRUCTIONS

4.4.1           Lifting accessories

Each lifting accessory or each commercially indivisible batch of lifting accessories must be accompanied by instructions setting out at least the following particulars:

(a)   the intended use;

(b)   the limits of use (particularly for lifting accessories such as magnetic or vacuum pads which do not fully comply with section 4.1.2.6 (e));

(c)   instructions for assembly, use and maintenance;

(d)   the static test coefficient used.

§360   Instructions for lifting accessories

The requirement set out in section 4.4.1 applies to lifting accessories, including slings and components of slings that can be used as separate lifting accessories – see §43: comments on Article 2 (d).

Instructions for lifting accessories may be included in a commercial document such as, for example, a catalogue, but the manufacturer must ensure that a copy of the document is supplied with each lifting accessory or batch of accessories.

Indent (b) relates to accessories such as, for example, magnetic or pneumatic lifters, for which the requirement set out in section 4.1.2.6 (e) cannot always be fully satisfied. The manufacturer must specify these cases and inform the user that the load holding devices concerned must not be used above areas where people are liable to be present.

4.4.2           Lifting machinery

Lifting machinery must be accompanied by instructions containing information on:

(a)   the technical characteristics of the machinery, and in particular:

—        the maximum working load and, where appropriate, a copy of the load plate or load table described in the second paragraph of section 4.3.3,

—        the reactions at the supports or anchors and, where appropriate, characteristics of the tracks,

—        where appropriate, the definition and the means of installation of the ballast;

(b)   the contents of the logbook, if the latter is not supplied with the machinery;

(c)   advice for use, particularly to offset the lack of direct vision of the load by the operator;

(d)   where appropriate, a test report detailing the static and dynamic tests carried out by or for the manufacturer or his authorised representative;

(e)   for machinery which is not assembled on the premises of the manufacturer in the form in which it is to be used, the necessary instructions for performing the measures referred to in section 4.1.3 before it is first put into service.

§361   Instructions for lifting machinery

The requirement set out in paragraph 4.4.2 applies to lifting machinery in the strict sense and to interchangeable equipment for lifting.

The first indent of paragraph (a) of section 4.4.2 reiterates the importance of informing the user and the operator about the loading limits of the machinery.

The second and third indents of paragraph (a) of section 4.4.2 relate to the installation of lifting machinery in order to ensure its stability. These requirements are complementary to the general requirements relating to instructions for installation and stability set out in sections 1.7.4.2 (i) and (o) of Annex I.

Paragraph (b) of section 4.4.2 refers to the log book. There is no obligation for the manufacturer to supply such a log book. However, supplying a log book in which the preventive maintenance operations to be carried out by the user and their periodicity are indicated can be recommended as a practical way of providing the maintenance instructions required by section 1.7.4.2 (r) of Annex I.

Even if the manufacturer of the lifting machinery does not provide a log book, paragraph (b) of section 4.4.2 requires him to provide advice as to its content. Harmonised standards may specify a standardised form for the content of the log book for particular categories of machinery, which facilitates its use by users and by inspection and maintenance staff.

Paragraph (c) of section 4.4.2 recognises that the despite measures taken by the manufacturer to comply with the requirement set out in the first paragraph of section 4.1.2.7, the operator may nevertheless have inadequate visibility of the load in certain operating conditions, for example, due to obstacles in the operating zone. The manufacturer must therefore provide guidance to the user on measures that can be taken to compensate such a lack of visibility.

Paragraphs (d) and (e) of section 4.4.2 refer to the measures to be taken by the manufacturer to check the fitness for purpose of lifting machinery according to section 4.1.3 of Annex I.

Paragraph (d) refers to the static and dynamic tests mentioned in the second paragraph of section 4.1.3. The relevant test reports must be included in the instructions. This provides the user with proof that the necessary tests have been carried out by or on behalf of the manufacturer.

Paragraph (e) is relevant when machinery is not assembled in the manufacturer’s premises and its fitness for purpose must therefore be checked by or on behalf of the manufacturer at the place of use – see comments on section 4.1.3. In that case, the instructions for carrying out the necessary measures must be included in the manufacturer’s instructions to allow the necessary measures to be carried out at the place of use. It should be noted that this requirement does not imply that manufacturer's obligation to ensure that the fitness for purpose of the machinery is checked before the machinery is first put into service can be transferred to the user.

 

 

5.    SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS FOR MACHINERY INTENDED FOR UNDERGROUND WORK

Machinery intended for underground work must meet all the essential health and safety requirements described in this chapter (see General Principles, point 4).

§362   Supplementary requirements for machinery intended for underground work

Part 5 of Annex I sets out supplementary EHSRs for machinery intended for underground work. These apply to the machinery concerned in addition to the relevant requirements of Part 1 of Annex I and, where applicable, of the other Parts of Annex I – see §163: comments on General Principle 4.

The restricted application of the term 'underground work' was indicated in the minutes of the Council of 20 June 1991 when these requirements were first introduced into the Machinery Directive:

"It is understood that work carried out in underground car parks, underground shopping malls, cellars, mushroom beds and the like is not regarded as underground work."

Consequently, the EHSRs set out in Part 5 concern machinery intended for use in mines and underground quarries, not in buildings located below ground level.

It should be noted that certain categories of machinery for underground working are included in the list in Annex IV (items 12.1 and 12.2) of categories of machinery to which one of the conformity assessment procedures referred to in Article 12 (3) and (4) are applicable.

5.1. RISKS DUE TO LACK OF STABILITY

Powered roof supports must be designed and constructed in such a way as to maintain a given direction when moving and not slip before and while they come under load and after the load has been removed. They must be equipped with anchorages for the top plates of the individual hydraulic props.

5.2. MOVEMENT

            Powered roof supports must allow for unhindered movement of persons.

§363   Powered roof supports

The requirements set out in sections 5.1 and 5.2 concern self-advancing hydraulic powered roof supports used to support the roof of the mine face. The requirements set out in section 5.1 are complementary to the general requirement relating to stability set out in section 1.3.1.

Specifications for powered roof supports are given the EN 1804 series[PP85]  of standards.

5.3. CONTROL DEVICES

The accelerator and brake controls for movement of machinery running on rails must be hand-operated. However, enabling devices may be foot-operated.

The control devices of powered roof supports must be designed and positioned in such a way that, during displacement operations, operators are sheltered by a support in place. The control devices must be protected against any accidental release.

§364   Control devices

The requirements set out in the first paragraph of section 5.3 concern control devices for machinery running on rails for use in underground mines. They are complementary to the general requirements relating to control devices set out in section 1.2.2 and the requirements relating to control devices on mobile machinery set out in section 3.3.1.

The requirements set out in the second paragraph concern the design and the positioning of control devices for powered roof supports.

5.4. STOPPING

Self-propelled machinery running on rails for use in underground work must be equipped with an enabling device acting on the circuit controlling the movement of the machinery such that movement is stopped if the driver is no longer in control of the movement.

§365   Control of travel movements

The requirement set out in section 5.4 is complementary to the requirement relating to control of travel movements set out in the first paragraph of section 3.3.2.

For self-propelled machinery running on rails for use in underground mines and quarries, an enabling device must be fitted not only to ensure that the driver is in the driving position but also to ensure that he or she remains in control of the travel movement.

5.5. FIRE

The second indent of section 3.5.2 is mandatory in respect of machinery which comprises highly flammable parts.

The braking system of machinery intended for use in underground workings must be designed and constructed in such a way that it does not produce sparks or cause fires.

Machinery with internal combustion engines for use in underground workings must be fitted only with engines using fuel with a low vaporising pressure and which exclude any spark of electrical origin.

§366   The risk of fire on machinery for underground work

The requirement set out in the first paragraph of section 5.5 is complementary to the requirements relating to extinguishing means set out in section 3.5.2. Since the consequences of a fire during underground work are always liable to be severe, the fitting of a built-in fire extinguisher system is an explicit requirement for machinery intended for underground work comprising highly flammable parts.

The requirements set out in the second and third paragraphs of section 5.5 are complementary to the general requirement relating to the risk of fire set out in section 1.5.6. They aim to prevent the braking system or the engine fitted to machinery intended for use in underground mines from igniting or propagating a fire.

It should be noted that internal combustion engines to be used in potentially explosive atmospheres are subject to the ATEX Directive 94/9/EC – see §91: comments on Article 3, and §228: comments on section 1.5.7.

5.6. EXHAUST EMISSIONS

Exhaust emissions from internal combustion engines must not be discharged upwards.

§367   Exhaust emissions

The main reason for the requirement set out in section 5.6 relating to the discharge of exhaust emissions from internal combustion engines fitted to machinery intended for underground work is to prevent the roof of the mine or quarry form being exposed to thermal stresses.

 

 

6.    SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS FOR MACHINERY PRESENTING PARTICULAR HAZARDS DUE TO THE LIFTING OF PERSONS

Machinery presenting hazards due to the lifting of persons must meet all the relevant essential health and safety requirements described in this chapter (see General Principles, point 4).

§368   Scope of Part 6

Part 6 of Annex I sets out essential health and safety requirements for machinery presenting hazards due to the lifting of persons and applies in addition to the requirements in part 4. The particular hazardous situations associated with lifting persons include, in particular, the fall or the uncontrolled movement of the carrier, the fall of persons from the carrier, collisions between the carrier or the persons in or on the carrier and obstacles in the environment of the machinery and the collapse or overturning of the lifting machinery.

The risks related to lifting persons are generally higher than risks related to lifting goods in terms of the greater severity of possible harm due to failure leading to accidents, greater exposure to the hazards, since persons being lifted by machinery are continuously exposed to hazards such as, for example, the carrier falling, and a reduced possibility of avoiding the hazards or their consequences.

The requirements set out in Part 6 apply to all machinery carrying out operations involving the lifting of persons, whether lifting persons is the main function of the machinery, a secondary function of the machinery or a function of part of the machinery.

The term ‘lifting’ covers any movement or sequence of movements that includes lifting or lowering or both. Lifting and lowering includes changes of level in an upright vertical direction as well as at an inclined angle – see §328: comments on section 4.1.1 (a).

The requirements of Part 6 do not apply to hazards due to the movement of persons in a continuous manner, for example, on machinery such as escalators and moving walkways – see §328: comments on section 4.1.1 (a).

The requirements set out in Part 6 are applicable to machinery in the strict sense, to interchangeable equipment for lifting persons, to safety components fitted to ensure the safety of operations involving the lifting of persons, to lifting accessories or to chains, ropes and webbing for lifting persons.

It should be noted that any of the requirements set out Part 6 may be applied to partly completed machinery involving the lifting of persons.

6.1              GENERAL

6.1.1           Mechanical strength

The carrier, including any trapdoors, must be designed and constructed in such a way as to offer the space and strength corresponding to the maximum number of persons permitted on the carrier and the maximum working load.

The working coefficients for components set out in sections 4.1.2.4 and 4.1.2.5 are inadequate for machinery intended for the lifting of persons and must, as a general rule, be doubled. Machinery intended for lifting persons or persons and goods must be fitted with a suspension or supporting system for the carrier designed and constructed in such a way as to ensure an adequate overall level of safety and to prevent the risk of the carrier falling.

If ropes or chains are used to suspend the carrier, as a general rule, at least two independent ropes or chains are required, each with its own anchorage.

§369   Mechanical strength

The requirements set out in section 6.1.1 are complementary to the general requirements set out in section 1.3.2 on the risk of break up during operation and to the requirements set out in section 4.1.2.3 on mechanical strength to offset hazards due to lifting operations.

The first paragraph of section 6.1.1 requires the design and construction of the carrier to take account both of the maximum working load to be carried and of the maximum number of persons permitted on the carrier. The maximum working load is calculated taking account of both the maximum number of persons intended to be lifted by the machinery and their weight and also the weight of objects or materials, such as, for example, work equipment or tools, that the machinery is intended to lift. The space provided for the persons must be adequate to enable them to be carried comfortably and safely and, in the case of work platforms, to enable them to carry out their tasks safely. In certain cases, the space provided may be limited to discourage overloading of the carrier.

The requirement set out in the second paragraph of section 6.1.1 takes account of the fact that, when lifting persons, the fall or uncontrolled movement of carrier or the load will nearly always result in a serious or fatal accident. Consequently, a more stringent working coefficient is to be used when calculating the strength of load bearing components than that used for machinery for lifting goods only – see §330: comments on section 4.1.1 (c).

The third paragraph of section 6.1.1 sets out a specific requirement for machinery with a suspended carrier. The objective of this requirement is to prevent the risks of the fall or the uncontrolled upward movement of the carrier in case of the rupture of a suspension rope or cable. The general rule for such machinery is to employ two or more separate suspension ropes or chains, each with its own anchorage.

Deviations from this general rule are possible in case it is not practicable to provide two suspension ropes, provided at least an equivalent level of safety can be achieved. An example of such a deviation is to use one suspension rope in combination with a safety rope and safety gear that is automatically triggered in case of over speed of the carrier. Any such deviations should be justified by the risk assessment and based on the state of the art. Technical solutions may be given in the relevant harmonised standards – see §162: comments on General Principle 3.

6.1.2           Loading control for machinery moved by power other than human strength

The requirements of section 4.2.2 apply regardless of the maximum working load and overturning moment, unless the manufacturer can demonstrate that there is no risk of overloading or overturning.

§370   Loading control

The requirement set out in section 6.1.2 is complementary to the requirement set out in section 4.2.2 on loading control. Machinery intended for lifting persons must be fitted with the devices to prevent overloading and overturning required by section 4.2.2, including machinery with a maximum working load of less than 1000 kg or an overturning moment of less than 40 000 Nm.

It should be noted that loading control devices cannot prevent certain risks due to overloading such as, for example, the overloading of a work platform while working at a height. However, such devices can prevent an overloaded carrier being raised from its access position and they can provide a warning to the operator and prevent dangerous movements if the carrier is overloaded. Specifications for loading control are given in the harmonised standards for the particular categories of machinery for lifting persons.

Section 6.1.2 admits derogations to the requirement for loading control where the manufacturer can demonstrate that there is no risk of overloading or overturning. This might be the case either if the risk assessment shows that either these hazards are not present or if they have been sufficiently reduced by other means. A derogation might be acceptable, for example, on machinery where the size of the carrier provides only limited space and where the carrier and lifting structures have been calculated to withstand any overload the limited size of the carrier might permit. The conditions for such derogations are given in the harmonised standards for the particular categories of machinery concerned.

6.2              CONTROL DEVICES

Where safety requirements do not impose other solutions, the carrier must, as a general rule, be designed and constructed in such a way that persons in the carrier have means of controlling upward and downward movements and, if appropriate, other movements of the carrier.

In operation, those control devices must override any other devices controlling the same movement with the exception of emergency stop devices.

The control devices for these movements must be of the hold-to-run type except where the carrier itself is completely enclosed.

§371   Control Devices

The requirements set out in section 6.2 are complementary to the general requirements set out in section 1.2.2 on control devices and to the requirements set out in sections 4.1.2.6 and 4.2.1 on control of movements to offset hazards due to lifting operations. The requirements set out in section 3.3.1 on control devices are also applicable to machinery for lifting persons presenting hazards due to its mobility.

The requirement set out in the first paragraph of section 6.2 takes account of the fact that, in general, the person being lifted in or on the carrier has the best appreciation of the hazards to which he might be exposed due, for example, to obstacles in the environment of the machinery. It is therefore essential for him to be able to control the movements of the carrier. Exceptions to this general rule can be admitted, for example, where the person or persons being lifted are protected against any hazards due to the movement of the carrier by other means such as, for example, a fully enclosed carrier, or if control of certain movements from outside of the carrier is necessary to reduce the risks.

The requirement set out in the second paragraph of section 6.2 means that the control devices in the carrier for the upward and downward movement must have priority over the control devices at landings or in other places for upward and downward movement and any other movement of the carrier.

According to the third paragraph of section 6.2, hold-to-run control devices are required for all movements of the carrier, whether or not the control devices are in the carrier, unless the carrier is fully enclosed. Fully enclosed carriers are carriers with full-length walls, fitted floors and ceilings included (with the exception of ventilation apertures) and full-length doors, this means physical barriers are required and the fitting of other protective devices such as optoelectronic protective devices  (light curtains) does not fulfil this requirement.

Use of hold-to-run control devices prompts the operator to pay attention to the movements he is controlling and facilitates an immediate halt in case a hazardous situation arises. In accordance with section 1.2.2, it is particularly important to ensure that hold-to-run control devices for machinery for lifting persons are located and designed to prevent them from being blocked in the 'run' position if the carrier comes into contact with an obstacle.

6.3              RISKS TO PERSONS IN OR ON THE CARRIER

6.3.1           Risks due to movements of the carrier

Machinery for lifting persons must be designed, constructed or equipped in such a way that the acceleration or deceleration of the carrier does not engender risks for persons.

§372   Movement of the carrier

Excessive acceleration or deceleration of the carrier can cause the persons being lifted to lose their balance, to be injured by contact with parts of the carrier or even to be thrown out of the carrier. Persons may also be injured when safety devices are triggered. The requirement set out in section 6.3.1 requires the positive and negative acceleration values to be limited by the design and construction of the drive, transmission and braking systems and of the safety devices. In the case of machinery that is not designed to travel while persons are in or on the carrier, the requirement only applies to movements of the carrier. In the case of machinery that is designed to travel while persons are in or on the carrier, the requirement applies both to the movements of the carrier and to the travel movements of the machinery itself.

6.3.2           Risk of persons falling from the carrier

The carrier must not tilt to an extent which creates a risk of the occupants falling, including when the machinery and carrier are moving.

. . .

§373   Tilt of the carrier

The requirements set out in section 6.3.2 are complementary to the requirement set out in section 1.5.15 on the risk of slipping, tripping or falling.

Tilting of the carrier may occur as a result of the position or the movement of the lifting machinery itself or as a result of movements of the carrier on its suspension system or supporting structure. Examples of hazardous situations involving tilting include, for example, an imbalance of hoist operation on suspended work platforms with more than one hoist, or the excessive tilt of a mobile elevating work platform due to movements of the supporting structure or due to internal leakage in hydraulic systems.

The first paragraph of section 6.3.2 does not rule out all tilting of the carrier, but requires the machinery to be designed and constructed to limit tilt to values that do not create a risk of persons falling in, on or from the carrier. The acceptable values depend on the manufacturer's risk assessment. Values are indicated in relevant harmonized standards.

Where excessive tilt cannot be prevented by inherently safe design measures, it may be necessary to fit devices to detect and correct excessive tilt automatically or, failing that, to stop movement of the carrier and warn the operator so that he can take the necessary corrective action before a hazardous situation is created.

6.3.2           Risk of persons falling from the carrier (continued)

. . .

Where the carrier is designed as a work station, provision must be made to ensure stability and to prevent hazardous movements.

If the measures referred to in section 1.5.15 are not adequate, carriers must be fitted with a sufficient number of suitable anchorage points for the number of persons permitted on the carrier. The anchorage points must be strong enough for the use of personal protective equipment against falls from a height.

. . .

§374   Use of the carrier as a workstation

If the carrier is intended to be used as a workstation, the second paragraph of section 6.3.2 requires the carrier itself, its suspension system or supporting structure and the systems driving and controlling movements of the carrier to be designed and constructed to allow the work in question to be carried out safely by operators standing or sitting in or on the carrier. Account must therefore be taken of factors such as, for example, the kind of work for which the machinery is intended to be used, the related postures of the operators, the forces that may be exerted on the carrier during the work, including wind forces and manual forces, and the kind of equipment or tools that may be employed to carry out the work. The manufacturer’s instructions must specify the limits on the forces that can safely be exerted on the carrier.

Because the possible consequences of a person or persons falling from the carrier are so serious, if there is even a slight residual risk of this happening, the third paragraph of section 6.3.2 requires the machinery manufacturer to provide the carrier with the necessary anchorage point or points to enable the operator or operators to attach the necessary personal protective equipment (PPE) to prevent falls. It should be noted that providing an anchorage point for attaching PPE is a complementary protective measure and in no case a substitute for integrated means of protection against falls from the carrier.

The appropriate PPE is usually a work restraint system that maintains the operator on the work station and prevents the operator from falling from the carrier. The manufacturer's strength and stability calculations must take account of the forces that can be created by use of the PPE. Appropriate information and warnings must be provided in the carrier – see §245 and §249: comments on sections 1.7.1 and 1.7.2. The manufacturer's instructions must also inform users about the residual risk of falling from the carrier and specify the type of personal protective equipment to be provided and used (for example a work restraint system with a rope length adapted to the surface of the work station). In particular, the instructions must warn against the use of a fall arrest system if the anchorage point has not been designed for such a system and if a fall of the operator from the carrier could cause a loss of stability of the machine – see §267: comments on sections 1.7.4.2 (l) and (m).

6.3.2           Risk of persons falling from the carrier (continued)

. . .

Any trapdoor in floors or ceilings or side doors must be designed and constructed in such a way as to prevent inadvertent opening and must open in a direction that obviates any risk of falling, should they open unexpectedly.

§375   Doors on the carrier

The requirement set out in the fourth paragraph of section 6.3.2 seeks to reduce the risk of persons falling from the carrier through the openings needed for access, egress or escape purposes. Inadvertent opening must be prevented by the design of the doors and trapdoors themselves and by the location and the design of the means used to open them. For example, door handles must be located and designed to prevent inadvertent opening due to contact with parts of the body. Care must also be taken to ensure that doors and trapdoors are not easy to jam in the open position.

In order to fulfil the requirement set out in section 6.3.2, side doors must, as a general rule, be designed so that they open towards the inside of the carrier – they should not open with an outward movement or under the effect of their own weight. Trapdoors in the floor or ceiling of the carrier should usually open upwards. However, exceptions to these general rules may be necessary, for example, on platforms used by fire fighters, since they may restrict movement and thereby reduce the possibility of saving life.

The requirement set out in the fourth paragraph of section 6.3.2 is not relevant to the doors or gates used for access and for loading and unloading at landings on machinery serving fixed landings. However, such doors must be fitted with interlocking and guard locking devices – see §378: comments on section 6.4.1.

6.3.3           Risk due to objects falling on the carrier

Where there is a risk of objects falling on the carrier and endangering persons, the carrier must be equipped with a protective roof.

§376   Protective roof

The requirement set out in section 6.3.3 applies to machinery intended to be used in situations where there is a risk due to falling objects such as, for example, stones or debris. In that case, the protective roof, the carrier and the machinery itself must have sufficient mechanical strength and stability to resist the forces that may be exerted by such falling objects.

If however, the intended use of the machinery makes it impracticable to equip the carrier with a protective roof, such as, for example, for work platforms intended to provide access to places situated above the carrier, the manufacturer's instructions must include warnings against the use of the machinery in situations where there is a risk due to falling objects – see §263: comments on sections 1.7.4.2 (g) and (h).

6.4.             MACHINERY SERVING FIXED LANDINGS

§377   Machinery for lifting persons serving fixed landings

The requirements set out in section 6.4 are complementary to the requirements set out in section 4.1.2.8 on lifting machinery serving fixed landings.

The requirements set out in section 6.4 apply to machinery such as, for example, construction site hoists for persons or persons and goods, lifts connected to machinery such as, for example, tower cranes or wind generators, for access to workstations, home lifts, lifting platforms and stair lifts intended for persons with impaired mobility.

6.4.1           Risks to persons in or on the carrier

The carrier must be designed and constructed in such a way as to prevent risks due to contact between persons and/or objects in or on the carrier with any fixed or moving elements. Where necessary in order to fulfil this requirement, the carrier itself must be completely enclosed with doors fitted with an interlocking device that prevents hazardous movements of the carrier unless the doors are closed. The doors must remain closed if the carrier stops between landings where there is a risk of falling from the carrier.

The machinery must be designed, constructed and, where necessary, equipped with devices in such a way as to prevent uncontrolled upward or downward movement of the carrier. These devices must be able to stop the carrier at its maximum working load and at the foreseeable maximum speed. The stopping action must not cause deceleration harmful to the occupants, whatever the load conditions.

§378   Risk to persons in or on the carrier

The first sentence of section 6.4.1 means that, in all cases, the necessary protective measures must be taken to prevent risks due to contact between persons and/or objects in or on the carrier with any fixed or moving elements. The second sentence of section 6.4.1 refers to cases where full enclosure of the carrier (or car) is necessary to achieve that objective. Full enclosure is necessary, for example, in the case of machinery with a fast moving carrier, such as, for example, certain construction site hoists. For such machinery, the doors must be fitted with interlocking devices to prevent movements of the carrier until the doors are closed. Where there is a risk of falling from the carrier if it stops between landings, the interlocking devices must be associated with guard locking devices to prevent opening of the doors until the carrier reaches a landing.

However, the Machinery Directive also applies to lifts with a travel speed of no more than 0.15 m/s – see §151: comments on Article 24. For such low-speed lifts, it may be possible to sufficiently reduce the risks due to contact between persons and/or objects in or on the carrier with fixed or moving elements by a combination of other means such as, for example, hold-to-run control devices to control movements of the carrier and partial enclosure of the carrier.

The second paragraph of section 6.4.1 deals with the risk of uncontrolled movements of the carrier, whether downward movement due to the weight of the carrier and the load or upward movement due to the counterweight. Where necessary to prevent these risks, the lift must be equipped with devices to detect such uncontrolled movements and to stop the carrier safely if such movements are detected.

6.4.2           Controls at landings

Controls, other than those for emergency use, at landings must not initiate movements of the carrier when:

—           the control devices in the carrier are being operated,

—           the carrier is not at a landing.

§379   Controls at landings

The requirement set out in section 6.4.2 aims to ensure that, when a person in or on the carrier has initiated a movement of the carrier, another person at a landing shall not be able to take control of the movement of the carrier using the “call" control until the person on the carrier has reached the intended landing. This means the call control must not take control either when a hold-to-run device has been released between landings or a safety device has been tripped.

On the other hand, means must be provided to bring the carrier safely to a landing in case of an emergency.

6.4.3           Access to the carrier

The guards at the landings and on the carrier must be designed and constructed in such a way as to ensure safe transfer to and from the carrier, taking into consideration the foreseeable range of goods and persons to be lifted.

§380   Access to the carrier

The requirement set out in section 6.4.3 is complementary to the requirement set out in section 1.5.15 on risks of slipping, tripping and falling and the requirement set out in section 4.1.2.8.2 on access to the carrier for lifting machinery serving fixed landings. The guards or doors on the carrier and at the landings must be designed taking into account the intended use of the machinery such as, for example, use by persons carrying or handling goods, use by children, use by persons with impaired mobility or wheelchair users.

Any gaps between the carrier and the landing must be sufficiently reduced, bridged or guarded to prevent risks to persons entering and leaving the carrier.

6.5              MARKINGS

The carrier must bear the information necessary to ensure safety including:

—           the number of persons permitted on the carrier,

—           the maximum working load.

§381   Markings in the carrier

The requirement set out in section 6.5 is complementary to the requirements set out in section 1.2.2 on the identification of control devices, section 1.7.1.1 on information and information devices, section 1.7.3 on marking of machinery and the first two paragraphs of section 4.3.3 on information and markings on lifting machinery.

Section 6.5 refers to information that must be easily and permanently available to the person or persons in or on the carrier of the machinery in order to ensure safe use of the machinery.

The maximum working load must be marked in the carrier (as well as on the machinery as required by section 4.3.3). The number of persons permitted in or on the carrier must also be marked in the carrier.

Other necessary information to be marked in the carrier may include action to be taken in emergencies and the correct use of emergency communication equipment.

 

[1] EN ISO 12100: 2010 - Safety of machinery – General principles for design. Risk assessment and risk reduction (ISO 12100‑1:2010).

[2] General principle 4 was amended by Directive 2009/127/EC of the European Parliament and of the Council of 21 October 2009 amending Directive 2006/42/EC with regard to machinery for pesticide application – OJ L310, 25.11.2009, p. 29.

[3] EN ISO 12100-1:2003 + A1:2009 - Safety of machinery - Basic concepts, general principles for design - Part 1: Basic terminology, methodology (ISO 12100-1:2003);

EN ISO 12100-2:2003 + A1:2009 - Safety of machinery - Basic concepts, general principles for design - Part 2: Technical principles (ISO 12100-2:2003).

[4] Such measures are subject to the national provisions implementing Directive 89/391/EEC as amended on the introduction of measures to encourage improvements in the safety and health of workers at work (the “Framework” Directive) and to the individual Directives adopted within this framework – see §140, comments on Article 15.

[5] The provision of personal protective equipment at the workplace is subject to the national provisions implementing Council Directive 89/656/EEC on the minimum health and safety requirements for the use by workers of personal protective equipment at the workplace.

[6] EN 12464-1:2011 - Light and lighting - Lighting of work places - Part 1: Indoor work places;

EN 12464-2:2014 - Lighting of work places - Part 2: Outdoor work places.

[7] EN 1837:1999+A1:2009 - Safety of machinery - Integral lighting of machines.

[8] Council Directive 90/269/EEC of 29 May 1990 on the minimum health and safety requirements for the manual handling of loads where there is a risk particularly of back injury to workers (fourth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC).

[9] EN 1005-2:2003+A1:2008 - Safety of machinery - Human physical performance - Part 2: Manual handling of machinery and component parts of machinery.

[10] EN 1005-4: 2005+A1: 2008 - Safety of machinery - Human physical performance - Part 4: Evaluation of working postures and movements in relation to machinery.

[11] EN ISO 6385: 2004 - Ergonomic principles in the design of work systems (ISO6385:2004).

[12] EN 1005-4: 2005+A1:2008 - Safety of machinery - Human physical performance - Part 4: Evaluation of working postures and movements in relation to machinery.

[13] See EN ISO 14738:2008 - Safety of machinery - Anthropometric requirements for the design of workstations at machinery (ISO 14738:2002, including Cor 1:2003 and Cor 2:2005).

[14] See, for example, EN ISO 7096:2008 - Earth-moving machinery - Laboratory evaluation of operator seat vibration (ISO 7096:2000).

[15] EN ISO 13849-1:2008 - Safety of machinery — Safety-related parts of control systems — Part 1: General principles for design (ISO 13849-1:2006).

[16] EN 62061:2005+A2:2015 - Safety of machinery - Functional safety of safety-related electrical, electronic and programmable electronic control systems (IEC 62061:2005+A2:2015).

[17] EN 894-1:1997+A1:2008 – Safety of machinery – Ergonomic requirements for the design of displays and control actuators – Part 1: General principles for human interactions with displays and control actuators.

[18] EN 894-1:1997+A1:2008 – Safety of machinery – Ergonomic requirements for the design of displays and control actuators – Part 1: General principles for human interactions with displays and control actuators;

EN 894-2:1997+A1:2008 - Safety of machinery – Ergonomics requirements for the design of displays and control actuators – Part 2: Displays;

EN 894-3:2000+A1:2008 - Safety of machinery - Ergonomics requirements for the design of displays and control actuators - Part 3: Control actuators.

[19] EN 61310-1:2008 - Safety of machinery — Indication, marking and actuation — Part 1: Requirements for visual, acoustic and tactile signals (IEC 61310-1:2007);

EN 61310-2:2008 - Safety of machinery - Indication, marking and actuation - Part 2: Requirements for marking (IEC 61310-2:2007);

EN 61310-3:2008 – Safety of machinery – Indication, marking and actuation – Part 3: Requirements for the location and operation of actuators (IEC 61310-3:2007).

[20] EN 981:1996+A1:2008 – Safety of machinery – System of auditory and visual danger and information signals.

[21] EN ISO 12100:2010– Safety of machinery – General principles for design. Risk assessment and risk reduction (ISO 12100:2010) – see clauses 5.2.5.3 and 5.3.2.5.

[22] EN 1037:1995+A1:2008- Safety of machinery - Prevention of unexpected start-up.

[23] EN ISO 13850:2015 – Safety of machinery – Emergency stop – Principles for design (ISO 13850:2015).

[24] EN ISO 4413:2010 – Hydraulic fluid power. General rules and safety requirements for systems and their components.;

EN ISO 4414:2010 Pneumatic fluid power. General rules and Safety requirements systems and their components.

[25] EN ISO 12100-2:2003+A1:2009 - Safety of machinery - Basic concepts, general principles for design – Part 2: Technical principles (ISO 12100-2:2003) – clause 4.2.1.

[26] EN ISO 13857:2008 - Safety of machinery — Safety distances to prevent hazard zones being reached by upper and lower limbs (ISO 13857:2008).

[27] EN 349:1993+A1:2008 - Safety of machinery — Minimum gaps to avoid crushing of parts of the human body.

[28] EN 999:1998+A1:2008 - Safety of machinery — The positioning of protective equipment in respect of approach speeds of parts of the human body.

[29] EN ISO 13857:2008 - Safety of machinery — Safety distances to prevent hazard zones being reached by upper and lower limbs (ISO 13857:2008).

[30] EN 953:1997+A1:2009 - Safety of machinery - Guards - General requirements for the design and construction of fixed and movable guards.

[31] EN 999:1998+A1:2008 - Safety of machinery — The positioning of protective equipment in respect of approach speeds of parts of the human body.

[32] EN ISO 14119:2013- Safety of machinery — Interlocking devices associated with guards — Principles for design and selection.

[33] EN ISO 13856-1:2013 - Safety of machinery — Pressure sensitive protective devices — Part 1: General principles for the design and testing of pressure sensitive mats and pressure sensitive floors;

EN ISO 13856-2: - Safety of machinery — Pressure sensitive protective devices — Part 2: General principles for the design and testing of pressure sensitive edges and pressure sensitive bars;

EN ISO 13856-3: - Safety of machinery — Pressure sensitive protective devices — Part 3: General principles for the design and testing of pressure sensitive bumpers, plates, wires and similar devices.

[34] EN 574:1996+A1:2008 - Safety of machinery — Two-hand control devices — Functional aspects — Principles for design.

[35] EN 61496-1:2013 - Safety of machinery — Electro-sensitive protective equipment — Part 1: General requirements and tests (IEC 61496-1:2012 ).

[36] EN 60204-1:2006+A1:2009 - Safety of machinery — Electrical equipment of machines — Part 1: General requirements (IEC 60204-1:2005 (Modified)).

[37] EN 60204-11:2000 - Safety of machinery — Electrical equipment of machines — Part 11: Requirements for HV equipment for voltages above 1 000 V a.c. or 1 500 V d.c. and not exceeding 36 kV (IEC 60204-11:2000).

[38] EN ISO 4413:2010 – Hydraulic fluid power - General rules and safety requirements for and their components.

[39] EN ISO 4414:2010 – Pneumatic fluid power. General rules and safety requirements for systems and their components

[40] EN ISO 13732-1:2008 - Ergonomics of the thermal environment — Methods for the assessment of human responses to contact with surfaces — Part 1: Hot surfaces (ISO 13732-1:2006);

EN ISO 13732-3:2008 - Ergonomics of the thermal environment — Methods for the assessment of human responses to contact with surfaces — Part 3: Cold surfaces (ISO 13732-3:2005).

[41] CLC Guide 29: 2007 - Temperatures of hot surfaces likely to be touched -- Guidance document for Technical Committees and manufacturers.

[42] The combustion process may also be promoted or inhibited by the presence of other substances (catalysts).

[43] EN 13478:2001+A1: 2008 - Safety of machinery - Fire prevention and protection.

[44] EN 1127-1:2011 - Explosive atmospheres - Explosion prevention and protection - Part 1: Basic concepts and methodology.

[45] DIRECTIVE 2014/34/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 26 February 2014 on the harmonisation of the laws of the Member States relating to equipment and protective systems intended for use in potentially explosive atmospheres (recast) – OJ L 096, 29.03.12014, p. 309.

[46] Guidelines on the application of Directive 94/9/EC of 23 March 1994 on the approximation of the laws of the Member States concerning equipment and protective systems intended for use in potentially Explosive Atmospheres - Third edition June 2009 – see paragraph 3.7.1:

http://ec.europa.eu/enterprise/sectors/mechanical/documents/guidance/atex/application/index_en.htm

[47] Directive 2003/10/EC  of the European Parliament and of the Council of 6 February 2003 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (noise) (Seventeenth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) – OJ L 42 of 15.2.2003, p. 38.

[48] See Article 4 (6) of Directive 2003/10/EC.

[49] Directive 2000/14/EC of the European Parliament and of the Council of 8 May 2000 on the approximation of the laws of the Member States relating to the noise emission in the environment by equipment for use outdoors - OJ L 162 of 3.7.2000, p. 1 - see Article 12.

[50] EN ISO 11688-1:2009 - Acoustics - Recommended practice for the design of low-noise machinery and equipment - Part 1: Planning (ISO/TR 11688-1:1995).

[51] See clause 8.3 of standard EN ISO 12100:2010 - Safety of machinery — General principals and risk reduction.

[52] EN ISO 11689:1996 - Acoustics - Procedure for the comparison of noise emission data for machinery and equipment.

[53] Directive 2002/44/EC of the European Parliament and of the Council of 25 June 2002 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (vibration) (sixteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC).

[54] EN 1299:1997+A1:2008 - Mechanical vibration and shock - Vibration isolation of machines - Information for the application of source isolation.

[55] Council Directive 96/29/Euratom of 13 May 1996 laying down basic safety standards for the protection of the health of workers and the general public against the dangers arising from ionizing radiation OJ L 159, 29.06.1996 p. 1. - will be repealed by 2013/59/Euratom on 6 February 2018

[56] Directive 2004/40/EC of the European Parliament and of the Council of 29 April 2004 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (electromagnetic fields) (18th individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC). Directive 2004/40/EC has been amended by Directive 2008/46/EC that postponed the deadline for transposition until 30 April 2012.

[57] Directive 2006/25/EC of the Europe and Parliament and of the Council of 5 April 2006 on the minimum health and safety requirements regarding the exposure of workers to risks arising from physical agents (artificial optical radiation) (19th individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC).

[58] Council Directive 2003/122/Euratom of 22 December 2003 on the control of high-activity sealed radioactive sources and orphan sources – OJ L 346, 31.12.2003, p. 57. - will be repealed by 2013/59/Euratom on 6 February 2018

[59] EN 12198-1:2000+A1:2008 - Safety of machinery — Assessment and reduction of risks arising from radiation emitted by machinery — Part 1: General principles;

EN 12198-2:2002+A1:2008 - Safety of machinery — Assessment and reduction of risks arising from radiation emitted by machinery — Part 2: Radiation emission measurement procedure;

EN 12198-3:2002+A1:2008 - Safety of machinery — Assessment and reduction of risks arising from radiation emitted by machinery — Part 3: Reduction of radiation by attenuation or screening.

[60] Directive 2004/108/EC of the European Parliament and of the Council of 15 December 2004 on the approximation of the laws of the Member States relating to electromagnetic compatibility and repealing Directive 89/336/EEC- OJ L 390, 31.12.2004, p. 24.

[61] EN ISO 11553-1:2008 - Safety of machinery - Laser processing machines - Part 1: General safety requirements (ISO 11553-1:2005); EN ISO 11553-2:2008 - Safety of machinery — Laser processing machines — Part 2: Safety requirements for hand-held laser processing devices (ISO 11553-2:2007).

[62] EN 12254:2010 - Screens for laser working places — Safety requirements and testing.

[63] EN 626-1:1994+A1:2008 - Safety of machinery — Reduction of risks to health from hazardous substances emitted by machinery — Part 1: Principles and specifications for machinery manufacturers;

EN 626-2:1996+A1:2008 - Safety of machinery — Reduction of risk to health from hazardous substances emitted by machinery — Part 2: Methodology leading to verification procedures.

[64] Council Directive 89/654/EEC of 30 November 1989 concerning the minimum safety and health requirements for the workplace (first individual directive within the meaning of Article 16 (1) of Directive 89/391/EEC) – Annex I, section 9.2.

[65] EN ISO 14122-1:2001 - Safety of machinery — Permanent means of access to machinery — Part 1: Choice of fixed means of access between two levels (ISO 14122-1:2001);

EN ISO 14122-2:2001 - Safety of machinery — Permanent means of access to machinery — Part 2: Working platforms and walkways (ISO 14122-2:2001);

EN ISO 14122-3:2001 - Safety of machinery — Permanent means of access to machinery — Part 3: Stairs, stepladders and guard-rails (ISO 14122-3:2001).

[66] EN 1037:1995+A1:2008 - Safety of machinery - Prevention of unexpected start-up.

[67] EN 60204-1:2006+A1:2009 - Safety of machinery — Electrical equipment of machines — Part 1: General requirements (IEC 60204-1:2005 (Modified)).

[68] EN 894-1:1997+A1:2008 – Safety of machinery – Ergonomic requirements for the design of displays and control actuators – Part 1: General principles for human interactions with displays and control actuators;

EN 894-2:1997+A1:2008 - Safety of machinery – Ergonomics requirements for the design of displays and control actuators – Part 2: Displays.

[69] EN 61310-1:2008 - Safety of machinery — Indication, marking and actuation — Part 1: Requirements for visual, acoustic and tactile signals (IEC 61310-1:2007);

EN 61310-2:2008 - Safety of machinery - Indication, marking and actuation - Part 2: Requirements for marking (IEC 61310-2:2007).

[70] Council Directive 92/58/EEC of 24 June 1992 on the minimum requirements for the provision of safety and/or health signs at work (ninth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) - see Annex VI – minimum requirements for illuminated signs, and Annex VII – minimum requirements for acoustic signs.

[71] Directive 94/9/EC of the European Parliament and the Council of 23 March 1994 on the approximation of the laws of the Member States concerning equipment and protective systems intended for use in potentially explosive atmospheres – OJ L 100, 19.04.1994, p. 1.

[72] EN ISO 12100:2010- Safety of machinery – General principals for design. Risk assessment and risk reduction..

[73] EN 62079:2001 – Preparation of instructions – Structuring, content and presentation.

[75] Directive 2003/10/EC of the European Parliament and of the Council of 6 February 2003 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (noise) (Seventeenth individual Directive within the meaning of Article 16 (1) of Directive 89/391/EEC) – OJ L 42 of 15.2.2003, p. 38 – see, in particular, Article 4 (6) (f).

[76] Directive 2000/14/EC of the European Parliament and of the Council of 8 May 2000 on the approximation of the laws of the Member States relating to the noise emission in the environment by equipment for use outdoors – OJ L 162 , 03/07/2000, p. 1.

[77]  DIRECTIVE 2009/127/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 21 October 2009 amending Directive 2006/42/EC with regard to machinery for pesticide application – OJ L310, 25.11.2009, p. 29.

 

[78] Regulation (EC) No 1935/2004 of the European Parliament and of the Council of 27 October 2004 on materials and articles intended to come into contact with food and repealing Directives 80/590/EEC and 89/109/EEC – OJ L 338, 13.11.2004, p. 4. According to Article 26 of the Regulation, references to the repealed Directives shall be construed as references to Regulation (EC) No 1935/2004.

[79] Council Directive of 15 October 1984 on the approximation of the laws of the Member States relating to ceramic articles intended to come into contact with foodstuffs - OJ L 277, 20.10.1984, p. 12.

[80] Commission Directive 2002/72/EC of 6 August 2002 relating to plastic materials and articles intended to come into contact with foodstuffs – OJ L 220, 15.8.2002, p. 18.

[81] EN ISO 14159:2008 - Safety of machinery - Hygiene requirements for the design of machinery (ISO 14159: 2002).

[82] EN 1672-2:2005+A1:2009 - Food processing machinery - Basic concepts - Part 2: Hygiene requirements.

[83] Directive 2002/44/EC of the European Parliament and of the Council of 25 June 2002 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (vibration) (sixteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) – see Article 4 (4) (e).

[84] It is expected that, by 4 July 2013, explosive cartridges for cartridge-operated fixing machinery will be subject to Directive 2007/23/EC of the European Parliament and of the Council of 23 May 2007 on the placing on the market of pyrotechnic articles – OJ L 154 of 14.6.2007, p.1.

[85] Section 2.4 was introduced by Directive 2009/127/EC of the European Parliament and of the Council of 21 October 2009 amending Directive 2006/42/EC with regard to machinery for pesticide application – OJ L310, 25.11.2009, p. 29.

[86] Directive 2009/128/EC of the European Parliament and of the Council of 21 October 2009  establishing a framework for Community action to achieve the sustainable use of pesticides – OJ L309,

 24.11.2009, p. 71.

[87] Mandate M/471 to CEN for standardisation in the field of machinery for pesticide application - 29th June 2010.

[88] Such measures may also be required by users of mobile machinery in order to prevent theft, however this aspect is not covered by the Machinery Directive.

[89] Directive 2002/44/EC of the European Parliament and of the Council of 25 June 2002 on the minimum health and safety requirements regarding the exposure of workers to the risks arising from physical agents (vibration) (sixteenth individual Directive within the meaning of Article 16(1) of Directive 89/391/EEC) – see Article 4 (4) (e).

[90] EN 1032:2003+A1:2008 - Mechanical vibration — Testing of mobile machinery in order to determine the vibration emission value.

[91] EN ISO 13857:2008 - Safety of machinery — Safety distances to prevent hazard zones being reached by upper and lower limbs (ISO 13857:2008).

[92] EN 953:1997+A1:2009 - Safety of machinery — Guards — General requirements for the design and construction of fixed and movable guards.

[93] EN 1088:1995+A2:2008 - Safety of machinery — Interlocking devices associated with guards — Principles for design and selection.

[94] EN ISO 14122-2:2001+A1:2010 - Safety of machinery — Permanent means of access to machinery — Part 2: Working platforms and walkways (ISO 14122-2:2001).

[95] Meeting of the Machinery Committee of 9 February 2005.


 [PP1]Standard revised to 12100 see footnote

 [P2]Consider to look at what happens for machines in use where the state of the art Has moved sufficiently that retrofitting etc. is required

 [P3]Need to make a ref to techniques of risk assessment and ref to the RAPEX type approach.

 [P4]EN ISO 12100-1 was superseded by EN ISO 12100:2010 on 20/11/2013)

 [PP5]Corrected to EN 12464 and is now the 2011 version

 [PP6]This 1999 standard is still current

 [PP7]Directive and standards still current

 [PP8]Standard ref still current

 [PP9]Standard ref still current, but is in process of being updated

 [PP10]Should this diagram be added to or changed i.e. the negative effects could be physical and mental acute and chronic and  ill-health and/or injury caused by errors in use aggravated by poor ergonomic design.

 [PP11]Standards in all of table below are all current apart from EN ISO 7250 now EN ISO 7250-1:2010 and EN 894 the current date of the version (2010) added

 

 [PP12]All standards in table below ok apart from first appearance of  EN ISO 14738 which should be 2008 version

 [PP13]Standards 614, 547 and 1005 on this page all current

 [PP14]All the above standards are current except the last has now been harmonized as EN ISO 12100:2010

 [PP15]This standard revised to 12100:2010 – not checked if clause has changed

 [PP16]Standards all current

 [PP17]Standards all current

 [PP18]Standard current

 [PP19]Not current been replaced by EN ISO 12100:2010

 [PP20]Still current

 [PP21]2008 version replaced by 2015 version

 [PP22]Standards on this page are all current

 [PP23]Standards on this page are all current

 

 [PP24]Both standard changed to ISO and harmonized see footnote

 [PP25]Standard current

 [PP26]Still current

 [PP27]Still current

 [PP28]Both still current

 [PP29]Still current

 [PP30]Replaced by EN ISO 14119:2013, name is the same

 [PP31]Replaced by EN ISO 13856-1to 3:2013

 [PP32]Still current

 [PP33]Replaced by 2013 version

 [PP34]The new Low Voltage Directive (2014/35/EU) has now been published. This will come fully into force on 20 April 2016.

 [PP35]Both current but part 1 is under revision

 [PP36]EN 982 replaced by EN ISO 4413:2010 name has changed amd  is currently under review

EN 983 replaced by EN ISO 4414:2010 name has changed and is also under review

 

 [PP37]Both parts still current

 [PP38]2007 ed 1 still current

 [PP39]Still current

 [PP40]Replaced by 2011 version – name not changed

 [PP41]The new ATEX directive (2014/34/EU) will come into force on the 20th April 2016

 [PP42]Guide still current – assume a new ed for new ATEX will be published in 2016?

 [PP43]Still current

 [PP44]Still current, but under revision

 [PP45]Still current

 [PP46]Ref standard replaced by 12100 and change to name see footnote

 [PP47]Still current but date is 1996 not 1997

 [PP48]Still in force

 [PP49]Still current

 [PP50]In force but will be repealed by 2013/59/Euratom on 6 February 2018

Others are still in force

 [PP51]In force but will be repealed by 2013/59/Euratom on 6 February 2018

 [PP52]All current

 [PP53]In Force

 [PP54]In Force

 [PP55]Both Standards current

 [PP56]Still current

 [PP57]Still current

 [PP58]Still current but work in hand to revise

 [PP59]Still current

 [PP60]Both still current – 60204 has work in hand

 [PP61]For both standard series all in footnote still current

 [PP62]Still current

 [PP63]In Force

 [PP64]Still current

 [PP65]Need to check how this applies to import of old equipment never previously been supplied in EU???

 [PP66]Currently in force

 [PP67]Replaced by EN ISO 12100:2010 with name change see footnote. EN 62079 is still current

 [P68]In force

 [P69]In Force

 [PP70]Check with Jean Jaques if additions are needed here Check with Jean Jacques if additions are needed here

 [P71]In Force

 [P72]In Force but under revision

 [P73]All three items of legislation still in force

 [PP74]Both standards still current

 [P75]Directive still in force

 [PP76]See footnote, not clear if this happened, as they seem to come under Regulation 1272/2008 it may also come under 2007/23/EC but uncertain.

 [PP77]Current and in force

 [P78]Check if Directive has been extended to cover biocidal products – not yet

 [PP79]Need expanding incl     servicing and inspection

 [PP80]NOTE - the Directive does not seem to deal with powered steering as it mixes this up with “powered assisted” steering. Powered steering is when there is no physical connection between the steering wheel and the steered wheels so if the movement system for the wheels fails, such as if power is lost, then there is no control of the steering at all and in some cases the wheels can easily move and so the vehicle will not even keep a straight line – it is suggested this needs to be addressed in any revision of the Directive.

 

 [PP81]This example is being questioned in Europe following many years of experience in New Zealand and Australia where a type of “roll-over” device is fitted to all terrain quad bikes (ATV)

 [PP82]Still in force

 [PP83]Still current

 [PP84]All four standards detailed in footnote are current only change is adding A1:2010 to the last.

 [PP85]Still current