Guide to application of the Lifts Directive 95/16/EC - Annex I

ANNEX I

ESSENTIAL HEALTH AND SAFETY REQUIREMENTS RELATING TO THE DESIGN AND CONSTRUCTION OF LIFTS AND SAFETY COMPONENTS

§ 85 Preliminary remarks

The preliminary remarks to Annex I provide guidance on how the essential health and safety requirements are to be applied. Each of the essential health and safety requirements of Annex I is to be understood in light of these remarks.

§ 86 Relevance of the essential health and safety requirements

The essential health and safety requirements deal with particular hazards associated with lifts and safety components for lifts. They are therefore applicable in so far as the hazard exists for a given lift or safety component. The first step to be taken by a lift installer or safety component manufacturer is to identify all the hazards associated with his product and thus which of the essential health and safety requirements are relevant. The assessment referred to in preliminary remark 3 will then enable him to determine which of the hazards require particular protective measures to be taken.

The hazards to be taken into account include both those associated with the normal use of the product and also foreseeable misuse - see comments on the application of section 1.1.2 of Annex I to the Machinery Directive.

In the case of lifts or safety components subject to EC type-examination, the essential requirements that apply and the means adopted to satisfy them must be detailed in the technical dossier referred to in the third indent of Annex V.A.3 or the third indent of Annex V.B.3.

In the case of lifts or safety components subject to the full quality assurance procedures, for each product designed under the quality assurance system, the essential requirements that apply and the means adopted to satisfy them must be documented by the safety component manufacturer, according to the second indent of paragraph 3.2 of Annex IX, or by the lift installer, according to the second indent of paragraph 3.2 of Annex XIII.

In the case of lifts subject to the Unit verification procedure, the essential requirements that apply and the means adopted to satisfy them must be included in the lift installer's technical dossier according to the third indent of paragraph 3 of Annex X.

§ 87 The state of the art

The second preliminary remark recognises that, in some cases, it may not be possible to satisfy certain essential health and safety requirements fully, given the current state of the art. In such cases, the installer of a lift or the manufacturer of a safety component must strive to fulfil the objectives set out in the essential requirements to the greatest extent possible.

No explanation is given of the notion of "the state of the art" in the Lifts Directive, however it is generally understood that the notion includes both a technical and an economic aspect. Solutions that correspond to the state of the art are those using the most effective technical means that are readily available at a given time and that can be applied for a cost that is proportionate to the total cost of the product.

It should also be noted that preliminary remark 2 refers to "the present state of the art", that is to say, the state of the art at the time the product is designed and constructed or installed. Thanks to technical progress, the state of the art evolves as more effective technical means become available. Thus, a technical solution that is considered to satisfy the essential health and safety requirements of the Directive at a given time may no longer be considered adequate at a later time if the state of the art has developed.

§ 88 Reference to harmonised standards

In the comments that follow, frequent reference is made to harmonised standards since they provide technical specifications that enable lift installers and safety component manufacturers to comply with the essential health and safety requirements. Harmonised standards provide a good indication of the state of the art. The development of the state of the art is reflected in the amendment or the revision of harmonised standards. Thus the appreciation of the technical and economic aspects of the state of the art is not merely a matter for the individual judgment of installers of manufacturers, since due account must be taken of the benchmark provided by harmonised standards.

It should be remembered that, while the application the specifications of harmonised standards confers a presumption of conformity with the essential health and safety requirements they cover, these specifications are not mandatory and apply only to the lifts or components in the scope of the standard concerned - see comments on Article 5(2).

§ 89 Identification and assessment of hazards

The third preliminary remark is closely linked to the first. After identifying the hazards associated with his product and the essential health and safety requirements that are relevant, the lift installer or safety component manufacturer must assess the hazards in order to determine the protective measures that are required. This assessment involves estimating the nature and the frequency of the possible exposure of persons to each hazard and the severity of the harm that may result (risk). The design and construction of the products must take account of this assessment. The choice of measures to deal with the hazards shall respect the principles of safety integration and, in particular, the order of priority set out in section 1.1.2 of Annex I of the Machinery Directive - see comments on section 1.1.

A method for carrying out the risk assessment is described in standard EN 1050.[1] Standard EN 1050 is currently under revision as prEN ISO 14121-1.

The International technical specification ISO TS 14798[2] provides a method for risk assessment based on EN 1050 adapted to the specific field of lifts and escalators.

§ 90 The Construction Products Directive

The relationship between the Lifts Directive and the Construction Products Directive 89/106/EEC is explained in Recital 10 and Article 14 of the Lifts Directive. The Lifts Directive covers all the relevant requirements of the Construction Products Directive. There is thus no practical application of the Construction Products Directive to lifts - see comments on Article 14.

§ 91 The relevance of the Machinery Directive

Section 1.1 refers to the Machinery Directive. The original Machinery Directive 89/392/EEC and its successive amendments were consolidated in 1998 as Directive 98/37/EC. The reference to Directive 89/392/EEC should therefore be read as a reference to Directive 98/37/EC.

§ 92 The revised Machinery Directive

A revised Machinery Directive 2006/42/EC[3] was adopted on 17th May 2006 and will be applicable as from 29th December 2009. From that date, the reference to the Machinery Directive in section 1.1 of Annex I to the Lifts Directive shall be construed as a reference to Directive 2006/42/EC.

§ 93 Application of the essential health and safety requirements

Lifts subject to the Lifts Directive 95/16/EC are excluded from the scope of the Machinery Directive, thus the conformity assessment procedures and the obligations relating to the placing on the market and putting into service of such lifts are regulated by the Lifts Directive only.

However, when the Lifts Directive was adopted, it was decided to set out essential health and safety requirements for hazards specifically associated with lifts and to refer to Annex I of the Machinery Directive for hazards common to most categories of machinery. When a hazard associated with lifts or safety components for lifts is covered by the essential health and safety requirements of Annex I of the Lifts Directive, the requirement of the Lifts Directive takes precedence. However, for all hazards that are not dealt with by essential health and safety requirements of Annex I of the Lifts Directive, the essential health and safety requirements of Annex I of the Machinery Directive are applicable.

Consequently, many of the essential health and safety requirements of the Machinery Directive are incorporated into the Lifts Directive. The relevant requirements of Annex I of the Machinery Directive are mandatory for lifts or safety components for lifts and conformity with these requirements must be checked during the conformity assessment procedure applied according to Article 8 of the Lifts Directive.

§ 94 Essential requirements of the Machinery Directive relevant to lifts

The following table indicates the essential health and safety requirements of Annex I of the Machinery Directive that can be applicable to lifts. The list is based on documents drawn up by the European Coordination of Notified Bodies for Lifts and by CEN TC 10 - see NB-L/REC 2/001 [2 MB] and CEN TC 10 N 427.

NB-L will revise this table to take account of the revised Machinery Directive 2006/42/EC that will be applicable as from 29th December 2009.

§ 95 Requirements of the Machinery Directive that are generally applicable

Several of the above essential health and safety requirements of the Machinery Directive are generally applicable to lifts. The following is a non-exhaustive list of examples:

• Stopping accuracy

Requirement 1.5.15 relating to the risk of slipping, tripping or falling implies that the lift must be designed to prevent these risks. Consequently, the lift must stop at landings with sufficient accuracy to prevent the risk of persons tripping or falling when entering or leaving the car;

Lifts for certain types of building (e.g. hospitals) may require a particular level of stopping accuracy.

This requirement is not currently covered by standards EN 81, parts 1 and 2. However specifications for stopping accuracy are given in clause 5.3 of standard EN 81-70.[4] CEN TC 10 has indicated that the specifications given in standard EN 81-70 can be used to comply with the essential health and safety requirement 1.5.15 until the standards EN 81, parts 1 and 2 have been revised.[5]

• Maintenance

The requirements of section 1.6 relating to maintenance must be taken into account in the design of lifts in order to ensure that they can be inspected and maintained safely;

Specifications concerning access to the machinery spaces are given in clauses 5, and 8 of standards EN 81, parts 1 and 2 - see comments on section 1.1.2 of the Machinery Directive and on section 6.2.

• Electrical equipment

Requirement 1.5.1 is always applicable to the electrical equipment of lifts and safety components for lifts. This means that the electrical equipment of lifts and safety components for lifts must comply with the safety objectives set in Annex I of the Low Voltage Directive 2006/95/EC (formerly Directive 73/23/EC), although they are not subject to the conformity assessment procedures of the Low Voltage Directive - see comments on Article 1(5).

Specifications concerning the electrical equipment for lifts are given in clause 13 of standards EN 81, parts 1 and 2.

• Contact with moving parts

While risks for users of the lift due to contact with moving parts are dealt with in sections 1.5.2, 2.3, 3.1 and 4.1 of Annex I to the Lifts Directive, the same risks for maintenance and inspection staff who have access to the machinery spaces are covered by requirements 1.3.7 and 1.3.8 of Annex I to the Machinery Directive.

Specifications concerning the prevention of risks due to contact with moving parts are given in clauses 5 and 9 of standards EN 81, parts 1 and 2.

§ 96 The principles of safety integration

A particular mention should be made of section 1.1.2 of Annex I to the Machinery Directive relating to the principles of safety integration. This requirement is always applicable to the design and construction of lifts. Given the importance of these principles, it is worth quoting this section in full:

"1.1.2. Principles of safety integration

(a) Machinery must be so constructed that it is fitted for its function, and can be adjusted and maintained without putting persons at risk when these operations are carried out under the conditions foreseen by the manufacturer.

The aim of measures taken must be to eliminate any risk of accident throughout the foreseeable lifetime of the machinery, including the phases of assembly and dismantling, even where risks of accident arise from foreseeable abnormal situations.

(b) In selecting the most appropriate methods, the manufacturer 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 protection measures in relation to risks that cannot be eliminated,
• inform users of the residual risks due to any shortcomings of the protection measures adopted, indicate whether any particular training is required and specify any need to provide personal protection equipment.

(c) When designing and constructing machinery, and when drafting the instructions, the manufacturer must envisage not only the normal use of the machinery but also uses which could reasonably be expected.

The machinery must be designed to prevent abnormal use if such use would engender a risk. In other cases the instructions must draw the user's attention to ways - which experience has shown might occur - in which the machinery should not be used.

(d) Under the intended conditions of use, the discomfort, fatigue and psychological stress faced by the operator must be reduced to the minimum possible taking ergonomic principles into account.

(e) When designing and constructing machinery, the manufacturer must take account of the constraints to which the operator is subject as a result of the necessary or foreseeable use of personal protection equipment (such as footwear, gloves, etc.).

(f) Machinery must be supplied with all the essential special equipment and accessories to enable it to be adjusted, maintained and used without risk."

Paragraph (f) of section 1.1.2 implies that, when special equipment, such as special tools or software, is necessary for safe and effective execution of maintenance or rescue operations, such equipment should be supplied with the lift by the installer when the lift is placed on the market - see also comments on section 4.4 and section 6.2.

Further explanation of the principles of safety integration is given in standard EN ISO 12100-1[6]

§ 97 Use of machinery standards in support of the Lifts Directive

In order to apply the essential health and safety requirements of Annex I of the Machinery Directive applicable to lifts, lift installers may apply the technical specifications of the relevant harmonised standards.

These may be either

• the specifications of harmonised standards for lifts that support the relevant essential requirements of the Machinery Directive or
• the specifications of harmonised standards for machinery.

When an essential health and safety requirement is covered by a specific standard for lifts, the lifts standard takes precedence over machinery standards for the requirement concerned.

When the reference of a standard is published in the OJEC in the framework of application of the Machinery Directive, application of the standard confers presumption of conformity with the essential health and safety requirements of the Machinery Directive covered by the standard. Application of such a standard also confers presumption of conformity with the essential health and safety requirements covered by the standard when these requirements are applicable to lifts. As a general rule, there is therefore no specific publication of the references of machinery standards in the framework of application of the Lifts Directive.[7]

§ 98 Dimensions and strength of the lift car

The purpose of the requirement set out in the first paragraph of section 1.2 is to ensure that the car body is sufficiently strong and rigid to operate securely and safely between its guides and remain correctly aligned with the operating equipment of the landing doors and the lift control equipment in the shaft. The dimensions of the car must be consistent with the maximum number of persons and the maximum rated load for which the lift is intended.

Specifications for the necessary space and strength of the lift car are given in clause 8 of standards EN 81, parts 1 and 2.

For lifts that are particularly exposed to the risk of damage due to vandalism, additional specifications are given in clause 5.4 of standard EN 81-71.[8]

§ 99 Access to the lift car for disabled people

The second paragraph of section 1.2 deals with an essential aspect of lifts as a means of access to the built environment. Lifts are an important means enabling everyone to have access to the built environment, including those who have permanent or temporary difficulty using stairs. But to fulfil this role, lifts must be designed and constructed in order to facilitate access and use by all. The second paragraph is applicable to all lifts unless the dimensions of the shaft in which the lift is to be installed do not permit the fitting of a car and doors that are accessible to disabled persons.

Specifications for the accessibility of lifts by persons including persons with disability are given in clause 5 of standard EN 81-70.[9] This standard describes three sizes of lift cars, types 1, 2 and 3, offering different degrees of accessibility to wheelchair users. National regulations concerning the provision of lifts accessible to persons with disability can thus refer to the any or all of the 3 sizes described in the standard.

§ 100 Provision of lifts accessible to disabled people

There is currently no obligation in European legislation concerning the provision of lifts accessible to disabled people. The responsibility for this matter lies with the Member States.

However, when the Lifts Directive was adopted, the following joint Declaration was made by the European Parliament, the Council and the Commission:

With regard to access to cars for disabled people, the European Parliament, the Council and the Commission shall encourage the Member States to take any national measures that are necessary to ensure that all levels of existing buildings and those under construction may be accessible to disabled people, particularly those who use wheelchairs. They shall recommend the provision, in all new buildings, of at least one lift accessible to disabled people in wheelchairs. That lift must fulfil all the requirements for such use (dimensions, position of controls, etc.).

This Declaration is not binding. Member States are free to introduce rules concerning the provision of lifts accessible to people with disabilities that go beyond the above recommendations if they see fit.

Many Member States have national regulations requiring lifts installed in certain buildings to be accessible to disabled people. Since application of standard EN 81-70 confers a presumption of conformity with section 1.2 of Annex I, such regulations must not include technical specifications which contradict those given in the harmonised standard.

§ 101 Amendment of section 1.2

The revised Machinery Directive 2006/42/EC, which also amends the Lifts Directive 95/16/EC, modifies the title and the wording of section 1.2 of Annex I. This amendment is consistent with the amendment of the definition of 'lift' in Article 1.2 of the Directive.

The amended text of section 1.2 is as follows (the changes are underlined):

"1.2. Carrier

The carrier of each lift must be a car. This car must be designed and constructed to offer the space and strength corresponding to the maximum number of persons and the rated load of the lift set by the installer.

Where the lift is intended for the transport of persons, and where its dimensions permit, the car must be designed and constructed in such a way that its structural features do not obstruct or impede access and use by disabled persons and so as to allow any appropriate adjustments intended to facilitate its use by them."

This amendment will be applicable as from 29th December 2009.

§ 102 Means of suspension and support

The design, construction and installation of the means of suspension and support of the car are clearly a key aspect of lift safety.

The means of suspension and support are all the means used to overcome the force of gravity acting on the lift car, whether fixed above or below the car.

Specifications for the means of suspension and support are given in clause 9 and Annex N of standard EN 81, part 1, and in clause 9 and Annex K of standard EN 81, part 2.

Specifications for wire ropes for lifts are given in standard EN 12385-5.[10] Specifications for the terminations for such ropes are given in standard EN 13411-7.[11]

§ 103 Loading control

Although lifts and their components are designed to carry the intended load of persons and goods with a safety margin, repeated overloading can give rise to excessive wear or damage resulting in the failure of components. Section 1.4.1 therefore requires the fitting of means to prevent the starting of the lift if the rated load is exceeded.

Specifications for loading control devices are given in clause 14 of standards EN 81-1, parts 1 and 2.

§ 104 Detection of overspeed

The function of an overspeed governor (or overspeed limitation device) is to detect excessive speed of the lift car and to trigger the operation of devices to prevent the free fall of the car. An overspeed governor may also trigger the operation of a device to prevent uncontrolled upward movement of the car - see comments on section 3.2.

Overspeed limitation devices are safety components listed in Annex IV, item 3.

Specifications for overspeed governors and ascending car overspeed protection means for electric lifts are given in clause 9 of standards EN 81, part 1. Specifications for overspeed governors for hydraulic lifts are given in clause 9 of EN 81, part 2. Tests for overspeed governors are given in Annex F4 of these standards. Tests for ascending car overspeed protection means are given in Annex F7 of EN 81, part 1.

The second paragraph of section 1.4.2 allows that, in accordance with the preliminary remark 1, lifts with drive systems (for example, certain screw drive systems), that not present a risk of overspeed do not need an overspeed governor.

§ 105 Speed monitoring and limiting

On high-speed lifts, certain safety components (such as buffers, for example) can only fulfil their protective function if the speed of the lifts is kept within certain values. Such lifts must be equipped with means of monitoring and limiting the speed within those values in the positions in which the safety component concerned may have to operate.

Specifications for speed monitoring and limiting in case of use of buffers with reduced stroke are given in clause 12.8 of standard EN 81-1.

§ 106 Friction pulleys

This requirement is relevant for traction drive lifts. On such lifts, the suspension ropes must remain correctly in place within the grooves of the friction pulleys to avoid excessive slippage during operation. To fulfil this requirement, sufficient tension must be maintained in the ropes and the characteristics of the ropes and the pulleys must be compatible.

Specifications for ensuring the stability of traction ropes on friction pulleys are given in clause 9 of standard EN 81-1.

§ 107 Lift machinery

The requirement that lifts must have their own individual machinery does not rule out so-called "double-deck" lifts which have two cars, one above the other or so-called "duo" lifts where one car acts as the counter-weight for another.

§ 108 Access to lift machinery

The purpose of this requirement is to prevent accidents due to contact between users or other persons and hazardous elements of the lift machinery. The requirement applies to the machine room or to the machinery spaces (in the case of machine room-less lifts) and to any other spaces in which hazardous machinery elements are located.

At the same time, the necessary means must be provided to enable authorised persons responsible for the inspection and maintenance of the lift or for the rescue of trapped persons to access the parts of the machinery necessary for these operations.

Specifications to prevent access to the lift machinery by persons other than those for whom access is required for inspection, maintenance or rescue purposes are given in clause 6 of standards EN 81, parts 1 and 2.

It should be noted that the specifications of EN 81, parts 1 and 2 relating to access to lift machinery and pulley spaces have been amended to take account of the development of machine room-less lifts.[12]

Additional specifications for preventing unauthorised access to lift machinery and pulley spaces for lifts that are particularly exposed to the risk of vandalism are given in clause 5.2 of standard EN 81-71.

§ 109 Design of controls for disabled persons

In order to be usable by persons with disabilities, not only must the car have the requisite dimensions - see comments on section 1.2 - but the location and design of the controls must be adapted accordingly.

Specifications for the location and design of the controls for lifts intended for use by disabled persons are given in clause 5.4 standard EN 81-70.[13] Further guidance on the design of such controls is also provided in the informative annexes E, F and G to this standard.

§ 110 Indication of the function of the controls

The purpose of this requirement is to enable passengers to use the controls on the landings and in the car easily and to minimise the risk of mistakes. For example, the emergency controls must be easy to identify and to distinguish from the normal operating controls.

Specifications for the marking of the controls are given in clause 15 of standards EN 81, parts 1 and 2.

Additional specifications for the means of indicating the function of the controls in order to facilitate the use of lifts by persons with disabilities are given in clause 5.4 and Annexes E and F of standard EN 81-70.

§ 111 Interconnexion of call circuits

While each lift must have its own machinery, section 1.6.3 recognises that a group of lifts usually has a common system for handling the call signals sent from the landings to the control system of each lift.

§ 112 Electrical equipment

Specifications relating to the electrical equipment for lifts are given in clauses 13 and 14 of standards EN 81, parts 1 and 2.

It should be noted that standards EN 81, parts 1 and 2, have been amended to provide specifications to ensure the safety and reliability of programmable electronic systems used to control safety functions for lifts that do not conform strictly with the requirement set out in the third indent of this section.[14]

§ 113 Access to the travel zone

The purpose of the requirement set out in section 2.1 is to ensure that users of the lift or other persons are not exposed to risks due to contact with the moving lift car or other objects in the shaft or travel zone of the car. Access to this zone may be needed for inspection, maintenance or rescue operations, but means must be provided to ensure that such access can be restricted to the persons authorised to carry out these operations.

Specifications to prevent access to the lift shaft except for maintenance or in emergencies are given in clause 5 of standards EN 81, parts 1 and 2.

For lifts that are particularly exposed to the risk of unauthorised access due to vandalism, additional specifications to prevent unauthorised access to the lift shaft are given in clause 5.1 of standard EN 81-71.[15]

§ 114 Pit and headroom

The risk of crushing between the lift car and the floor of the pit or the top of the shaft affects mainly maintenance or inspection staff whose tasks require them to enter the pit or access the car roof. The risk may also concern unauthorised persons misusing the lift who defeat the means fitted to prevent unauthorised access foreseen by section 2.1.

The risk referred to in section 2.2 exists even if the lift installer's instructions forbid access to the car roof for maintenance purposes, since it is possible that operators may contravene these instructions: the design of the lift must take account of such foreseeable abnormal situations, according to section 1.1.2 (a) of Annex I of the Machinery Directive that is applicable to lifts - see comments on section 1.1.

The first sentence of section 2.2 sets out the safety objective to be achieved. The second sentence specifies the means to be used to achieve this objective: the objective of preventing the risk of crushing shall be satisfied by means of free space or refuge beyond the extreme positions.

To apply this requirement, the lift shaft must be provided with a pit below the lowest position that can be reached by the lift car and adequate headroom above the highest position that can be reached by the lift car in order to enable a person to avoid being crushed in case of unexpected movement of the car.

The European Coordination of Notified Bodies has agreed that, for vertical lifts, the free space must be located in the projection of the travel path of the car. Only in the case of inclined lifts can refuges outside the projection of the travel path be admitted, providing shearing risks are avoided.[16]

"Free space or refuge beyond the extreme positions" shall be understood as space that is permanently available. The requirement for free space cannot therefore be satisfied by means of protective devices. The free space or refuge must have a sufficient volume to enable a person above or below the car to be protected against the risk of crushing and it must be possible to attain the free space or refuge in case of unexpected movement of the car.

Section 3.3 states that the free space below the car must be measured with the buffers totally compressed.

Specifications for the location and dimensions of the free space or refuges and how they shall be measured are given in clause 5.7 of standards EN 81, parts 1 and 2. These standards define the necessary free space or refuge as a combination of a minimum volume and a minimum vertical distance between the extreme positions of the lift car and the top and bottom of the lift shaft.

While application of these specifications is not mandatory, they indicate the level of safety that corresponds to the state of the art. Alternative solutions must therefore provide a level of safety that is at least equivalent to that specified in the harmonised standards.

§ 115 Lifts without permanent free space or refuge

The third sentence of section 2.2 allows for derogations to the requirement for permanent free space or refuge to prevent the risk of crushing in exceptional cases where this requirement is impossible to fulfil. The derogation is subject to prior approval in the Member States that have included such a procedure in their implementation of the Directive. The text of the Directive does not define in what circumstances it may be considered impossible to provide free space, however it is indicated that this may be the case particularly in existing buildings. It is up to the Member State concerned to determine the procedure for according prior approval for derogations and the criteria for deciding when a derogation is justified.

It should also be noted that the prior approval to be given by the Member State concerns whether or not a derogation to the requirement for free space or refuge is permitted. If such derogation is accorded, the evaluation of the "other appropriate means" used to prevent the risk of crushing above and below the lift car remain subject to the conformity assessment procedures set out in Article 8 of the Lifts Directive.

It should be noted that, if a Notified Body issues a type-examination certificate for a lift design with means to prevent the crushing risk other than permanent free space or refuge, the certificate should clearly specify that the installation of a lift according to the type-examination certificate is permitted only in cases where the requirement for free space or refuge is impossible to fulfil and where prior approval has been granted by the Member State where the lift is to be installed according to the national procedure, if any.

A standard describing "other appropriate means" that can be used in existing buildings is currently under development.[17] Once the reference of this standard is published in the OJEU, application of its specifications relating to the "other appropriate means" to prevent the risk of crushing above and below the lift car will confer a presumption of conformity with the essential health and safety requirement set out in section 2.2 only in cases where the requirement for free space or refuge is impossible to fulfil and where prior approval has been granted by the Member State where the lift is to be installed according to the national procedure, if any.

§ 116 Landing doors and locking devices

The function of the landing doors is to prevent persons on the landings coming into contact with the moving parts of the lift and to prevent persons falling into the lift shaft or the travel zone of the lift when the car is not at the landing.

The last sentence of section 2.3 allows the opening of the landing doors to start while the lift car is approaching a landing in order to allow passengers to leave the car as soon as it has reached the landing.

Devices for locking landing doors are safety components listed in Annex IV, item 1.

Specifications for the landing doors and their locking devices are given in clause 7 of standards EN 81, parts 1 and 2. Tests for landing door locking devices are given in Annex F1 of these standards.

Since the landing doors are one of the elements of the lift that are particularly vulnerable to damage due to vandalism, additional specifications are given in clause 5.3 of standard EN 81-71.[18]

§ 117 Enclosure of the lift car

The requirement set out in the first paragraph of section 3.1 for full enclosure of the lift car and for full-length car doors is to prevent risks due to contact between persons or objects in the car and objects outside the car in the shaft or travel zone.

The requirement for interlocking of the car doors is to prevent the risk of falling out of the car. This requirement is applicable if there is a gap into which a person could fall between the edge of the car and the wall of the shaft or if there is no shaft wall to prevent such a fall.

Specifications for car doors and their locking devices are given in clause 8 of standards EN 81, parts 1 and 2.

Since the car doors are one of the elements of the lift that are vulnerable to damage due to vandalism, additional specifications are given in clause 5.3 of standard EN 81-71 for lifts that are considered to be particularly exposed to the risk of such damage.

§ 118 Free fall or uncontrolled upward movement of the car

The purpose of this requirement is to protect the occupants of the lift car in the case of a failure in the power supply or the failure of an element of the suspension or support system of the car. If a failure occurs when the weight of the car and its load is less than that of the counterweight, uncontrolled upward movement of the car must be prevented. In the case of the rupture of an element of the suspension or support system, free fall must be prevented.

Devices to prevent free fall or uncontrolled upward movements of the car referred to in section 3.2 of Annex I are safety components listed in Annex IV, item 2.

Safety devices fitted to jacks of hydraulic power circuits where these are used as devices to prevent falls are safety components listed in Annex IV, item 5.

For electric lifts, specifications for devices to stop free fall (safety gear) and means of preventing uncontrolled upward movement of the lift car are given in clause 9 of standard EN 81, part 1. Tests for such devices are specified in Annex F3 and F7 of that standard.

For hydraulic lifts, specifications to prevent free fall or uncontrolled downward movement of the lift car are given in clause 9 of standard EN 81, part 2. Tests for safety gear are given in Annex F3 and tests for rupture valves/one-way restrictors are given in Annex F7 of that standard.

§ 119 Buffers

Buffers are required to protect occupants of the lift car in case of a failure in the control system or the suspension or support of the car when it is too close to the bottom of the shaft for the safety gear to be effective. Buffers are required to absorb the lift energy if such a failure causes the car to pass the extreme stopping positions.

Buffers are safety components listed in Annex IV, item 4, (a) and (b). In Annex IV they are termed "shock absorbers".

Specifications for buffers are given in clause 10 of standards EN 81-1 and 2. Tests for buffers are specified in Annex F5 of these standards.

§ 120 Additional requirement for safety devices

The requirement set out in section 3.4 is an additional requirement for the devices to prevent free fall and uncontrolled upward movement of the car and for overspeed limitation devices and is covered by the standards mentioned in relation to section 3.2 of Annex I.

§ 121 Risks due to the closing of car and landing doors

The requirement set out in section 4.1 is to prevent the risk of injury to people entering or leaving the car due to contact with motorized car or landing doors while they are closing.

Specifications for such devices are given in clauses 7 and 8 of standards EN 81, parts 1 and 2.

Additional specifications for lifts designed for use by persons with disabilities are given in clause 5.2.4 of standard EN 81-70.

§ 122 Fire-resistance of lift landing doors

The requirement set out in section 4.2 is applicable when the fire prevention rules for the building in which the lift is installed requires the landing doors to be fire-resistant. The fire-resistance of lift landing doors is covered by the Lifts Directive (that covers the corresponding requirement of the Construction products Directive) - see comments on Article 14.

The documents relating to the conformity assessment of lifts with fire resistant doors must provide precise information relating to the fire resistance of the lift landing doors, including identification of the relevant test reports and test method used.[19] The necessary information concerning the fire resistance of the lift landing doors should also be provided by the installer of the lift to the person responsible for work on the building or construction, according to the provision of Article 2.2 of the Lifts Directive.

§ 123 Standards for the testing of fire resistance of lift landing doors

In the first years of application of the Lifts Directive, lift installers tested fire resistant lift landing doors according to the standards referred to in national building regulations.

In 2000, a test standard EN 1634-1[20] was adopted in the framework of the Construction Products Directive. The result of the test set out in this standard gives rise to a classification of doors according to standard EN 13501-2,[21] in line with Commission Decision 2000/367/EC[22] implementing Council Directive 89/106/EEC as regards the classification of the resistance to fire performance of construction products, construction works and parts thereof.

In 2003, a specific harmonised standard EN 81-58[23] for the testing of fire resistant lift landing doors was adopted under the mandate given by the European Commission to CEN for the Lifts Directive. It specifies a method for testing the integrity, radiation and insulation of lift landing doors which are intended to provide a fire barrier to the spread of fire via the lift shaft and includes a classification for lift landing doors that is identical to the classification specified in standard EN 13501-2, in line with Commission Decision 2000/367/EC.

According to the Lifts Directive, application of standard EN 81-58 remains voluntary. Consequently, lift landing doors tested using other methods can be accepted as complying with section 4.2 of Annex I of the Lifts Directive. However, since the references of standard EN 81-58 have been published in the OJEU,[24] application of that standard confers a presumption of conformity with the essential requirement of the Lifts Directive.

Furthermore, national regulations must not make application of any standard compulsory.

§ 124 Preventing collision between the car and the counterweight

The purpose of this requirement is to prevent collisions between the lift car and the counterweight moving in the opposite direction within the shaft which can cause severe damage to the lift and consequent injury to the passengers. Similar damage can be caused if the counterweight falls on to the car.

To fulfil the requirement set out in section 4.3, the course of the car and the counterweights must be guided and sufficient clearance must be provided between them.

Specifications concerning this requirement are given in clauses 10 and 11 of standards EN 81, parts 1 and 2.

§ 125 Release and evacuation of trapped persons

The purpose of this requirement is to enable rescuers to release and evacuate people trapped in the lift car in case of a breakdown. The lift must be designed so that the rescuers can bring the lift to a position where people can be released and evacuate the lift safely. Measures must be taken to avoid the risk of falling into the shaft or the travel zone when leaving the car.

If special equipment is needed to release and evacuate trapped people, it must be supplied with the lift by the installer when the lift is placed on the market so that it can be kept permanently available on site. However, in certain extreme cases (for example, the failure of the suspension or support system), it may be necessary for the rescue service to use special equipment that is not supplied with the lift installation and that cannot be kept on site.

The necessary instructions for the safe execution of the rescue procedures and for the use of any special equipment supplied with the lift must be included in the instruction manual and the necessary information must be made available to the rescue service, for example, by being displayed on the equipment in a suitably visible place - see comments on section 6.2.

Specifications for the means for releasing and evacuating trapped people are given in clauses 8 and 12 of standards EN 81, parts 1 and 2.

§ 126 Communication with a rescue service

The requirement set out in section 4.5 is intended to ensure that, in the event of a breakdown, people trapped in the lift car can contact a rescue service at all times and that the rescue service can inform them about the measures taken to ensure their rescue in order to avoid panic.

Specifications for two-way means of communication are given in clause 14 of standards EN 81, parts 1 and 2, however these specifications have now been superseded by those of standard EN 81-28.[25]

The Coordination of Notified Bodies for lifts has made a recommendation concerning the conditions under which the two-way communication may be ensured for several lifts in the same building by means of a single telephone line - see NB-L REC 2/021 [2 MB] .

§ 127 Temperature control

The purpose of this requirement is to ensure that means are provided to ensure that if the temperature in the machinery spaces exceeds safe limits, the lift can no longer be operated. However, in order to prevent users being trapped in car between landings, the temperature control device must only stop the lift car once it has completed the journey in progress.

It has been clarified that the requirement set out in section 4.6 in fact applies to the temperature in the machine room (or in the machinery spaces, in the case of a machine room-less lift), which is clear in the original French text of the Directive.

Assumptions concerning the ambient temperature in the machine spaces of lifts are given in clause 0.3 of standards EN 81, parts 1 and 2 and specifications for temperature control are given in clause 13 of these standards.

§ 128 Ventilation

The requirement set out in section 4.7 is intended to ensure the health and comfort of users of the lift, in particular, in cases where users are trapped in the car following to a breakdown.

Specifications for the ventilation of the lift car are given in clause 8 of EN 81, parts 1 and 2.

§ 129 Lighting in the car

The provision of adequate lighting is an important factor influencing the safety and comfort of users of the lift. Emergency lighting is essential in order to avoid panic if people are trapped in the car following a breakdown.

Specifications for the lighting in the car and for emergency lighting are given in clause 8 of standards EN 81, parts 1 and 2.

§ 130 Power for the means of communication and emergency lighting

The requirement set out in section 4.9 is complementary to requirements 4.5 and 4.8 and is covered by specifications given in the standards mentioned in relation to those requirements.

§ 131 Firefighters' lifts

In general, fire prevention rules forbid the use of lifts in the event of a fire in the building in which they are installed.[26]

Certain lifts may be specially designed to remain in use in the event of fire under the control of fire-fighters for access to fire-protected landings. Member States may determine which lifts shall be designed for this purpose.

Specifications for firefighters' lifts are given in standard EN 81-72.[27]

§ 132 The installer's plate

The requirement set out in section 5.1 refers to section 1.7.3 of the Machinery Directive. The reference to Directive 89/392/EEC shall be construed as a reference to Directive 98/37/EC.

The relevant part of section 1.7.3 of the Machinery Directive is worded as follows:

1.7.3. Marking

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

• name and address of the manufacturer,
• the CE marking (see Annex III),
• designation of series or type,
• serial number, if any,
• the year of construction.

In the case of lifts, the name and address of the manufacturer shall be understood as the name and address of the installer - see comments on Article 1(4). The easily visible plate referred to in section 5.1 must be placed inside the lift car since the information must be readily available both to users of the lifts and to market surveillance authorities, if necessary.

As from 29th December 2009, the reference to the Machinery Directive shall be construed as a reference to Directive 2006/42/EC.

§ 133 Self-rescue

This requirement applies to lifts fitted with means to enable passengers to move the car manually to a landing in case of a breakdown or to evacuate the car without outside help. These include certain lifts with screw or rack-and-pinion drive systems. Lifts fitted with such means must have clear instructions in the car on how they are to be used.

However, for lifts that are not fitted with such means, it is dangerous for people trapped in the car to attempt to open the car doors and escape without outside help. The relevant requirements for the means of evacuation and rescue are therefore those set out in section 4.4.

6.1. The safety components referred to in Annex IV must be accompanied by an instruction manual drawn up in an official language of the Member State of the lift installer or another Community language acceptable to him, so that:

• assembly,
• connexion,
• adjustment, and
• maintenance,

can be carried out effectively and without danger.

6.2. Each lift must be accompanied by documentation drawn up in the official language(s) of the Community, which may be determined in accordance with the Treaty by the Member State in which the lift is installed. The documentation shall contain at least:

• an instruction manual containing the plans and diagrams necessary for normal use and relating to maintenance, inspection, repair, periodic checks and the rescue operations referred to in Section 4.4,
• a logbook in which repairs and, where appropriate, periodic checks can be noted.