Directive 98/37/EC of the European Parliament and of the Council of 22 June 1998 on the approximation of the laws of the Member States relating to machinery
Date: 1998-06-22
Institutions: Council of the European Union, European Parliament
Subjects: EU Member State, approximation of laws, machinery, product safety, safety standard

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I

(Acts  whose  publication  is  obligatory)

DIRECTIVE  98/37/EC  OF  THE  EUROPEAN  PARLIAMENT  AND  OF  THE  COUNCIL

on  the  approximation  of  the  laws  of  the  Member  States  relating  to  machinery

of  22  June  1998

THE  EUROPEAN  PARLIAMENT  AND  THE  COUNCIL  OF
THE  EUROPEAN  UNION,

construction  of  machinery  and  by  proper
installations  and  maintenance;

Having  regard  to  the  Treaty  establishing  the  European
Community,  and  in  particular  Article  100a  thereof,

Having  regard  to  the  proposal  from  the  Commission,

Having regard to the opinion of the Economic and Social
Committee (1),

Acting  in  accordance  with  the  procedure  laid  down  in
Article  189b  of  the  Treaty (2),

(1) Whereas  Council  Directive  89/392/EEC  of  14  June
1989  on  the  approximation  of  the  laws  of  the
Member  States  relating  to  machinery (3)  has  been
frequently  and  substantially  amended;  whereas  for
reasons  of  clarity  and  rationality  the  said  Directive
should  be  consolidated;

(2) Whereas  the  internal  market  consists  of  an  area
without  internal  frontiers  within  which  the  free
movement of goods, persons, services and capital is
guaranteed;

(3) Whereas  the  machinery  sector  is  an  important  part
of  the  engineering  industry  and  is  one  of  the
industrial  mainstays  of  the  Community  economy;

(4) Whereas  the  social  cost  of  the  large  number  of
accidents  caused  directly  by  the  use  of  machinery
can  be  reduced  by  inherently  safe  design  and

(1) OJ  C  133,  28.4.1997,  p.  6.
(2) Opinion  of  the  European  Parliament  of  17  September  1997
(OJ  C  304,  6.10.1997,  p.  79),  Council  common  position  of
24  March  1998  (OJ  C  161,  27.5.1998,  p.  54)  and  Decision
of  the  European  Parliament  of  30  April  1998  (OJ  C  152,
18.5.1998).  Council  Decision  of  25  May  1998.

(3) OJ  L  183,  29.6.1989,  p.  9.  Directive  as  last  amended  by

Directive  93/68/EEC  (OJ  L  220,  30.8.1993,  p.  1).

(5) Whereas  Member  States  are 

responsible 

for
ensuring  the  health  and  safety  on  their  territory  of
persons  and,  where  appropriate,  of  domestic
animals  and  goods  and,  in  particular,  of  workers,
notably  in  relation  to  the  risks  arising  out  of  the
use  of  machinery;

relevant 

(6) Whereas,  in  the  Member  States,  the  legislative
systems  regarding  accident  prevention  are  very
compulsory
the 
different;  whereas 
provisions,  frequently  supplemented  by  de  facto
mandatory technical specifications and/or voluntary
standards, do not necessarily lead to different levels
of  health  and  safety,  but  nevertheless,  owing  to
their  disparities,  constitute  barriers  to  trade  within
the  Community;  whereas,  furthermore,  conformity
certification  and  national  certification  systems  for
machinery  differ  considerably;

(7) Whereas  existing  national  health  and 

justified 

lowering  existing 

safety
provisions  providing  protection  against  the  risks
caused  by  machinery  must  be  approximated  to
ensure  free  movement  on  the  market  of  machinery
without 
levels  of
protection  in  the  Member  States;  whereas  the
provisions  of  this  Directive  concerning  the  design
and construction of machinery, essential for a safer
working  environment,  shall  be  accompanied  by
specific  provisions  concerning  the  prevention  of
certain  risks  to  which  workers  can  be  exposed  at
work,  as  well  as  by  provisions  based  on  the
organisation  of  safety  of  workers  in  the  working
environment;

(8) Whereas  Community  law,  in  its  present  form,
provides  —  by  way  of  derogation  from  one  of  the
fundamental  rules  of  the  Community,  namely  the
free  movement  of  goods  —  that  obstacles  to

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movement  within  the  Community  resulting  from
disparities  in  national  legislation  relating  to  the
marketing of products must be accepted in so far as
the provisions concerned can be recognised as being
necessary  to  satisfy  imperative  requirements;

laying-down  of  conditions  of  use  external  to  the
machinery, provided that it is not thereby modified
in  a  way  not  specified  in  this  Directive;

(9) Whereas paragraphs  65 and 68  of the White  Paper
on the completion of the internal market, approved
by the European Council in June 1985, provide for
legislative  harmonisation;
a  new  approach  to 
whereas,  therefore,  the  harmonisation  of  laws  in
this  case  must  be  limited  to  those  requirements
necessary  to  satisfy  the  imperative  and  essential
requirements 
to
safety 
health  and 
machinery;  whereas 
requirements  must
these 
replace  the  relevant  national  provisions  because
they  are  essential;

relating 

(10) Whereas  the  maintenance  or  improvement  of  the
level  of  safety  attained  by  the  Member  States
constitutes  one  of  the  essential  aims  of  this
Directive  and  of  the  principle  of  safety  as  defined
by  the  essential  requirements;

(11) Whereas  the  field  of  application  of  this  Directive
must  be  based  on  a  general  definition  of  the  term
‘machinery’ 
technical
development  of  products;  whereas  the  development
of  complex  installations  and  the  risks  they  involve
are  of  an  equivalent  nature  and  their  express
inclusion  in  the  Directive  is  therefore  justified;

to  allow 

so  as 

the 

(12) Whereas  it  is  also  necessary  to  deal  with  safety
components  which  are  placed  on  the  market
separately  and  the  safety  function  of  which  is
declared  by  the  manufacturer  or  his  authorised
representative  established  in  the  Community;

(13) Whereas,  for  trade  fairs,  exhibitions,  etc.,  it  must
be  possible  to  exhibit  machinery  which  does  not
conform  to  this  Directive;  whereas,  however,
interested  parties  should  be  properly  informed  that
the  machinery  does  not  conform  and  cannot  be
purchased  in  that  condition;

(14) Whereas 

the 

and 

health 

essential 

safety
requirements  must  be  observed  in  order  to  ensure
that  machinery  is  safe;  whereas  these  requirements
must  be  applied  with  discernment  to  take  account
of  the  state  of  the  art  at  the  time  of  construction
and  of  technical  and  economic  requirements;

(16) Whereas  it  is  necessary  not  only  to  ensure  the  free
movement  and  putting  into  service  of  machinery
bearing  the  ‘CE’  marking  and  having  an  EC
conformity  certificate  but  also  to  ensure  free
movement  of  machinery  not  bearing  the  ‘CE’
marking  where  it  is  to  be  incorporated  into  other
machinery  or  assembled  with  other  machinery  to
form  a  complex  installation;

(17) Whereas,  therefore,  this  Directive  defines  only  the
essential  health  and  safety  requirements  of  general
application,  supplemented  by  a  number  of  more
specific  requirements  for  certain  categories  of
machinery; whereas, in order to help manufacturers
to  prove  conformity  to  these  essential  requirements
and  in  order  to  allow  inspection  for  conformity  to
the  essential  requirements,  it  is  desirable  to  have
standards  harmonised  at  European  level  for  the
prevention  of  risks  arising  out  of  the  design  and
construction of machinery; whereas these standards
harmonised  at  European  level  are  drawn  up  by
their
private-law  bodies 
non-binding  status;  whereas  for  this  purpose  the
European  Committee  for  Standardisation  (CEN)
and  the  European  Committee  for  Electrotechnical
Standardisation  (Cenelec)  are  the  bodies  recognised
as  competent  to  adopt  harmonised  standards  in
accordance  with 
for
cooperation  between  the  Commission  and  these
two bodies signed on 13 November 1984; whereas,
within  the  meaning  of  this  Directive,  a  harmonised
standard  is  a  technical  specification  (European
standard  or  harmonisation  document)  adopted  by
either  or  both  of  these  bodies,  on  the  basis  of  a
remit from the Commission in accordance with the
provisions  of  Directive  83/189/EEC (1)  and  on  the
basis  of  general  guidelines  referred  to  above;

the  general  guidelines 

and  must 

retain 

(18) Whereas  it  was  found  necessary  to  improve  the
legislative framework in order to ensure an effective
and  appropriate  contribution  by  employers  and
employees  to  the  standardisation  process;

(19) Whereas  the  Member  States’  responsibility  for
safety,  health  and  the  other  aspects  covered  by  the
essential  requirements  on  their  territory  must  be
recognised  in  a  safeguard  clause  providing  for
adequate  Community  protection  procedures;

(15) Whereas  the  putting  into  service  of  machinery
within the meaning of this Directive can relate only
to the use of the machinery itself as intended by the
manufacturer;  whereas  this  does  not  preclude  the

(1) Council  Directive  83/189/EEC  of  28  March  1983  laying
down  a  procedure  for  the  provision  of  information  in  the
field  of  technical  standards  and  regulations  (OJ  L  109,
26.4.1983,  p.  8).  Directive  as  last  amended  by  Commission
Decision  96/139/EC  (OJ  L  32,  10.2.1996,  p.  31).

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retain 

should 

(20) Whereas,  as  is  currently  the  practice  in  Member
States,  manufacturers 
the
responsibility  for  certifying  the  conformity  of  their
machinery  to  the  relevant  essential  requirements;
whereas  conformity 
standards
creates a presumption of conformity to the relevant
essential  requirements;  whereas  it  is  left  to  the  sole
discretion  of  the  manufacturer,  where  he  feels  the
need,  to  have  his  products  examined  and  certified
by  a  third  party;

to  harmonised 

(21) Whereas,  for  certain  types  of  machinery  having  a
higher  risk  factor,  a  stricter  certification  procedure
is  desirable;  whereas  the  EC  type-examination
procedure adopted may result in an EC declaration
being  given  by  the  manufacturer  without  any
stricter  requirement  such  as  a  guarantee  of  quality,
EC  verification  or  EC  supervision;

(22) Whereas  it  is  essential  that,  before  issuing  an  EC
declaration  of  conformity,  the  manufacturer  or
his  authorised  representative  established  in  the
Community should provide a technical construction
file;  whereas  it  is  not,  however,  essential  that  all
documentation  be  permanently  available 
in  a
material  manner,  but  it  must  be  made  available
on  demand;  whereas  it  need  not  include  detailed
plans  of  the  sub-assemblies  used  in  manufacturing
the  machines,  unless  knowledge  of 
is
indispensable  in  order  to  ascertain  conformity  with
essential  safety  requirements;

these 

(23) Whereas, in its communication of 15 June 1989 on
a global approach to certification and testing (1), the
Commission proposed that common rules be drawn
up  concerning  a  ‘CE’  conformity  marking  with  a
single  design;  whereas, 
resolution  of
21  December  1989  on  a  global  approach  to
conformity  assessment (2),  the  Council  approved  as
a  guiding  principle  the  adoption  of  a  consistent
approach such as this with regard to the use of the
‘CE’  marking;  whereas  the  two  basic  elements  of
the  new  approach  which  must  be  applied  are
therefore 
the
the  essential 
conformity  assessment  procedures;

requirements  and 

its 

in 

(24) Whereas the addressees of any decision taken under
this  Directive  must  be  informed  of  the  reasons  for
such  a  decision  and  the  legal  remedies  open  to
them;

(25) Whereas 

this  Directive  must  not  affect 

the
obligations  of  the  Member  States  concerning  the
deadlines  for  transposition  and  application  of  the
Directives  set  out  in  Annex  VIII,  part  B,

HAVE  ADOPTED  THIS  DIRECTIVE:

CHAPTER  I

SCOPE,  PLACING  ON  THE  MARKET  AND  FREEDOM  OF
MOVEMENT

Article  1

1.
This  Directive  applies  to  machinery  and  lays  down
the  essential  health  and  safety  requirements  therefor,  as
defined  in  Annex  I.

It  shall  also  apply  to  safety  components  placed  on  the
market separately.

2.

For  the  purposes  of  this  Directive:

(a)

‘machinery’ means:

— an  assembly  of  linked  parts  or  components,  at
least  one  of  which  moves,  with  the  appropriate
actuators, control and power circuits, etc., joined
together  for  a  specific  application,  in  particular
for 
treatment,  moving  or
packaging  of  a  material,

the  processing, 

— an  assembly  of  machines  which,  in  order  to
same  end,  are  arranged  and
achieve 
controlled  so  that  they  function  as  an  integral
whole,

the 

— interchangeable 

equipment  modifying 

the
function  of  a  machine,  which  is  placed  on  the
market for the purpose of being assembled with a
machine or a series of different machines or with
a tractor by the operator himself in so far as this
equipment  is  not  a  spare  part  or  a  tool;

(b)

‘safety  components’  means  a  component,  provided
that  it  is  not  interchangeable  equipment,  which  the
manufacturer  or  his  authorised 
representative
established  in  the  Community  places  on  the  market
to fulfil a safety function when in use and the failure
or  malfunctioning  of  which  endangers  the  safety  or
health  of  exposed  persons.

The  following  are  excluded  from  the  scope  of  this

3.
Directive:

— machinery  whose  only  power  source 

is  directly
applied  manual  effort,  unless  it  is  a  machine  used  for
lifting  or  lowering  loads,

— machinery for medical use used in direct contact with

patients,

(1) OJ  C  231,  8.9.1989,  p.  3,  and  OJ  C  267,  19.10.1989,

p.  3.

(2) OJ  C  10,  16.1.1990,  p.  1.

— special  equipment  for  use  in  fairgrounds  and/or

amusement  parks,

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— steam  boilers,  tanks  and  pressure  vessels,

— mine  winding  gear,

— machinery  specially  designed  or  put  into  service  for
nuclear  purposes  which,  in  the  event  of  failure,  may
result  in  an  emission  of  radioactivity,

— radioactive  sources  forming  part  of  a  machine,

— theatre  elevators,

— construction site hoists intended for lifting persons or

persons  and  goods.

— firearms,

— storage  tanks  and  pipelines  for  petrol,  diesel  fuel,

inflammable  liquids  and  dangerous  substances,

— means  of  transport,  i.e.  vehicles  and  their  trailers
intended  solely  for  transporting  passengers  by  air  or
on  road,  rail  or  water  networks,  as  well  as  means  of
transport  in  so  far  as  such  means  are  designed  for
transporting  goods  by  air,  on  public  road  or  rail
networks  or  on  water.  Vehicles  used  in  the  mineral
extraction  industry  shall  not  be  excluded,

4. Where,  for  machinery  or  safety  components,  the
risks  referred  to  in  this  Directive  are  wholly  or  partly
covered  by  specific  Community  Directives,  this  Directive
shall  not  apply,  or  shall  cease  to  apply,  in  the  case  of
such  machinery  or  safety  components  and  of  such  risks
on  the  implementation  of  these  specific  Directives.

5. Where,  for  machinery,  the  risks  are  mainly  of
electrical  origin,  such  machinery  shall  be  covered
exclusively  by  Directive  73/23/EEC (2).

— seagoing  vessels  and  mobile  offshore  units  together

with  equipment  on  board  such  vessels  or  units,

Article  2

— cableways, including funicular railways, for the public

or  private  transportation  of  persons,

— agricultural  and  forestry  tractors,  as  defined 

in

Article  1(1)  of  Directive  74/150/EEC (1),

— machines  specially  designed  and  constructed  for

military  or  police  purposes,

— lifts  which  permanently  serve  specific 

levels  of
buildings  and  constructions,  having  a  car  moving
between  guides  which  are  rigid  and  inclined  at  an
angle  of  more  than  15  degrees  to  the  horizontal  and
designed  for  the  transport  of:

(i) persons;

(ii) persons  and  goods;

(iii) goods alone if the car is accessible, that is to say,
a  person  may  enter  it  without  difficulty,  and
fitted  with  controls  situated  inside  the  car  or
within  reach  of  a  person  inside,

— means  of  transport  of  persons  using  rack  and  pinion

rail  mounted  vehicles,

1. Member  States  shall  take  all  appropriate  measures
to  ensure  that  machinery  or  safety  components  covered
by  this  Directive  may  be  placed  on  the  market  and  put
into  service  only  if  they  do  not  endanger  the  health  or
safety  of  persons  and,  where  appropriate,  domestic
installed  and
animals  or  property,  when  properly 
maintained  and  used  for  their  intended  purpose.

2.
This  Directive  shall  not  affect  Member  States’
entitlement to lay down, in due observance of the Treaty,
such  requirements  as  they  may  deem  necessary  to  ensure
that  persons  and  in  particular  workers  are  protected
when  using  the  machinery  or  safety  components  in
question,  provided  that  this  does  not  mean  that  the
machinery  or  safety  components  are  modified  in  a  way
not  specified  in  the  Directive.

At  trade  fairs,  exhibitions,  demonstrations,  etc.,
3.
Member  States  shall  not  prevent  the  showing  of
machinery  or  safety  components  which  do  not  conform
to the provisions of this Directive, provided that a visible
sign  clearly  indicates  that  such  machinery  or  safety
components  do  not  conform  and  that  they  are  not  for
sale  until  they  have  been  brought  into  conformity  by  the
manufacturer  or  his  authorised  representative  established
in  the  Community.  During  demonstrations,  adequate
safety measures shall be taken to ensure the protection of
persons.

(1) Council  Directive  74/150/EEC  of  4  March  1974  on  the
approximation  of  the  laws  of  the  Member  States  relating  to
the type-approval of wheeled agricultural or forestry tractors
(OJ  L  84,  28.3.1974,  p.  10).  Directive  as  last  amended  by
Decision  95/1/EC,  Euratom,  ECSC  (OJ  L  1.1.1995,  p.  1).

(2) Council  Directive  73/23/EEC  of  19  February  1973  on  the
harmonisation  of  the  laws  of  Member  States  relating  to
electrical  equipment  designed  for  use  within  certain  voltage
limits (OJ L 77, 26.3.1973, p. 29). Directive as last amended
by  Directive  93/68/EEC  (OJ  L  220,  30.8.1993,  p.  1).

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Article  3

Machinery  and  safety  components  covered  by  this
Directive  shall  satisfy  the  essential  health  and  safety
requirements  set  out  in  Annex  I.

Article  4

1. Member States shall not prohibit, restrict or impede
the placing on the market and putting into service in their
territory  of  machinery  and  safety  components  which
comply  with  this  Directive.

2. Member States shall not prohibit, restrict or impede
the  placing  on  the  market  of  machinery  where  the
manufacturer  or  his  authorised  representative  established
in the Community declares in accordance with point B of
Annex  II  that  it  is  intended  to  be  incorporated  into
machinery  or  assembled  with  other  machinery 
to
constitute  machinery  covered  by  this  Directive,  except
where  it  can  function  independently.

‘Interchangeable  equipment’,  as  referred  to  in  the  third
indent  of  Article  1(2)(a),  must  in  all  cases  bear  the  CE
marking  and  be  accompanied  by  the  EC  declaration  of
conformity  referred  to  in  Annex  II,  point  A.

3. Member States may not prohibit, restrict or impede
the  placing  on  the  market  of  safety  components  as
defined in Article 1(2) where they are accompanied by an
EC  declaration  of  conformity  by  the  manufacturer  or  his
authorised  representative  established  in  the  Community
as  referred  to  in  Annex  II,  point  C.

Article  5

1. Member  States  shall  regard  the  following  as
conforming  to  all  the  provisions  of  this  Directive,
including  the  procedures  for  checking  the  conformity
provided  for  in  Chapter  II:

— machinery  bearing  the  CE  marking  and  accompanied
by  the  EC  declaration  of  conformity  referred  to  in
Annex  II,  point  A,

— safety 

components 

the  EC
declaration  of  conformity  referred  to  in  Annex  II,
point  C.

accompanied  by 

In  the  absence  of  harmonised  standards,  Member  States
shall  take  any  steps  they  deem  necessary  to  bring  to  the
attention  of  the  parties  concerned  the  existing  national
technical standards and specifications which are regarded
as important or relevant to the proper implementation of
the  essential  safety  and  health  requirements  in  Annex  I.

standard 

transposing 

a  national 

a
2. Where 
harmonised  standard,  the  reference  for  which  has  been
published 
in  the  Official  Journal  of  the  European
Communities,  covers  one  or  more  of  the  essential  safety
requirements,  machinery 
components
constructed  in  accordance  with  this  standard  shall  be
presumed 
relevant  essential
requirements.

to  comply  with 

safety 

the 

or 

Member  States  shall  publish  the  references  of  national
standards  transposing  harmonised  standards.

3. Member  States  shall  ensure 
that  appropriate
measures  are  taken  to  enable  the  social  partners  to  have
an influence at national level on the process of preparing
and  monitoring  the  harmonised  standards.

Article  6

the  Commission
1. Where  a  Member  State  or 
considers  that  the  harmonised  standards  referred  to  in
Article  5(2)  do  not  entirely  satisfy 
the  essential
requirements  referred  to  in  Article  3,  the  Commission  or
the Member State concerned shall bring the matter before
the committee set up under Directive 83/189/EEC, giving
the  reasons  therefor.  The  committee  shall  deliver  an
opinion  without  delay.

Upon receipt of the committee’s opinion, the Commission
shall  inform  the  Member  States  whether  or  not  it  is
necessary 
the
published  information  referred  to  in  Article  5(2).

those  standards 

to  withdraw 

from 

2.
A  standing  committee  shall  be  set  up,  consisting  of
representatives  appointed  by  the  Member  States  and
chaired  by  a  representative  of  the  Commission.

The  standing  committee  shall  draw  up  its  own  rules  of
procedure.

Any  matter  relating  to  the  implementation  and  practical
application  of  this  Directive  may  be  brought  before  the
standing  committee,  in  accordance  with  the  following
procedure:

The representative of the Commission shall submit to the
committee  a  draft  of  the  measures  to  be  taken.  The
committee  shall  deliver  its  opinion  on  the  draft,  within  a
time  limit  which  the  chairman  may  lay  down  according
to  the  urgency  of  the  matter,  if  necessary  by  taking  a
vote.

The opinion shall be recorded in the minutes; in addition,
each Member State shall have the right to ask to have its
position  recorded  in  the  minutes.

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The  Commission  shall  take  the  utmost  account  of  the
opinion  delivered  by  the  committee.  It  shall  inform  the
committee  of  the  manner  in  which  its  opinion  has  been
taken  into  account.

the  competent  Member  State  shall  take  appropriate
action  against  whom  so  ever  has  affixed  the  marking  or
drawn  up  the  declaration  and  shall  so  inform  the
Commission  and  other  Member  States.

Article  7

The  Commission  shall  ensure  that  Member  States
4.
are  kept  informed  of  the  progress  and  outcome  of  this
procedure.

1. Where  a  Member  State  ascertains  that:

— machinery  bearing  the  CE  marking,  or

CHAPTER  II

— safety 

components 

accompanied  by 

the  EC

declaration  of  conformity,

CONFORMITY  ASSESSMENT  PROCEDURES

the 

used in accordance with their intended purpose are liable
to  endanger 
safety  of  persons,  and,  where
appropriate,  domestic  animals  or  property,  it  shall  take
all  appropriate  measures  to  withdraw  such  machinery  or
safety  components  from  the  market,  to  prohibit  the
placing on the market, putting into service or use thereof,
or  to  restrict  free  movement  thereof.

Member States shall immediately inform the Commission
of any such measure, indicating the reason for its decision
and,  in  particular,  whether  non-conformity  is  due  to:

Article  8

1.
The  manufacturer  or  his  authorised  representative
established  in  the  Community  must,  in  order  to  certify
that  machinery  and  safety  components  are  in  conformity
with  this  Directive,  draw  up  for  all  machinery  or  safety
components  manufactured  an  EC  declaration  of
conformity  based  on  the  model  given  in  Annex  II,
point  A  or  C  as  appropriate.

(a)

failure  to  satisfy  the  essential  requirements  referred
to  in  Article  3;

In addition, for machinery alone, the manufacturer or his
authorised  representatives  established  in  the  Community
must  affix  to  the  machine  the  CE  marking.

(b)

incorrect  application  of  the  standards  referred  to  in
Article  5(2);

(c)

shortcomings  in  the  standards  themselves  referred  to
in  Article  5(2).

The  Commission  shall  enter  into  consultation  with
2.
the  parties  concerned  without  delay.  Where 
the
Commission  considers,  after  this  consultation,  that  the
measure  is  justified,  it  shall  immediately  so  inform  the
Member  State  which  took  the  initiative  and  the  other
Member  States.  Where  the  Commission  considers,  after
this  consultation,  that  the  action  is  unjustified,  it  shall
immediately  so  inform  the  Member  State  which  took  the
initiative  and 
the  manufacturer  or  his  authorised
representative  established  within  the  Community.  Where
the  decision  referred  to  in  paragraph  1  is  based  on  a
shortcoming  in  the  standards,  and  where  the  Member
State  at  the  origin  of  the  decision  maintains  its  position,
the  Commission  shall  immediately  inform  the  committee
in  order  to 
in
Article  6(1).

initiate  the  procedures  referred  to 

3. Where:

— machinery  which  does  not  comply  bears  the  CE

marking,

Before  placing  on  the  market,  the  manufacturer,  or
the
authorised 

representative 

established 

in 

2.
his 
Community,  shall:

(a)

if the machinery is not referred to in Annex IV, draw
up  the  file  provided  for  in  Annex  V;

(b)

if  the  machinery  is  referred  to  in  Annex  IV  and  its
manufacturer  does  not  comply,  or  only  partly
complies,  with 
in
Article 5(2) or if there are no such standards, submit
an  example  of 
the  EC
for 
type-examination  referred  to  in  Annex  VI;

the  machinery 

standards 

referred 

the 

to 

(c)

if  the  machinery  is  referred  to  in  Annex  IV  and  is
manufactured 
in  accordance  with  the  standards
referred  to  in  Article  5(2):

— either  draw  up  the  file  referred  to  in  Annex  VI
and  forward  it  to  a  notified  body,  which  will
acknowledge  receipt  of  the  file  as  soon  as
possible  and  keep  it,

— submit  the  file  referred  to  in  Annex  VI  to  the
notified  body,  which  will  simply  verify  that  the
standards  referred  to  in  Article  5(2)  have  been
correctly applied and will draw up a certificate of
adequacy  for  the  file,

— a  safety  component  which  does  not  comply 
accompanied  by  an  EC  declaration  of  conformity,

is

— or  submit  the  example  of  the  machinery  for  the
EC  type-examination  referred  to  in  Annex  VI.

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3. Where  the  first  indent  of  paragraph  2(c)  of  this
Article  applies,  the  provisions  of  the  first  sentence  of
paragraphs  5  and  7  of  Annex  VI  shall  also  apply.

Where the second indent of paragraph 2(c) of this Article
applies,  the  provisions  of  paragraphs  5,  6  and  7  of
Annex  VI  shall  also  apply.

4. Where  paragraph  2(a)  and  the  first  and  second
indents  of  paragraph  2(c)  apply,  the  EC  declaration  of
conformity shall solely state conformity with the essential
requirements  of  the  Directive.

indent  of
Where  paragraph  2(b)  and 
paragraph  2(c)  apply,  the  EC  declaration  of  conformity
shall  state  conformity  with  the  example  that  underwent
EC  type-examination.

third 

the 

shall  be 

Safety  components 

5.
the
certification procedures applicable to machinery pursuant
to  paragraphs  2,  3  and  4.  Furthermore,  during  EC
type-examination,  the  notified  body  shall  verify  the
suitability of the safety component for fulfilling the safety
functions  declared  by  the  manufacturer.

subject 

to 

6. (a) Where 

is 

subject 

the  machinery 

to  other
Directives  concerning  other  aspects  and  which
also  provide  for  the  affixing  of  the  CE  marking,
the latter shall indicate that the machinery is also
presumed  to  conform  to  the  provisions  of  those
other  Directives.

The obligations referred to in paragraph 7 shall not
8.
apply to persons who assemble with a machine or tractor
interchangeable  equipment  as  provided  for  in  Article  1,
provided  that  the  parts  are  compatible  and  each  of  the
constituent  parts  of  the  assembled  machine  bears  the  CE
marking  and  is  accompanied  by  the  EC  declaration  of
conformity.

Article  9

1. Member States shall notify the Commission and the
other  Member  States  of  the  approved  bodies  which  they
have appointed to carry out the procedures referred to in
Article  8  together  with  the  specific  tasks  which  these
bodies  have  been  appointed  to  carry  out  and  the
identification  numbers  assigned  to  them  beforehand  by
the  Commission.

The  Commission  shall  publish  in  the  Official  Journal  of
the  European  Communities  a  list  of  the  notified  bodies
and  their  identification  numbers  and  the  tasks  for  which
they  have  been  notified.  The  Commission  shall  ensure
that  this  list  is  kept  up  to  date.

2. Member States shall apply the criteria laid down in
Annex VII in assessing the bodies to be indicated in such
notification.  Bodies  meeting  the  assessment  criteria  laid
down  in  the  relevant  harmonised  standards  shall  be
presumed  to  fulfil  those  criteria.

A  Member  State  which  has  approved  a  body  must
3.
withdraw  its  notification  if  it  finds  that  the  body  no
longer meets the criteria referred to in Annex VII. It shall
immediately 
inform  the  Commission  and  the  other
Member  States  accordingly.

(b) However,  where  one  or  more  of  those  Directives
allow  the  manufacturer,  during  a  transitional
period,  to  choose  which  arrangements  to  apply,
the  CE  marking  shall  indicate  conformity  only  to
the Directives applied by the manufacturer. In this
case,  particulars  of  the  Directives  applied,  as
published in the Official Journal of the European
Communities,  must  be  given  in  the  documents,
notices  or  instructions  required  by  the  directives
and  accompanying  such  machinery.

7. Where  neither  the  manufacturer  nor  his  authorised
representative  established  in  the  Community  fulfils  the
obligations  of  paragraphs  1  to  6,  these  obligations  shall
fall  to  any  person  placing  the  machinery  or  safety
component  on  the  market  in  the  Community.  The  same
to  any  person  assembling
obligations  shall  apply 
machinery  or  parts  thereof  or  safety  components  of
various  origins  or  constructing  machinery  or  safety
components  for  his  own  use.

CHAPTER  III

CE  MARKING

Article  10

1.
The  CE  conformity  marking  shall  consist  of  the
initials  ‘CE’.  The  form  of  the  marking  to  be  used  is
shown  in  Annex  III.

2.
The  CE  marking  shall  be  affixed  to  machinery
distinctly  and  visibly  in  accordance  with  point  1.7.3  of
Annex  I.

3.
The  affixing  of  markings  on  the  machinery  which
are  likely  to  deceive  third  parties  as  to  the  meaning  and
form  of  the  CE  marking  shall  be  prohibited.  Any  other
marking  may  be  affixed  to  the  machinery  provided  that
the  visibility  and  legibility  of  the  CE  marking  is  not
thereby  reduced.

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4. Without  prejudice  to  Article  7:

Article  13

(a) where  a  Member  State  establishes  that  the  CE
marking  has  been  affixed  unduly,  the  manufacturer
or  his  authorised  representative  established  within
the Community shall be obliged to make the product
conform as regards the provisions concerning the CE
marking  and  to  end  the  infringement  under  the
conditions  imposed  by  the  Member  State;

(b) where  non-conformity  continues,  the  Member  State
must  take  all  appropriate  measures  to  restrict  or
prohibit  the  placing  on  the  market  of  the  product  in
question  or  to  ensure  that  it  is  withdrawn  from  the
market  in  accordance  with  the  procedure  laid  down
in  Article  7.

CHAPTER  IV

FINAL  PROVISIONS

Article  11

Any  decision  taken  pursuant  to  this  Directive  which
restricts  the  placing  on  the  market  and  putting  into
service of machinery or a safety component shall state the
exact grounds on which it is based. Such a decision shall
be  notified  as  soon  as  possible  to  the  party  concerned,
who  shall  at  the  same  time  be  informed  of  the  legal
remedies  available  to  him  under  the  laws  in  force  in  the
Member  State  concerned  and  of  the  time  limits  to  which
such  remedies  are  subject.

States 

1. Member 
the
shall 
Commission  the  texts  of  the  provisions  of  national  law
which 
this
the 
Directive.

field  governed  by 

communicate 

they  adopt 

to 

in 

2.
The  Commission  shall,  before  1  January  1994,
examine  the  progress  made  in  the  standardisation  work
relating  to  this  Directive  and  propose  any  appropriate
measures.

Article  14

The  Directives  listed  in  Annex  VIII,  Part  A,  are
1.
hereby  repealed,  without  prejudice  to  the  obligations  of
the  Member  States  concerning 
for
transposition and application of the said Directives, as set
out  in  Annex  VIII,  Part  B.

the  deadlines 

2.
References  to  the  repealed  Directives  shall  be
construed  as  references  to  this  Directive  and  be  read  in
accordance  with 
in
the  correlation 
Annex  IX.

table  set  out 

Article  15

This  Directive  shall  enter  into  force  on  the  20th  day
following that of its publication in the Official Journal of
the  European  Communities.

Article  16

This  Directive  is  addressed  to  the  Member  States.

Article  12

Done  at  Luxembourg,  22  June  1998.

The  Commission  will  take  the  necessary  steps  to  have
information  on  all  the  relevant  decisions  relating  to  the
management  of  this  Directive  made  available.

For  the  European  Parliament

For  the  Council

The  President

The  President

J.  M.  GIL-ROBLES

J.  CUNNINGHAM

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ANNEX  I

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

For  the  purposes  of  this  Annex  ‘machinery’  means  either  ‘machinery’  or  ‘safety  component’  as  defined  in
Article  1(2). 

PRELIMINARY  OBSERVATIONS

1. The  obligations  laid  down  by  the  essential  health  and  safety  requirements  apply  only  when  the
corresponding hazard exists for the machinery in question when it is used under the conditions foreseen
by  the  manufacturer.  In  any  event,  requirements  1.1.2,  1.7.3  and  1.7.4  apply  to  all  machinery  covered
by  this  Directive.

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

3. The  essential  health  and  safety  requirements  have  been  grouped  according  to  the  hazards  which  they

cover.

Machinery  presents  a  series  of  hazards  which  may  be  indicated  under  more  than  one  heading  in  this
Annex.

The  manufacturer  is  under  an  obligation  to  assess  the  hazards  in  order  to  identify  all  of  those  which
apply  to  his  machine;  he  must  then  design  and  construct  it  taking  account  of  his  assessment.

1.

ESSENTIAL  HEALTH  AND  SAFETY  REQUIREMENTS

1.1.

General remarks

1.1.1. Definitions

For  the  purpose  of  this  Directive:

1.

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

2.

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

3.

‘operator’  means  the  person  or  persons  given  the  task  of  installing,  operating,  adjusting,
maintaining,  cleaning,  repairing  or  transporting  machinery.

1.2.2.

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.

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(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.

1.1.3. Materials  and  products

The  materials  used  to  construct  machinery  or  products  used  and  created  during  its  use  must  not
endanger  exposed  persons’  safety  or  health.

In  particular,  where  fluids  are  used,  machinery  must  be  designed  and  constructed  for  use  without
risks  due  to  filling,  use,  recovery  or  draining.

1.1.4.

Lighting

The  manufacturer  must  supply  integral  lighting  suitable  for  the  operations  concerned  where  its
lack  is  likely  to  cause  a  risk  despite  ambient  lighting  of  normal  intensity.

The manufacturer must ensure 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  due  to  the  lighting
provided  by  the  manufacturer.

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

1.1.5. Design  of  machinery  to  facilitate  its  handling

Machinery  or  each  component  part  thereof  must:

— be  capable  of  being  handled  safely,

— be  packaged  or  designed  so  that  it  can  be  stored  safely  and  without  damage  (e.g.  adequate

stability,  special  supports,  etc.).

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  (e.g.  threaded  holes),  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  movable,  or

— be  equipped  for  picking  up  (e.g.  hand-grips,  etc.)  and  moving  in  complete  safety.

Special  arrangements  must  be  made  for  the  handling  of  tools  and/or  machinery  parts,  even  if
lightweight,  which  could  be  dangerous  (shape,  material,  etc.).

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1.2.

Controls

1.2.1.

Safety  and  reliability  of  control  systems

Control systems must be designed and constructed so that they are safe and reliable, in a way that
will  prevent  a  dangerous  situation  arising.  Above  all  they  must  be  designed  and  constructed  in
such  a  way  that:

— they  can  withstand  the  rigours  of  normal  use  and  external  factors,

— errors  in  logic  do  not  lead  to  dangerous  situations.

1.2.2.

Control  devices

Control  devices  must  be:

— clearly  visible  and  identifiable  and  appropriately  marked  where  necessary,

— positioned  for  safe  operation  without  hesitation  or  loss  of  time,  and  without  ambiguity,

— designed  so  that  the  movement  of  the  control  is  consistent  with  its  effect,

— located  outside  the  danger  zones,  except  for  certain  controls  where  necessary,  such  as

emergency  stop,  console  for  training  of  robots,

— positioned  so  that  their  operation  cannot  cause  additional  risk,

— designed or protected so that the desired effect, where a risk is involved, cannot occur without

an  intentional  operation,

— made so as to withstand foreseeable strain; particular attention must be paid to emergency stop

devices  liable  to  be  subjected  to  considerable  strain.

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

Controls  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.  Constraints  due  to  the
necessary or foreseeable use of personal protection equipment (such as footwear, gloves, etc.) must
be  taken  into  account.

Machinery  must  be  fitted  with  indicators  (dials,  signals,  etc.)  as  required  for  safe  operation.  The
operator  must  be  able  to  read  them  from  the  control  position.

From  the  main  control  position  the  operator  must  be  able  to  ensure  that  there  are  no  exposed
persons  in  the  danger  zones.

If this is impossible, the control system must be designed and constructed so that an acoustic and/
or  visual  warning  signal  is  given  whenever  the  machinery  is  about  to  start.  The  exposed  person
must  have  the  time  and  the  means  to  take  rapid  action  to  prevent  the  machinery  starting  up.

1.2.3.

Starting

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

The  same  requirement  applies:

— when  restarting  the  machinery  after  a  stop-page,  whatever  the  cause,

— when  effecting  a  significant  change  in  the  operating  conditions  (e.g.  speed,  pressure,  etc.),

unless  such  restarting  or  change  in  operating  conditions  is  without  risk  to  exposed  persons.

This  essential  requirement  does  not  apply  to  the  restarting  of  the  machinery  or  to  the  change  in
operating  conditions  resulting  from  the  normal  sequence  of  an  automatic  cycle.

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Where  machinery  has  several  starting  controls  and  the  operators  can  therefore  put  each  other  in
danger, additional devices (e.g. enabling devices or selectors allowing only one part of the starting
meachanism  to  be  actuated  at  any  one  time)  must  be  fitted  to  rule  out  such  risks.

It must be possible for automated plant functioning in automatic mode to be restarted easily after
a  stoppage  once  the  safety  conditions  have  been  fulfilled.

1.2.4.

Stopping  device

N o r m a l   s t o p p i n g

Each  machine  must  be  fitted  with  a  control  whereby  the  machine  can  be  brought  safely  to  a
complete  stop.

Each  workstation  must  be  fitted  with  a  control  to  stop  some  or  all  of  the  moving  parts  of  the
machinery,  depending  on  the  type  of  hazard,  so  that  the  machinery  is  rendered  safe.  The
machinery’s  stop  control  must  have  priority  over  the  start  controls.

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

E m e r g e n c y   s t o p

Each  machine  must  be  fitted  with  one  or  more  emergency  stop  devices  to  enable  actual  or
impending  danger  to  be  averted.  The  following  exceptions  apply:

— machines 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,

— hand-held  portable  machines  and  hand-guided  machines.

This  device  must:

— have  clearly  identifiable,  clearly  visible  and  quickly  accessible  controls,

— stop  the  dangerous  process  as  quickly  as  possible,  without  creating  additional  hazards,

— where  necessary,  trigger  or  permit  the  triggering  of  certain  safeguard  movements.

Once  active  operation  of  the  emergency  stop  control  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.

C o m p l e x   i n s t a l l a t i o n s

In the case of machinery or parts of machinery designed to work together, the manufacturer must
so  design  and  construct  the  machinery  that  the  stop  controls,  including  the  emergency  stop,  can
stop  not  only  the  machinery  itself  but  also  all  equipment  upstream  and/or  downstream  if  its
continued  operation  can  be  dangerous.

1.2.5. Mode  selection

The  control  mode  selected  must  override  all  other  control  systems  with  the  exception  of  the
emergency  stop.

If machinery has been designed and built to allow for its use in several control or operating modes
presenting  different  safety  levels  (e.g.  to  allow  for  adjustment,  maintenance,  inspection,  etc.),  it
must  be  fitted  with  a  mode  selector  which  can  be  locked  in  each  position.  Each  position  of  the
selector  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  (e.g.  access  codes  for  certain
numerically  controlled  functions,  etc.).

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If,  for  certain  operations,  the  machinery  must  be  able  to  operate  with  its  protection  devices
neutralised,  the  mode  selector  must  simultaneously:

— disable  the  automatic  control  mode,

— permit  movements  only  by  controls  requiring  sustained  action,

— permit  the  operation  of  dangerous  moving  parts  only  in  enhanced  safety  conditions  (e.g.
reduced  speed,  reduced  power,  step-by-step,  or  other  adequate  provision)  while  preventing
hazards  from  linked  sequences,

— prevent  any  movement  liable  to  pose  a  danger  by  acting  voluntarily  or  involuntarily  on  the

machine’s  internal  sensors.

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

1.2.6.

Failure  of  the  power  supply

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

In  particular:

— the  machinery  must  not  start  unexpectedly,

— 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  protection  devices  must  remain  fully  effective.

1.2.7.

Failure  of  the  control  circuit

A fault in the control circuit logic, or failure of or damage to the control circuit must not lead to
dangerous  situations.

In  particular:

— the  machinery  must  not  start  unexpectedly,

— 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  protection  devices  must  remain  fully  effective.

1.2.8.

Software

Interactive software between the operator and the command or control system of a machine must
be  user-friendly.

1.3.

Protection  against  mechanical  hazards

1.3.1.

Stability

Machinery,  components  and  fittings  thereof  must  be  so  designed  and  constructed  that  they  are
stable enough, under the foreseen operating conditions (if necessary taking climatic conditions into
account)  for  use  without  risk  of  overturning,  falling  or  unexpected  movement.

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.

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  as  foreseen  by  the  manufacturer.

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The durability of the materials used must be adequate for the nature of the work place foreseen by
the  manufacturer,  in  particular  as  regards  the  phenomena  of  fatigue,  ageing,  corrosion  and
abrasion.

The  manufacturer  must  indicate  in  the  instructions  the  type  and  frequency  of  inspection  and
maintenance required for safety reasons. He 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 (e.g. as with grinding
wheels)  the  moving  parts  must  be  mounted  and  positioned  in  such  a  way  that  in  case  of  rupture
their  fragments  will  be  contained.

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
against  all  manner  of  external  stresses  and  strains;  precautions  must  be  taken  to  ensure  that  no
risk  is  posed  by  a  rupture  (sudden  movement,  high-pressure  jets,  etc.).

Where the material to be processed is fed to the tool automatically, the following conditions must
be  fulfilled  to  avoid  risks  to  the  persons  exposed  (e.g.  tool  breakage):

— when  the  workpiece  comes  into  contact  with  the  tool  the  latter  must  have  attained  its  normal

working  conditions,

— when the tool starts and/or stops (intentionally or accidentally) the feed movement and the tool

movement  must  be  coordinated.

1.3.3.

Risks  due  to  falling  or  ejected  objects

Precautions  must  be  taken  to  prevent  risks  from  falling  or  ejected  objects  (e.g.  workpieces,  tools,
cuttings,  fragments,  waste,  etc.).

1.3.4.

Risks  due  to  surfaces,  edges  or  angles

In so far 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.

1.3.5.

Risks  related  to  combined  machinery

Where the machinery is intended to carry out several different operations with the 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  danger  or  risk  for  the  exposed  person.

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

1.3.6.

Risks  relating  to  variations  in  the  rotational  speed  of  tools

When  the  machine  is  designed  to  perform  operations  under  different  conditioins  of  use  (e.g.
different speeds or energy supply), it must be designed and constructed in such a way that selection
and  adjustment  of  these  conditions  can  be  carried  out  safely  and  reliably.

1.3.7.

Prevention  of  risks  related  to  moving  parts

The  moving  parts  of  machinery  must  be  designed,  built  and  laid  out  to  avoid  hazards  or,  where
hazards  persist,  fixed  with  guards  or  protective  devices  in  such  a  way  as  to  prevent  all  risk  of
contact  which  could  lead  to  accidents.

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,  specific
protection devices or tools, the instruction handbook and possibly a sign on the machinery should
be  provided  by  the  manufacturer  to  enable  the  equipment  to  be  safely  unblocked.

1.3.8.

Choice  of  protection  against  risks  related  to  moving  parts

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

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A. M o v i n g   t r a n s m i s s i o n   p a r t s

Guards  designed  to  protect  exposed  persons  against  the  risks  associated  with  moving
transmission  parts  (such  as  pulleys,  belts,  gears,  rack  and  pinions,  shafts,  etc.)  must  be:

— either  fixed,  complying  with  requirements  1.4.1  and  1.4.2.1,  or

— movable,  complying  with  requirements  1.4.1  and  1.4.2.2.A.

Movable  guards  should  be  used  where  frequent  access  is  foreseen.

B. M o v i n g   p a r t s   d i r e c t l y   i n v o l v e d   i n   t h e   p r o c e s s

Guards  or  protection  devices  designed  to  protect  exposed  persons  against  the  risks  associated
with  moving  parts  contributing  to  the  work  (such  as  cutting  tools,  moving  parts  of  presses,
cylinders,  parts  in  the  process  of  being  machined,  etc.)  must  be:

— wherever  possible  fixed  guards  complying  with  requirements  1.4.1  and  1.4.2.1,

— otherwise, movable guards complying with requirements 1.4.1 and 1.4.2.2.B or protection
devices  such  as  sensing  devices  (e.g.  non-material  barriers,  sensor  mats),  remote-hold
protection devices (e.g. two-hand controls), or protection devices intended automatically to
prevent  all  or  part  of  the  operator’s  body  from  encroaching  on  the  danger  zone  in
accordance  with  requirements  1.4.1  and  1.4.3.

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

— fixed  guards,  complying  with  requirements  1.4.1  and  1.4.2.1  preventing  access  to  those

sections  of  the  parts  that  are  not  used  in  the  work,

— adjustable  guards,  complying  with  requirements  1.4.1  and  1.4.2.3  restricting  access  to

those  sections  of  the  moving  parts  that  are  strictly  for  the  work.

1.4.

Required  characteristics  of  guards  and  protection  devices

1.4.1. General  requirements

Guards  and  protection  devices  must:

— be  of  robust  construction,

— not  give  rise  to  any  additional  risk,

— 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,

— enable essential work to be carried out on installation and/or replacement of tools and also for
maintenance  by  restricting  access  only  to  the  area  where  the  work  has  to  be  done,  if  possible
without  the  guard  or  protection  device  having  to  be  dismantled.

1.4.2.

Special  requirements  for  guards

1.4.2.1. F i x e d   g u a r d s

Fixed  guards  must  be  securely  held  in  place.

They  must  be  fixed  by  systems  that  can  be  opened  only  with  tools.

Where  possible,  guards  must  be  unable  to  remain  in  place  without  their  fixings.

1.4.2.2. M o v a b l e   g u a r d s

A. Type  A  movable  guards  must:

— as  far  as  possible  remain  fixed  to  the  machinery  when  open,

— be  associated  with  a  locking  device  to  prevent  moving  parts  starting  up  as  long  as  these
parts  can  be  accessed  and  to  give  a  stop  command  whenever  they  are  no  longer  closed.

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B. Type  B  movable  guards  must  be  designed  and  incorporated  into  the  control  system  so  that:

— moving  parts  cannot  start  up  while  they  are  within  the  operator’s  reach,

— the  exposed  person  cannot  reach  moving  parts  once  they  have  started  up,

— they can be adjusted only by means of an intentional action, such as the use of a tool, key,

etc.,

— the  absence  or  failure  of  one  of  their  components  prevents  starting  or  stops  the  moving

parts,

— protection  against  any  risk  of  ejection  is  proved  by  means  of  an  appropriate  barrier.

1.4.2.3. A d j u s t a b l e   g u a r d s   r e s t r i c t i n g   a c c e s s

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

— be  adjustable  manually  or  automatically  according  to  the  type  of  work  involved,

— be  readily  adjustable  without  the  use  of  tools,

— reduce  as  far  as  possible  the  risk  of  ejection.

1.4.3.

Special  requirements  for  protection  devices

Protection  devices  must  be  designed  and  incorporated  into  the  control  system  so  that:

— moving  parts  cannot  start  up  while  they  are  within  the  operator’s  reach,

— the  exposed  person  cannot  reach  moving  parts  once  they  have  started  up,

— they  can  be  adjusted  only  by  means  of  an  intentional  action,  such  as  the  use  of  a  tool,  key,

etc.,

— the  absence  or  failure  of  one  of  their  components  prevents  starting  or  stops  the  moving

parts.

1.5.

Protection  against  other  hazards

1.5.1.

Electricity supply

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

The  specific  rules  in  force  relating  to  electrical  equipment  designed  for  use  within  certain  voltage
limits  must  apply  to  machinery  which  is  subject  to  those  limits.

1.5.2.

Static electricity

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

1.5.3.

Energy  supply  other  than  electricity

Where  machinery  is  powered  by  an  energy  other  than  electricity  (e.g.  hydraulic,  pneumatic  or
thermal  energy,  etc.),  it  must  be  so  designed,  constructed  and  equipped  as  to  avoid  all  potential
hazards  associated  with  these  types  of  energy.

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 of such parts or, failing this, by information given on the
parts themselves and/or the housings. The same information must be given on moving parts and/or
their  housings  where  the  direction  of  movement  must  be  known  to  avoid  a  risk.  Any  further
information  that  may  be  necessary  must  be  given  in  the  instructions.

Where  a  faulty  connection  can  be  the  source  of  risk,  incorrect  fluid  connections,  including
electrical conductors, must be made impossible by the design or, failing this, by information given
on  the  pipes,  cables,  etc.  and/or  connector  blocks.

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1.5.5.

Extreme  temperatures

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

The  risk  of  hot  or  very  cold  material  being  ejected  should  be  assessed.  Where  this  risk  exists,  the
necessary  steps  must  be  taken  to  prevent  it  or,  if  this  is  not  technically  possible,  to  render  it
non-dangerous.

1.5.6.

Fire

Machinery must be designed and constructed to avoid all 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.

1.5.7.

Explosion

Machinery  must  be  designed  and  constructed  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.

To  that  end  the  manufacturer  must  take  steps  to:

— avoid  a  dangerous  concentration  of  products,

— prevent  combustion  of  the  potentially  explosive  atmosphere,

— minimise  any  explosion  which  may  occur  so  that  it  does  not  endanger  the  surroundings.

The  same  precautions  must  be  taken  if  the  manufacturer  foresees  the  use  of  the  machinery  in  a
potentially  explosive  atmosphere.

Electrical  equipment  forming  part  of  the  machinery  must  conform,  as  far  as  the  risk  from
explosion  is  concerned,  to  the  provision  of  the  specific  Directives  in  force.

1.5.8. Noise

Machinery must be so designed and constructed 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.

1.5.9.

Vibration

Machinery  must  be  so  designed  and  constructed  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.

1.5.10. Radiation

Machinery  must  be  so  designed  and  constructed  that  any  emission  of  radiation  is  limited  to  the
extent  necessary  for  its  operation  and  that  the  effects  on  exposed  persons  are  non-existent  or
reduced  to  non-dangerous  proportions.

1.5.11. External  radiation

Machinery must be so designed and constructed that external radiation does not interfere with its
operation.

1.5.12. Laser  equipment

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

— laser  equipment  on  machinery  must  be  designed  and  constructed  so  as  to  prevent  any

accidental radiation,

— laser equipment on machinery must be protected so 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  the  laser  rays.

1.5.13. Emissions  of  dust,  gases,  etc.

Machinery must be so designed, constructed and/or equipped that risks due to gases, liquids, dust,
vapours  and  other  waste  materials  which  it  produces  can  be  avoided.

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Where  a  hazard  exists,  the  machinery  must  be  so  equipped  that  the  said  substances  can  be
contained  and/or  evacuated.

Where  machinery  is  not  enclosed  during  normal  operation,  the  devices  for  containment  and/or
evacuation  must  be  situated  as  close  as  possible  to  the  source  emission.

1.5.14. Risk  of  being  trapped  in  a  machine

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

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  to  prevent  persons  slipping,  tripping  or  falling  on  or  off  these  parts.

1.6.

Maintenance

1.6.1. Machinery maintenance

Adjustment, lubrication 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,  these  operations
must  be  possible  without  risk  (see  1.2.5).

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

Automated  machine  components  which  have  to  be  changed  frequently,  in  particular  for  a  change
in  manufacture  or  where  they  are  liable  to  wear  or  likely  to  deteriorate  following  an  accident,
must  be  capable  of  being  removed  and  replaced  easily  and  in  safety.  Access  to  the  components
must  enable  these  tasks  to  be  carried  out  with  the  necessary  technical  means  (tools,  measuring
instruments,  etc.)  in  accordance  with  an  operating  method  specified  by  the  manufacturer.

1.6.2.

Access  to  operating  position  and  servicing  points

The manufacturer must provide means of access (stairs, ladders, catwalks, etc.) to allow access in
safety  to  all  areas  used  for  production,  adjustment  and  maintenance  operations.

1.6.3.

Isolation  of  energy  sources

All 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 exposed
persons. In the case of machinery supplied with electricity through a plug capable of being plugged
into  a  circuit,  separation  of  the  plug  is  sufficient.

The  isolator  must  be  capable  of  being  locked  also  where  an  operator  is  unable,  from  any  of  the
points  to  which  he  has  access,  to  check  that  the  energy  is  still  cut  off.

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  exposed  persons.

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

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  in
safety.

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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 absolutely impossible to avoid
entering the machinery, the manufacturer must take steps during its construction to allow cleaning
to  take  place  with  the  minimum  of  danger.

1.7.

Indicators

1.7.0.

Information  devices

The  information  needed  to  control  machinery  must  be  unambiguous  and  easily  understood.

It  must  not  be  excessive  to  the  extent  of  overloading  the  operator.

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

1.7.1. Warning devices

Where  machinery  is  equipped  with  warning  devices  (such  as  signals,  etc.),  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 Directives concerning colours and safety signals must be complied
with.

1.7.2. Warning  of  residual  risks

Where risks remain despite all the measures adopted or in the case of potential risks which are not
evident  (e.g.  electrical  cabinets,  radioactive  sources,  bleeding  of  a  hydraulic  circuit,  hazard  in  an
unseen  area,  etc.),  the  manufacturer  must  provide  warnings.

Such warnings should preferably use readily understandable pictograms and/or be drawn up in one
of the languages of the country in which the machinery is to be used, accompanied, on request, by
the  languages  understood  by  the  operators.

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.

Furthermore,  where  the  manufacturer  constructs  machinery  intended  for  use  in  a  potentially
explosive  atmosphere,  this  must  be  indicated  on  the  machinery.

Machinery  must  also  bear  full  information  relevant  to  its  type  and  essential  to  its  safe  use  (e.g.
maximum  speed  of  certain  rotating  parts,  maximum  diameter  of  tools  to  be  fitted,  mass,  etc.).

Where  a  machine  part  must  be  handled  during  use  with  lifting  equipment,  its  mass  must  be
indicated  legibly,  indelibly  and  unambiguously.

The  interchangeable  equipment  referred  to  in  the  third  indent  of  Article  1(2)(a),  must  bear  the
same  information.

1.7.4.

Instructions

(a) All  machinery  must  be  accompanied  by  instructions  including  at  least  the  following:

— a repeat of the information with which the machinery is marked, except the serial number
(see  1.7.3)  together  with  any  appropriate  additional  information  to  facilitate  maintenance
(e.g.  addresses  of  the  importer,  repairers,  etc.),

— foreseen  use  of  the  machinery  within  the  meaning  of  1.1.2(c),

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— workstation(s)  likely  to  be  occupied  by  operators,

— instructions  for  safe:

— putting  into  service,

— use,

— handling,  giving  the  mass  of  the  machinery  and  its  various  parts  where  they  are

regularly  to  be  transported  separately,

— assembly, dismantling,

— adjustment,

— maintenance  (servicing  and  repair),

— where  necessary,  training  instructions,

— where  necessary,  the  essential  characteristics  of  tools  which  may  be  fitted  to  the

machinery.

Where  necessary,  the  instructions  should  draw  attention  to  ways  in  which  the  machinery
should  not  be  used.

(b) The  instructions  must  be  drawn  up  in  one  of  the  Community  languages  by  the  manufacturer
or  his  authorised  representative  established  in  the  Community.  On  being  put  into  service,  all
machinery  must  be  accompanied  by  a  translation  of  the  instructions  in  the  language  or
languages  of  the  country  in  which  the  machinery  is  to  be  used  any  by  the  instructions  in  the
original language. This translation must be done either by the manufacturer or his authorised
representative established in the Community or by the person introducing the machinery into
the  language  area  in  question.  By  way  of  derogation  from  this  requirement,  the  maintenance
instructions  for  use  by  specialised  personnel  employed  by  the  manufacturer  or  his  authorised
representative established in the Community may be drawn up in only one of the Community
languages  understood  by  that  personnel.

(c) The  instructions  must  contain  the  drawings  and  diagrams  necessary  for  putting  into  service,
maintenance,  inspection,  checking  of  correct  operation  and,  where  appropriate,  repair  of  the
machinery,  and  all  useful  instructions  in  particular  with  regard  to  safety.

(d) Any literature describing the machinery must not contradict the instructions as regards safety
aspects.  The  technical  documentation  describing  the  machinery  must  give  information
regarding  the  airborne  noise  emissions  referred  to  in  (f)  and,  in  the  case  of  hand-held  and/or
hand-guided  machinery,  information  regarding  vibration  as  referred  to  in  2.2.

(e) Where  necessary,  the  instructions  must  give  the  requirements  relating  to  installation  and
assembly  for  reducing  noise  or  vibration  (e.g.  use  of  dampers,  type  and  mass  of  foundation
block,  etc.).

(f) The  instructions  must  give  the  following  information  concerning  airborne  noise  emissions  by
the  machinery,  either  the  actual  value  or  a  value  established  on  the  basis  of  measurements
made  on  identical  machinery:

— equivalent continuous A-weighted 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,

— peak  C-weighted  instantaneous  sound  pressure  value  at  workstations,  where  this  exceeds

63  Pa  (130  dB  in  relation  to  20  µPa),

— sound  power  level  emitted  by  the  machinery  where  the  equivalent  continuous  A-weighted

sound  pressure  level  at  workstations  exceeds  85  dB(A).

In  the  case  of  very  large  machinery,  instead  of  the  sound  power  level,  the  equivalent
continuous  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.

The  manufacturer  must 
measurement  and  what  methods  have  been  used  for  the  measurement.

indicate  the  operating  conditions  of  the  machinery  during

Where  the  workstation(s)  are  undefined  or  cannot  be  defined,  sound  pressure  levels  must  be
measured  at  a  distance  of  1  metre  from  the  surface  of  the  machinery  and  at  a  height  of  1,60
metres  from  the  floor  or  access  platform.  The  position  and  value  of  the  maximum  sound
pressure  must  be  indicated.

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(g)

If  the  manufacturer  foresees  that  the  machinery  will  be  used  in  a  potentially  explosive
atmosphere,  the  instructions  must  give  all  the  necessary  information.

(h)

In  the  case  of  machinery  which  may  also  be  intended  for  use  by  non-professional  operators,
the  wording  and  layout  of  the  instructions  for  use,  whilst  respecting  the  other  essential
requirements  mentioned  above,  must  take  into  account  the  level  of  general  education  and
acumen  that  can  reasonably  be  expected  from  such  operators.

2.

ESSENTIAL  HEALTH  AND  SAFETY  REQUIREMENTS  FOR  CERTAIN
CATEGORIES  OF  MACHINERY

2.1.

Agri-foodstuffs  machinery

Where  machinery  is  intended  to  prepare  and  process  foodstuffs  (e.g.  cooking,  refrigeration,
thawing, washing, handling, packaging, storage, transport or distribution), it must be so designed
and constructed as to avoid any risk of infection, sickness or contagion and the following hygiene
rules  must  be  observed:

(a) materials  in  contact,  or  intended  to  come  into  contact,  with  the  foodstuffs  must  satisfy  the
conditions  set  down  in  the  relevant  Directives.  The  machinery  must  be  so  designed  and
constructed  that  these  materials  can  be  clean  before  each  use;

(b) all surfaces including their joinings must be smooth, and must have neither ridges nor crevices

which  could  harbour  organic  materials;

(c) assemblies  must  be  designed  in  such  a  way  as  to  reduce  projections,  edges  and  recesses  to  a
minimum.  They  should  preferably  be  made  by  welding  or  continuous  bonding.  Screws,
screwheads  and  rivets  may  not  be  used  except  where  technically  unavoidable;

(d) all  surfaces  in  contact  with  the  foodstuffs  must  be  easily  cleaned  and  disinfected,  where
possible  after  removing  easily  dismantled  parts.  The  inside  surfaces  must  have  curves  of  a
radius  sufficient  to  allow  thorough  cleaning;

(e)

liquid  deriving  from  foodstuffs  as  well  as  cleaning,  disinfecting  and  rinsing  fluids  should  be
able  to  be  discharged  from  the  machine  without  impediment  (possible  in  a  ‘clean’  position);

(f) machinery  must  be  so  designed  and  constructed  as  to  prevent  any  liquids  or  living  creatures,
in  particular  insects,  entering,  or  any  organic  matter  accumulating  in  areas  that  cannot  be
cleaned  (e.g.  for  machinery  not  mounted  on  feet  or  casters,  by  placing  a  seal  between  the
machinery  and  its  base,  by  the  use  of  sealed  units,  etc.);

(g) machinery  must  be  so  designed  and  constructed  that  no  ancillary  substances  (e.g.  lubricants,
etc.) can come into contact with foodstuffs. Where necessary, machinery must be designed and
constructed  so  that  continuing  compliance  with  this  requirement  can  be  checked.

I n s t r u c t i o n s

In  addition  to  the  information  required  in  section  1,  the  instructions  must  indicate  recommended
products and methods for cleaning, disinfecting and rinsing (not only for easily accessible areas but
also  where  areas  to  which  access  is  impossible  or  unadvisable,  such  as  piping,  have  to  be  cleaned
in  situ).

2.2.

Portable  hand-held  and/or  hand-guided  machinery

Portable  hand-held  and/or  hand-guided  machinery  must  conform  to  the  following  essential  health
and  safety  requirements:

— according  to  the  type  of  machinery,  it  must  have  a  supporting  surface  of  sufficient  size  and
have a sufficient number of handles and supports of an appropriate size and arranged to ensure
the  stability  of  the  machinery  under  the  operating  conditions  foreseen  by  the  manufacturer,

— except  where  technically  impossible  or  where  there  is  an  independent  control,  in  the  case  of
handles  which  cannot  be  released  in  complete  safety,  it  must  be  fitted  with  start  and  stop
controls  arranged  in  such  a  way  that  the  operator  can  operate  them  without  releasing  the
handles,

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— it must be designed, constructed or equipped to eliminate the 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,

— portable  hand-held  machinery  must  be  designed  and  constructed  to  allow,  where  necessary,  a

visual  check  of  the  contact  of  the  tool  with  the  material  being  processed.

I n s t r u c t i o n s

The  instructions  must  give  the  following  information  concerning  vibrations  transmitted  by
hand-held  and  hand-guided  machinery:

— the weighted root mean square acceleration value to which the arms are subjected, if it exceeds
2,5  m/s2  as  determined  by  the  appropriate  test  code.  Where  the  acceleration  does  not  exceed
2,5  m/s2,  this  must  be  mentioned.

If  there  is  no  applicable  test  code,  the  manufacturer  must  indicate  the  measurement  methods  and
conditions  under  which  measurements  were  made.

2.3.

Machinery  for  working  wood  and  analogous  materials

Machinery  for  working  wood  and  machinery  for  working  materials  with  physical  and
technological  characteristics  similar  to  those  of  wood,  such  as  cork,  bone,  hardened  rubber,
hardened  plastic  material  and  other  similar  stiff  material  must  conform  to  the  following  essential
health  and  safety  requirements:

(a)

the  machinery  must  be  designed,  constructed  or  equipped  so  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  pieces
of wood, it must be designed, constructed, or equipped to eliminate this ejection, or, if this is
not  the  case,  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  so
designed  and  constructed  as  to  eliminate  or  reduce  the  risk  of  serious  accidental  injury,  for
example  by  using  cylindrical  cutter  blocks,  restricting  depth  of  cut,  etc.

3.

ESSENTIAL  HEALTH  AND  SAFETY  REQUIREMENTS  TO  OFFSET  THE  PARTICULAR
HAZARDS  DUE  TO  THE  MOBILITY  OF  MACHINERY

Machinery  presenting  hazards  due  to  mobility  must  be  designed  and  constructed  to  meet  the
requirements  set  out  below.

Risks  due  to  mobility  always  exist  in  the  case  of  machinery  which  is  self-propelled,  towed  or
pushed  or  carried  by  other  machinery  or  tractors,  is  operated  in  working  areas  and  whose
operation  requires  either  mobility  while  working,  be  it  continuous  or  semi-continuous  movement,
between  a  succession  of  fixed  working  positions.

Risks due to mobility may also exist in the case of machinery operated without being moved, but
equipped  in  such  a  way  as  to  enable  it  to  be  moved  more  easily  from  one  place  to  another
(machinery  fitted  with  wheels,  rollers,  runners,  etc.  or  placed  on  gantries,  trolleys,  etc.).

In  order  to  verify  that  rotary  cultivators  and  power  harrows  do  not  present  unacceptable  risks  to
the  exposed  persons,  the  manufacturer  or  his  authorised  representative  established  within  the
Community  must,  for  each  type  of  machinery  concerned,  perform  the  appropriate  tests  or  have
such  tests  performed.

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3.1.

General

3.1.1. Definition

‘Driver’  means  an  operator  responsible  for  the  movement  of  machinery.  The  driver  may  be
transported by the machinery or may be on foot, accompanying the machinery, or may be guiding
the  machinery  by  remote  control  (cables,  radio,  etc.).

3.1.2.

Lighting

If intended by the manufacturer to be used in dark places, self-propelled machinery must be fitted
with  a  lighting  device  appropriate  to  the  work  to  be  carried  out,  without  prejudice  to  any  other
regulations  applicable  (road  traffic  regulations,  navigation  rules,  etc.).

3.1.3. Design  of  machinery  to  facilitate  its  handling

During  the  handling  of  the  machine  and/or  its  parts,  there  must  be  no  possibility  of  sudden
movements or of hazards due to instability as long as the machine and/or its parts are handled in
accordance  with  the  manufacturer’s  instructions.

3.2.

Work  stations

3.2.1. Driving position

The driving position must be designed with due regard to ergonomic principles. There may be two
or  more  driving  positions  and,  in  such  cases,  each  driving  position  must  be  provided  with  all  the
requisite controls. Where there is more than one driving position, the machinery must be designed
so that the use of one of them precludes the use of the others, except in emergency stops. 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  intended  conditions  of  use.  Where
necessary,  appropriate  devices  must  be  provided  to  remedy  hazards  due  to  inadequate  direct
vision.

Machinery  must  be  so  designed  and  constructed  that,  from  the  driving  position,  there  can  be  no
risk  to  the  driver  and  operators  on  board  from  inadvertent  contact  with  the  wheels  or  tracks.

The  driving  position  must  be  designed  and  constructed  so  as  to  avoid  any  health  risk  due  to
exhaust  gases  and/or  lack  of  oxygen.

The  driving  position  of  ride-on  drivers  must  be  so  designed  and  constructed  that  a  driver’s  cab
may  be  fitted  as  long  as  there  is  room.  In  that  case,  the  cab  must  incorporate  a  place  for  the
instructions  needed  for  the  driver  and/or  operators.  The  driving  position  must  be  fitted  with  an
adequate  cab  where  there  is  a  hazard  due  to  a  dangerous  environment.

Where  the  machinery  is  fitted  with  a  cab,  this  must  be  designed,  constructed  and/or  equipped  to
ensure  that  the  driver  has  good  operating  conditions  and  is  protected  against  any  hazards  that
might  exist  (for  instance:  inadequate  heating  and  ventilation,  inadequate  visibility,  excessive  noise
and vibration, falling objects, penetration by objects, rolling over, etc.). The exit must allow rapid
evacuation.  Moreover,  an  emergency  exit  must  be  provided  in  a  direction  which  is  different  from
the  usual  exit.

The  materials  used  for  the  cab  and  its  fittings  must  be  fire-resistant.

3.2.2.

Seating

The  driving  seat  of  any  machinery  must  enable  the  driver  to  maintain  a  stable  position  and  be
designed  with  due  regard  to  ergonomic  principles.

The  seat  must  be  designed  to  reduce  vibrations  transmitted  to  the  driver  to  the  lowest  level  that
can  be  reasonably  achieved.  The  seat  mountings  must  withstand  all  stresses  to  which  they  can  be
subjected,  notably  in  the  event  of  rollover.  Where  there  is  no  floor  beneath  the  driver’s  feet,  the
driver  must  have  footrests  covered  with  a  slip-resistant  material.

Where  machinery  is  fitted  with  provision  for  a  rollover  protection  structure,  the  seat  must  be
equipped  with  a  safety  belt  or  equivalent  device  which  keeps  the  driver  in  his  seat  without
restricting  any  movements  necessary  for  driving  or  any  movements  caused  by  the  suspension.

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3.2.3. Other  places

If  the  conditions  of  use  provide  that  operators  other  than  the  driver  are  occasionally  or  regularly
transported  by  the  machinery,  or  work  on  it,  appropriate  places  must  be  provided  which  enable
them  to  be  transported  or  to  work  on  it  without  risk,  particularly  the  risk  of  falling.

Where  the  working  conditions  so  permit,  these  work  places  must  be  equipped  with  seats.

Should  the  driving  position  have  to  be  fitted  with  a  cab,  the  other  places  must  also  be  protected
against  the  hazards  which  justified  the  protection  of  the  driving  position.

3.3.

Controls

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  activated  only  by  using  control  devices
located  away  from  the  driving  position.  This  refers  in  particular  to  working  positions  other  than
the  driving  position,  for  which  operators  other  than  the  driver  are  responsible  or  for  which  the
driver  has  to  leave  his  driving  position  in  order  to  carry  out  the  manoeuvre  in  safety.

Where there are pedals they must be so designed, constructed and fitted to allow operation by the
driver in safety with the minimum risk of confusion; they must have a slip-resistant surface and be
easy  to  clean.

Where  their  operation  can  lead  to  hazards,  notably  dangerous  movements,  the  machinery’s
controls, except for those with preset positions, must return to the neutral position as soon as they
are  released  by  the  operator.

In the case of wheeled machinery, the steering system must be designed and constructed to reduce
the  force  of  sudden  movements  of  the  steering  wheel  or  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.

The  last  sentence  of  section  1.2.2  does  not  apply  to  the  mobility  function.

3.3.2.

Starting/moving

Self-propelled  machinery  with  a  ride-on  driver  must  be  so  equipped  as  to  deter  unauthorised
persons  from  starting  the  engine.

Travel  movements  of  self-propelled  machinery  with  a  ride-on  driver  must  be  possible  only  if  the
driver  is  at  the  controls.

Where,  for  operating  purposes,  machinery  must  be  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 is technically and economically feasible, movement of the machinery must depend on safe
positioning  of  the  aforementioned  parts.

It  must  not  be  possible  for  movement  of  the  machinery  to  occur  while  the  engine  is  being
started.

3.3.3.

Travelling function

Without  prejudice  to  the  provisions  of  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,  loading,  speed,  ground  and  gradient  conditions  allowed
for  by  the  manufacturer  and  corresponding  to  conditions  encountered  in  normal  use.

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  to  actuate  the  main  device,  an  emergency  device  with  fully  independent  and
easily  accessible  controls  must  be  provided  for  slowing  down  and  stopping.

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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.

Remote-controlled machinery must be designed and constructed to stop automatically if the driver
loses  control.

Section  1.2.4  does  not  apply  to  the  travelling  function.

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  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 to minimise the hazards
arising  from  inadvertent  movement  of  the  machine  towards  the  driver.  In  particular:

(a) crushing;

(b)

injury  from  rotating  tools.

Also,  the  speed  of  normal  travel  of  the  machine  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
that  tool  when  the  reversing  control  is  engaged,  except  where  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.

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.

3.4.

Protection  against  mechanical  hazards

3.4.1.

Uncontrolled  movements

When  a  part  of  a  machine  has  been  stopped,  any  drift  away  from  the  stopping  position,  for
whatever reason other than action at the controls, must be such that it is not a hazard to exposed
persons.

Machinery  must  be  so  designed,  constructed  and  where  appropriate  placed  on  its  mobile  support
so as to ensure that when moved the uncontrolled oscillations of its centre of gravity do not affect
its  stability  or  exert  excessive  strain  on  its  structure.

3.4.2.

Risk  of  break-up  during  operation

Parts  of  machinery  rotating  at  high  speed  which,  despite  the  measures  taken,  may  break  up  or
disintegrate,  must  be  mounted  and  guarded  in  such  a  way  that,  in  case  of  breakage,  their
fragments  will  be  contained  or,  if  that  is  not  possible,  cannot  be  projected  towards  the  driving
and/or  operation  positions.

3.4.3.

Rollover

Where,  in  the  case  of  self-propelled  machinery  with  a  ride-on  driver  and  possibly  ride-on
operators,  there  is  a  risk  of  rolling  over,  the  machinery  must  be  designed  for  and  be  fitted  with
anchorage  points  allowing  it  to  be  equipped  with  a  rollover  protective  structure  (ROPS).

This  structure  must  be  such  that  in  case  of  rolling  over  it  affords  the  ride-on  driver  and  where
appropriate  the  ride-on  operators  an  adequate  deflection-limiting  volume  (DLV).

In  order  to  verify  that  the  structure  complies  with  the  requirement  laid  down  in  the  second
paragraph,  the  manufacturer  or  his  authorised  representative  established  within  the  Community
must,  for  each  type  of  structure  concerned,  perform  appropriate  tests  or  have  such  tests
performed.

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In  addition,  the  earth-moving  machinery  listed  below  with  a  capacity  exceeding  15  kW  must  be
fitted  with  a  rollover  protective  structure:

— crawler  loaders  or  wheel  loaders,

— backhoe  loaders,

— crawler  tractors  or  wheel  tractors,

— scrapers,  self-loading  or  not,

— graders,

— articulated  steer  dumpers.

3.4.4.

Falling objects

Where,  in  the  case  of  machinery  with  a  ride-on  driver  and  possibly  ride-on  operators,  there  is  a
risk due to falling objects or material, the machinery should be designed for, and fitted with, if its
size  allows,  anchorage  points  allowing  it  to  be  equipped  with  a  falling-object  protective  structure
(FOPS).

This structure must be such that in the case of falling objects or material, it guarantees the ride-on
operators  an  adequate  deflection-limiting  volume  (DLV).

In  order  to  verify  that  the  structure  complies  with  the  requirement  laid  down  in  the  second
paragraph,  the  manufacturer  or  his  authorised  representative  established  within  the  Community
must,  for  each  type  of  structure  concerned,  perform  appropriate  tests  or  have  such  tests
performed.

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  controls  for  that  purpose.

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  to  ensure  easy  and  safe  connection  and  disconnection,  and  to  prevent
accidental  disconnection  during  use.

In  so  far  as  the  towbar  load  requires,  such  machinery  must  be  equipped  with  a  support  with  a
bearing  surface  suited  to  the  load  and  the  ground.

3.4.7.

Transmission  of  power  between  self-propelled  machinery  (or  tractor)  and  recipient  machinery

Transmission  shafts  with  universal  joints  linking  self-propelled  machinery  (or  tractor)  to  the  first
fixed bearing of recipient machinery must be guarded on the self-propelled machinery side and the
recipient  machinery  side  over  the  whole  length  of  the  shaft  and  associated  universal  joints.

On  the  side  of  the  self-propelled  machinery  (or  tractor),  the  power  take-off  to  which  the
transmission  shaft  is  attached  must  be  guarded  either  by  a  screen  fixed  to  the  self-propelled
machinery  (or  tractor)  or  by  any  other  device  offering  equivalent  protection.

On the towed 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  machine.  The  universal-joint  transmission  shaft  must  be  marked
accordingly.

All towed machinery whose operation requires a transmission shaft to connect it to self-propelled
machinery  or  a  tractor  must  have  a  system  for  attaching  the  transmission  shaft  so  that  when  the
machinery is uncoupled the transmission shaft 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  transmission  shaft.  The  guard  must  cover  the  transmission  shaft  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.

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Manufacturers  providing  means  of  access  to  working  positions  near  to  the  universal  joint
transmission  shaft  must  ensure  that  shaft  guards  as  described  in  the  sixth  paragraph  cannot  be
used  as  steps  unless  designed  and  constructed  for  that  purpose

3.4.8. Moving  transmission  parts

By way of derogation from section 1.3.8.A, in the case of internal combustion engines, removable
guards  preventing  access  to  the  moving  parts  in  the  engine  compartment  need  not  have  locking
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  if  the  latter  is  in  a  fully  enclosed  cab  with  a  lock  to  prevent  unauthorised
access.

3.5.

Protection  against  other  hazards

3.5.1.

Batteries

The battery housing must be constructed and located and the battery installed so as to avoid as far
as possible the chance of electrolyte being ejected on to the operator in the event of rollover and/or
to  avoid  the  accumulation  of  vapours  in  places  occupied  by  operators.

Machinery must be so designed and constructed that the battery can be disconnected with the aid
of  an  easily  accessible  device  provided  for  that  purpose.

3.5.2.

Fire

Depending on the hazards anticipated by the manufacturer when in use, machinery must, where its
size  permits:

— either  allow  easily  accessible  fire  extinguishers  to  be  fitted,

— or  be  provided  with  built-in  extinguisher  systems.

3.5.3.

Emissions  of  dust,  gases,  etc.

Where  such  hazards  exist,  the  containment  equipment  provided  for  in  section  1.5.13  may  be
replaced  by  other  means,  for  example  precipitation  by  water  spraying.

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.

3.6.

Indications

3.6.1.

Signs  and  warning

Machinery must have means of signalling and/or instruction plates concerning use, adjustment and
maintenance,  wherever  necessary,  to  ensure  the  health  and  safety  of  exposed  persons.  They  must
be  chosen,  designed  and  constructed  in  such  a  way  as  to  be  clearly  visible  and  indelible.

Without  prejudice  to  the  requirements  to  be  observed  for  travelling  on  the  public  highway,
machinery  with  a  ride-on  driver  must  have  the  following  equipment:

— an  acoustic  warning  device  to  alert  exposed  persons,

— a system of light signals relevant to the intended conditions of use such as stop lamps, reversing
lamps  and  rotating  beacons.  The  latter  requirement  does  not  apply  to  machinery  intended
solely  for  underground  working  and  having  no  electrical  power.

Remote-controlled  machinery  which  under  normal  conditions  of  use  exposes  persons  to  the
hazards  of  impact  or  crushing  must  be  fitted  with  appropriate  means  to  signal  its  movements  or
with means to protect exposed persons against such hazards. 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  back  of  the  machine  is  not  directly  visible  to  the  driver.

Machinery  must  be  so  constructed  that  the  warning  and  signalling  devices  cannot  all  be  disabled
unintentionally. Where this 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.

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3.6.2. Marking

The  minimum  requirements  set  out  in  1.7.3  must  be  supplemented  by  the  following:

— nominal  power  expressed  in  kW,

— mass  in  kg  of  the  most  usual  configuration  and,  where  appropriate:

— maximum  drawbar  pull  provided  for  by  the  manufacturer  at  the  coupling  hook,  in  N,

— maximum  vertical  load  provided  for  by  the  manufacturer  on  the  coupling  hook,  in  N.

3.6.3.

Instruction  handbook

Apart from the minimum requirements set out in 1.7.4, the instruction handbook must contain the
following  information:

(a)

regarding  the  vibrations  emitted  by  the  machinery,  either  the  actual  value  or  a  figure
calculated  from  measurements  performed  on  identical  machinery:

— the  weighted  root  mean  square  acceleration  value  to  which  the  arms  are  subjected,  if  it

exceeds  2,5  m/s2,  should  it  not  exceed  2,5  m/s2,  this  must  be  mentioned,

— the  weighted  root  mean  square  acceleration  value  to  which  the  body  (feet  or  posterior)  is
subjected,  if  it  exceeds  0,5  m/s2,  should  it  not  exceed  0,5  m/s2,  this  must  be  mentioned.

Where  the  harmonised  standards  are  not  applied,  the  vibration  must  be  measured  using  the
most  appropriate  method  for  the  machinery  concerned.

The  manufacturer  must 
measurement  and  which  methods  were  used  for  taking  the  measurements;

indicate  the  operating  conditions  of  the  machinery  during

(b)

in  the  case  of  machinery  allowing  several  uses  depending  on  the  equipment  used,
manufacturers  of  basic  machinery  to  which  interchangeable  equipment  may  be  attached  and
manufacturers  of  the  interchangeable  equipment  must  provide  the  necessary  information  to
enable  the  equipment  to  be  fitted  and  used  safely.

4.

ESSENTIAL  HEALTH  AND  SAFETY  REQUIREMENTS  TO  OFFSET  THE  PARTICULAR
HAZARDS  DUE  TO  A  LIFTING  OPERATION

Machinery  presenting  hazards  due  to  lifting  operations  —  mainly  hazards  of  load  falls  and
collisions or hazards of tipping caused by a lifting operation — must be designed and constructed
to  meet  the  requirements  set  out  below.

Risks due to a lifting operation exist particularly in the case of machinery designed to move a unit
load  involving  a  change  in  level  during  the  movement.  The  load  may  consist  of  objects,  materials
or  goods.

4.1.

General remarks

4.1.1. Definitions

(a)

‘lifting  accessories’  means  components  or  equipment  not  attached  to  the  machine  and  placed
between  the  machinery  and  the  load  or  on  the  load  in  order  to  attach  it;

(b)

‘separate lifting accessories’ means accessories which help to make up or use a slinging device,
such  as  eyehooks,  shackles,  rings,  eyebolts,  etc.;

(c)

‘guided load’ means the load where the total movement is made along rigid or flexible guides,
whose  position  is  determined  by  fixed  points;

(d)

‘working  coefficient’  means  the  arithmetic  ratio  between  the  load  guaranteed  by  the
manufacturer up to which a piece of equipment, an accessory or machinery is able to hold it
and  the  maximum  working  load  marked  on  the  equipment,  accessory  or  machinery
respectively;

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‘test  coefficient’  means  the  arithmetic  ratio  between  the  load  used  to  carry  out  the  static  or
dynamic tests on a piece of equipment, an accessory or machinery and the maximum working
load  marked  on  the  piece  of  equipment,  accessory  or  machinery;

‘static test’ means the test during which the machinery or the 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  no  damage  has  occurred;

(g)

‘dynamic  test’  means  the  test  during  which  the  machinery  is  operated  in  all  its  possible
configurations at maximum working load with account being taken of the dynamic behaviour
of  the  machinery  in  order  to  check  that  the  machinery  and  safety  features  are  functioning
properly.

4.1.2.

Protection  against  mechanical  hazards

4.1.2.1. R i s k s   d u e   t o   l a c k   o f   s t a b i l i t y

Machinery  must  be  so  designed  and  constructed  that  the  stability  required  in  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  established  within  the  Community
must  use  the  appropriate  verification  methods;  in  particular,  for  self-propelled  industrial  trucks
with lift exceeding 1,80 m, the manufacturer or his authorised representative established within the
Community must, for each type of industrial truck concerned, perform a platform stability test or
similar  test,  or  have  such  tests  performed.

4.1.2.2. G u i d e   r a i l s   a n d   r a i l   t r a c k s

Machinery  must  be  provided  with  devices  which  act  on  the  guide  rails  or  tracks  to  prevent
derailment.

However, if derailment occurs despite such devices, or if there is a failure of a rail or of a running
component,  devices  must  be  provided  which  prevent  the  equipment,  component  or  load  from
falling  or  the  machine  overturning.

4.1.2.3. M e c h a n i c a l   s t r e n g t h

Machinery,  lifting  accessories  and  removable  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  by  the  manufacturer,  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  so  as  to  prevent  failure  from
fatigue  or  wear,  taking  due  account  of  their  intended  use.

The materials used must be chosen on the basis of the working environments provided for by the
manufacturer,  with  special  reference  to  corrosion,  abrasion,  impacts,  cold  brittleness  and  ageing.

The  machinery  and  the  lifting  accessories  must  be  designed  and  constructed  to  withstand  the
overload in the static tests without permanent deformation or patent defect. The calculation must
take  account  of  the  values  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.

Machinery must be designed and constructed 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.

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The  dynamic  tests  must  be  performed  on  machinery  ready  to  be  put  into  service  under  normal
conditions  of  use.  As  a  general  rule,  the  tests  will  be  performed  at  the  nominal  speeds  laid  down
by  the  manufacturer.  Should  the  control  circuit  of  the  machinery  allow  for  a  number  of
simultaneous  movements  (for  example,  rotation  and  displacement  of  the  load),  the  tests  must  be
carried  out  under  the  least  favourable  conditions,  i.e.  as  a  general  rule,  by  combining  the
movements  concerned.

4.1.2.4. P u l l e y s ,   d r u m s ,   c h a i n s   o r   r o p e s

Pulleys,  drums  and  wheels  must  have  a  diameter  commensurate  with  the  size  of  rope  or  chains
with  which  they  can  be  fitted.

Drums  and  wheels  must  be  so  designed,  constructed  and  installed  that  the  ropes  or  chains  with
which  they  are  equipped  can  wind  round  without  falling  off.

Ropes  used  directly  for  lifting  or  supporting  the  load  must  not  include  any  splicing  other  than  at
their  ends  (splicings  are  tolerated  in  installations  which  are  intended  from  their  design  to  be
modified  regularly  according  to  needs  of  use).  Complete  ropes  and  their  endings  have  a  working
coefficient chosen so as to guarantee an adequate level of safety; as a general rule, this coefficient
is  equal  to  five.

Lifting chains have a working coefficient chosen so as to guarantee an adequate level of safety; as
a  general  rule,  this  coefficient  is  equal  to  four.

In order to verify that an adequate working coefficient has been attained, the manufacturer or his
authorised representative established within the Community 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.

4.1.2.5. S e p a r a t e   l i f t i n g   a c c e s s o r i e s

Lifting accessories 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 the metallic rope/rope-end combination is chosen so as to guarantee
an adequate level of safety; this coefficient is, as a general rule, equal to five. 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 of any type is chosen so as to guarantee an adequate level of safety; this
coefficient  is,  as  a  general  rule,  equal  to  four;

(c)

the  working  coefficient  for  textile  ropes  or  slings  is  dependent  on  the  material,  method  of
manufacture,  dimensions  and  use.  This  coefficient  is  chosen  so  as  to  guarantee  an  adequate
level of safety; it is, as a general rule, equal to seven, 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  so  as  to  guarantee  an  adequate  level  of  safety;  this  coefficient  is,  as  a  general  rule,
equal  to  four;

(e)

(f)

the maximum working capacity of a multilegged sling is determined on the basis of the safety
coefficient of the weakest leg, the number of legs and a reduction factor which depends on the
slinging configuration;

in order to verify that an adequate working coefficient has been attained, the manufacturer or
his  authorised  representative  established  within  the  Community  must,  for  each  type  of
component reffered to in (a), (b), (c) and (d) perform the appropriate tests or have such tests
performed.

4.1.2.6. C o n t r o l   o f   m o v e m e n t s

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  so  designed  or  fitted  with  devices  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;

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(b) where several fixed or rail-mounted machines can be manoeuvred simultaneously in the same
place, with risks of collision, such machines must be so designed and constructed as to make it
possible  to  fit  systems  enabling  these  risks  to  be  avoided;

(c)

(d)

the mechanisms of machinery must be so designed and constructed 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;

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 so designed and constructed that inadvertent dropping of the loads is

avoided.

4.1.2.7. H a n d l i n g   o f   l o a d s

The driving 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  or
equipment  or  other  machinery  which  might  be  manoeuvring  at  the  same  time  and  liable  to
constitute  a  hazard.

Machinery with guided loads fixed in one place must be designed and constructed so as to prevent
exposed  persons  from  being  hit  by  the  load  or  the  counter-weights.

4.1.2.8. L i g h t n i n g

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

4.2.

Special  requirements  for  machinery  whose  power  source  is  other  than  manual  effort

4.2.1.

Controls

4.2.1.1. D r i v i n g   p o s i t i o n

The  requirements  laid  down  in  section  3.2.1  also  apply  to  non-mobile  machinery.

4.2.1.2. S e a t i n g

The requirements laid down in section 3.2.2, first and second paragraphs, and those laid down in
section  3.2.3  also  apply  to  non-mobile  machinery.

4.2.1.3. C o n t r o l   d e v i c e s

The devices controlling movements of the machinery or its equipment must return to their neutral
position as soon as they are released by the operator. 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 controls authorising automatic stops at preselected levels without holding a hold-to-run control
device.

4.2.1.4. L o a d i n g   c o n t r o l

Machinery  with  a  maximum  working  load  of  not  less  than  1 000  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  of  the  load  in  the  event  of:

— overloading  the  machinery:

— either  as  a  result  of  maximum  working  loads  being  exceeded,  or

— as  a  result  of  the  moments  due  to  the  loads  being  exceeded,

— the  moments  conducive  to  overturning  being  exceeded  as  a  result  of  the  load  being  lifted.

4.2.2.

Installation  guided  by  cables

Cable carriers, tractors or tractor carriers must be held by counter-weights or by a device allowing
permanent  control  of  the  tension.

4.2.3.

Risks  to  exposed  persons.  Means  of  access  to  driving  position  and  intervention  points

Machinery  with  guided  loads  and  machinery  whose  load  supports  follow  a  clearly  defined  path
must  be  equipped  with  devices  to  prevent  any  risks  to  exposed  persons.

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Machinery serving specific levels at which operators can gain access to the load platform in order
to stack or secure the load must be designed and constructed to prevent uncontrolled movement of
the  load  platform,  in  particular  while  being  loaded  or  unloaded.

4.2.4.

Fitness  for  purpose

When  machinery  is  placed  on  the  market  or  is  first  put  into  service,  the  manufacturer  or  his
authorised  representative  established  within  the  Community  must  ensure,  by  taking  appropriate
measures or having them taken, that lifting accessories and machinery which are ready for use —
whether  manually  or  power-operated  —  can  fulfil  their  specified  functions  safely.  The  said
measures  must  take  into  account  the  static  and  dynamic  aspects  of  the  machinery.

Where  the  machinery  cannot  be  assembled  in  the  manufacturer’s  premises,  or  in  the  premises  of
his  authorised  representative  established  within  the  Community,  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.

4.3.

Marking

4.3.1.

Chains  and  ropes

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  established  in  the  Community  and  the  identifying
reference  of  the  relevant  certificate.

The  certificate  should  show  the  information  required  by  the  harmonised  standards  or,  should
those  not  exist,  at  least  the  following  information:

— the  name  of  the  manufacturer  or  his  authorised  representative  established  within  the

Community,

— the  address  within  the  Community  of  the  manufacturer  or  his  authorised  representative,  as

appropriate,

— 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,

— if  tested,  the  standard  used,

— a maximum load to which the chain or rope should be subjected in service. A range of values

may  be  given  for  specified  applications.

4.3.2.

Lifting accessories

All  lifting  accessories  must  show  the  following  particulars:

— identification  of  the  manufacturer,

— identification of the material (e.g. international classification) where this information is needed

for  dimensional  compatibility,

— identification  of  the  maximum  working  load,

— CE  marking.

In  the  case  of  accessories  including  components  such  as  cables  or  ropes,  on  which  marking  is
physically impossible, the particulars referred to in the first paragraph must be displayed on a plate
or  by  some  other  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  machining,  wear,  etc.,  or  jeopardise  the  strength  of  the  accessory.

4.3.3. Machinery

In  addition  to  the  minimum  information  provided  for  in  1.7.3,  each  machine  must  bear,  legibly
and  indelibly,  information  concerning  the  nominal  load:

(i) displayed in uncoded form and prominently on the equipment in the case of machinery which

has  only  one  possible  value;

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(ii) where  the  nominal  load  depends  on  the  configuration  of  the  machine,  each  driving  position
must  be  provided  with  a  load  plate  indicating,  preferably  in  diagrammatic  form  or  by  means
of  tables,  the  nominal  loads  for  each  configuration.

Machinery  equipped  with  a  load  support  which  allows  access  to  persons  and  involves  a  risk  of
falling  must  bear  a  clear  and  indelible  warning  prohibiting  the  lifting  of  persons.  This  warning
must  be  visible  at  each  place  where  access  is  possible.

4.4.

Instruction  handbook

4.4.1.

Lifting accessories

Each  lifting  accessory  or  each  commercially  indivisible  batch  of  lifting  accessories  must  be
accompanied  with  an  instruction  handbook  setting  out  at  least  the  following  particulars:

— normal  conditions  of  use,

— instructions  for  use,  assembly  and  maintenance,

— the  limits  of  use  (particularly  for  the  accessories  which  cannot  comply  with  4.1.2.6(e)).

4.4.2. Machinery

In  addition  to  section  1.7.4,  the  instruction  handbook  must  include  the  following  information:

(a)

the  technical  characteristics  of  the  machinery,  and  in  particular:

— where  appropriate,  a  copy  of  the  load  table  described  in  section  4.3.3(ii),

— the  reactions  at  the  supports  or  anchors  and  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  sight  of  the  load  by  the  operator;

(d)

the  necessary  instructions  for  performing  the  tests  before  first  putting  into  service  machinery
which  is  not  assembled  on  the  manufacturer’s  premises  in  the  form  in  which  it  is  to  be
used.

5.

ESSENTIAL  HEALTH  AND  SAFETY  REQUIREMENTS  FOR  MACHINERY  INTENDED  FOR
UNDERGROUND  WORK

Machinery  intended  for  underground  work  must  be  designed  and  constructed  to  meet  the
requirements  set  out  below.

5.1.

Risks  due  to  lack  of  stability

Powered roof supports must be so designed and constructed 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  exposed  persons.

5.3.

Lighting

The  requirements  laid  down  in  the  third  paragraph  of  section  1.1.4  do  not  apply.

5.4.

Control  devices

The  accelerator  and  brake  controls  for  the  movement  of  machinery  running  on  rails  must  be
manual.  The  deadman’s  control  may  be  foot-operated,  however.

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The  control  devices  of  powered  roof  supports  must  be  designed  and  laid  out  so  that,  during
displacement  operations,  operators  are  sheltered  by  a  support  in  place.  The  control  devices  must
be  protected  against  any  accidental  release.

5.5.

Stopping

Self-propelled  machinery  running  on  rails  for  use  in  underground  work  must  be  equipped  with  a
deadman’s  control  acting  on  the  circuit  controlling  the  movement  of  the  machinery.

5.6.

Fire

The  second  indent  of  3.5.2  is  mandatory  in  respect  of  machinery  which  comprises  highly
flammable parts.

The  braking  system  of  machinery  meant  for  use  in  underground  working  must  be  designed  and
constructed  so  as  not  to  produce  sparks  or  cause  fires.

Machinery  with  heat  engines  for  use  in  underground  working  must  be  fitted  only  with  internal
combustion  engines  using  fuel  with  a  low  vaporising  pressure  and  which  exclude  any  spark  of
electrical origin.

5.7.

Emissions  of  dust,  gases,  etc.

Exhaust  gases  from  internal  combustion  engines  must  not  be  discharged  upwards.

6.

ESSENTIAL  HEALTH  AND  SAFETY  REQUIREMENTS  TO  OFFSET  THE  PARTICULAR
HAZARDS  DUE  TO  THE  LIFTING  OR  MOVING  OF  PERSONS

Machinery  presenting  hazards  due  to  the  lifting  or  moving  of  persons  must  be  designed  and
constructed  to  meet  the  requirements  set  out  below.

6.1.

General

6.1.1. Definition

For  the  purposes  of  this  Chapter,  ‘carrier’  means  the  device  by  which  persons  are  supported  in
order  to  be  lifted,  lowered  or  moved.

6.1.2. Mechanical  strength

The working coefficients defined in heading 4 are inadequate for machinery intended for the lifting
or  moving  of  persons  and  must,  as  a  general  rule,  be  doubled.  The  floor  of  the  carrier  must  be
designed  and  constructed  to  offer  the  space  and  strength  corresponding  to  the  maximum  number
of  persons  and  the  maximum  working  load  set  by  the  manufacturer.

6.1.3.

Loading  control  for  types  of  device  moved  by  power  other  than  human  strength

The  requirements  of  4.2.1.4  apply  regardless  of  the  maximum  working  load  figure.  This
requirement  does  not  apply  to  machinery  in  respect  of  which  the  manufacturer  can  demonstrate
that  there  is  no  risk  of  overloading  and/or  overturning.

6.2.

Controls

6.2.1. Where  safety  requirements  do  not  impose  other  solutions:

The carrier must, as a general rule, be designed and constructed so that persons inside have means
of  controlling  movements  upwards  and  downwards  and,  if  appropriate,  of  moving  the  carrier
horizontally  in  relation  to  the  machinery.

In operation, those controls must override the other devices controlling the same movement, with
the  exception  of  the  emergency  stop  devices.

The controls for these movements must be of the maintained command type, except in the case of
machinery  serving  specific  levels.

6.2.2.

If machinery for the lifting or moving of persons can be moved with the carrier in a position other
than  the  rest  position,  it  must  be  designed  and  constructed  so  that  the  person  or  persons  in  the
carrier  have  the  means  of  preventing  hazards  produced  by  the  movement  of  the  machinery.

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6.2.3. Machinery for the lifting or moving of persons must be designed, constructed or equipped so that

excess  speeds  of  the  carrier  do  not  cause  hazards.

6.3.

Risks  of  persons  falling  from  the  carrier

6.3.1.

If  the  measures  referred  to  in  1.1.15  are  not  adequate,  carriers  must  be  fitted  with  a  sufficient
number  of  anchorage  points  for  the  number  of  persons  possibly  using  the  carrier,  strong  enough
for  the  attachment  of  personal  protective  equipment  against  the  danger  of  falling.

6.3.2.

Any trapdoors in floors or ceilings or side doors must open in a direction which obviates any risk
of  falling  should  they  open  unexpectedly.

6.3.3. Machinery  for  lifting  or  moving  must  be  designed  and  constructed  to  ensure  that  the  floor  of  the
carrier  does  not  tilt  to  an  extent  which  creates  a  risk  of  the  occupants  falling,  including  when
moving.

The  floor  of  the  carrier  must  be  slip-resistant.

6.4.

Risks  of  the  carrier  falling  or  overturning

6.4.1. Machinery  for  the  lifting  or  moving  of  persons  must  be  designed  and  constructed  to  prevent  the

carrier  falling  or  overturning.

6.4.2.

Acceleration  and  braking  of  the  carrier  or  carrying  vehicle,  under  the  control  of  the  operator  or
triggered by a safety device and under the maximum load and speed conditions laid down by the
manufacturer,  must  not  cause  any  danger  to  exposed  persons.

6.5.

Markings

Where  necessary  to  ensure  safety,  the  carrier  must  bear  the  relevant  essential  information.

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ANNEX  II

A. Contents  of  the  EC  declaration  of  conformity  for  machinery (1)

The  EC  declaration  of  conformity  must  contain  the  following  particulars:

— name  and  address  of  the  manufacturer  or  his  authorised  representative  established  in  the

Community (2),

— description  of  the  machinery (3),

— all  relevant  provisions  complied  with  by  the  machinery,

— where appropriate, name and address of the notified body and number of the EC type-examination

certificate,

— where appropriate, the name and address of the notified body to which the file has been forwarded

in  accordance  with  the  first  indent  of  Article  8(2)(c),

— where appropriate, the name and address of the notified body which has carried out the verification

referred  to  in  the  second  indent  of  Article  8(2)(c),

— where  appropriate,  a  reference  to  the  harmonised  standards,

— where  appropriate,  the  national  technical  standards  and  specifications  used,

— identification  of  the  person  empowered  to  sign  on  behalf  of  the  manufacturer  or  his  authorised

representatives.

B. Contents  of  the  declaration  by  the  manufacturer  or  his  authorised  representatives  established  in  the

Community  (Article  4(2))

The  manufacturer’s  declaration  referred  to  in  Article  4(2)  must  contain  the  following  particulars:

— name  and  address  of  the  manufacturer  or  the  authorised  representative,

— description  of  the  machinery  or  machinery  parts,

— where  appropriate,  the  name  and  address  of  the  notified  body  and  the  number  of  the  EC

type-examination certificate,

— where appropriate, the name and address of the notified body to which the file has been forwarded

in  accordance  with  the  first  indent  of  Article  8(2)(c),

— where appropriate, the name and address of the notified body which has carried out the verification

referred  to  in  the  second  indent  of  Article  8(2)(c),

— where  appropriate,  a  reference  to  the  harmonised  standards,

— a  statement  that  the  machinery  must  not  be  put  into  service  until  the  machinery  into  which  it  is  to

be  incorporated  has  been  declared  in  conformity  with  the  provisions  of  the  Directive,

— identification  of  the  person  signing.

C. Contents  of  the  EC  declaration  of  conformity  for  safety  components  placed  on  the  market

separately (1)

The  EC  declaration  of  conformity  must  contain  the  following  particulars:

— name  and  address  of  the  manufacturer  or  his  authorised  representative  established  in  the

Community (2),

— description  of  the  safety  component (4),

(1) This declaration must be drawn up in the same language as the original instructions (see Annex I, section 1.7.4(b)) and
must  be  either  typewritten  or  handwritten  in  block  capitals.  It  must  be  accompanied  by  a  translation  in  one  of  the
official languages of the country in which the machinery is to be used. This translation must be done in accordance with
the  same  conditions  as  for  the  translation  of  the  instructions.

(2) Business  name  and  full  address;  authorised  representatives  must  also  give  the  business  name  and  address  of  the

manufacturer.

(3) Description  of  the  machinery  (make,  type,  serial  number,  etc.).
(4) Description  of  the  safety  component  (make,  type,  serial  number,  if  any,  etc.).

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— safety  function  fulfilled  by  the  safety  component,  if  not  obvious  from  the  description,

— where  appropriate,  the  name  and  address  of  the  notified  body  and  the  number  of  the  EC

type-examination certificate,

— where  appropriate,  the  name  and  address  of  the  notified  body  to  which  the  file  was  forwarded  in

accordance  with  the  first  indent  of  Article  8(2)(c),

— where  appropriate,  the  name  and  address  of  the  notified  body  which  carried  out  the  verification

referred  to  in  the  second  indent  of  Article  8(2)(c),

— where  appropriate,  a  reference  to  the  harmonised  standards,

— where  appropriate,  the  national  technical  standards  and  specifications  used,

— identification  of  the  person  empowered  to  sign  on  behalf  of  the  manufacturer  or  his  authorised

representative  established  in  the  Community.

ANNEX  III

CE  CONFORMITY  MARKING

— The  CE  conformity  marking  shall  consist  of  the  initials  ‘CE’  taking  the  following  form:

— if  the  CE  marking  is  reduced  or  enlarged  the  proportions  given  in  the  above  drawing  must  be

respected,

— the  various  components  of  the  CE  marking  must  have  substantially  the  same  vertical  dimension,  which

may  not  be  less  than  5  mm.  This  minimum  dimension  may  be  waived  for  small-scale  machinery.

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ANNEX  IV

TYPES  OF  MACHINERY  AND  SAFETY  COMPONENTS  FOR  WHICH  THE  PROCEDURE
REFERRED  TO  IN  ARTICLE  8(2)(b)  AND  (c)  MUST  BE  APPLIED

A. Machinery

1.

Circular  saws  (single  or  multi-blade)  for  working  with  wood  and  analogous  materials  or  for
working  with  meat  and  analogous  materials.

1.1. Sawing  machines  with  fixed  tool  during  operation,  having  a  fixed  bed  with  manual  feed  of  the

workpiece  or  with  a  demountable  power  feed.

1.2. Sawing  machines  with  fixed  tool  during  operation,  having  a  manually  operated  reciprocating

saw-bench  or  carriage.

1.3. Sawing  machines  with  fixed  tool  during  operation,  having  a  built-in  mechanical  feed  device  for

the  work-pieces,  with  manual  loading  and/or  unloading.

1.4. Sawing machines with movable tool during operation, with a mechanical feed device and manual

loading  and/or  unloading.

2. Hand-fed  surface  planing  machines  for  woodworking.

3.

4.

5.

Thicknessers  for  one-side  dressing  with  manual  loading  and/or  unloading  for  woodworking.

Band-saws  with  a  fixed  or  mobile  bed  and  band-saws  with  a  mobile  carriage,  with  manual
loading and/or unloading, for working with wood and analogous materials or for working with
meat  and  analogous  materials.

Combined  machines  of  the  types  referred  to  in  1  to  4  and  7  for  working  with  wood  and
analogous materials.

6. Hand-fed  tenoning  machines  with  several  tool  holders  for  woodworking.

7. Hand-fed  vertical  spindle  moulding  machines  for  working  with  wood  and  analogous  materials.

8.

9.

Portable  chainsaws  for  woodworking.

Presses,  including  press-brakes,  for  the  cold  working  of  metals,  with  manual  loading  and/or
unloading,  whose  movable  working  parts  may  have  a  travel  exceeding  6  mm  and  a  speed
exceeding  30  mm/s.

10.

Injection  or  compression  plastics-moulding  machines  with  manual  loading  or  unloading.

11.

Injection  or  compression  rubber-moulding  machines  with  manual  loading  or  unloading.

12. Machinery  for  underground  working  of  the  following  types:

— machinery  on  rails:  locomotivies  and  brake-vans,

— hydraulic-powered  roof  supports,

— internal  combustion  engines  to  be  fitted  to  machinery  for  underground  working.

13. Manually-loaded  trucks  for  the  collection  of  household  refuse  incorporating  a  compression

mechanism.

14.

Guards  and  detachable  transmission  shafts  with  universal  joints  as  described  in  section  3.4.7.

15.

Vehicles  servicing  lifts.

16.

Devices  for  the  lifting  of  persons  involving  a  risk  of  falling  from  a  vertical  height  of  more  than
three  metres.

17. Machines  for  the  manufacture  of  pyrotechnics.

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B. Safety  components

1. Electro-sensitive  devices  designed  specifically  to  detect  persons  in  order  to  ensure  their  safety

(non-material  barriers,  sensor  mats,  electromagnetic  detectors,  etc.).

2. Logic  units  which  ensure  the  safety  functions  of  bimanual  controls.

3. Automatic  movable  screens  to  protect  the  presses  referred  to  in  9,  10  and  11.

4. Roll-over  protection  structures  (ROPS).

5. Falling-object  protective  structures  (FOPS).

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ANNEX  V

EC  DECLARATION  OF  CONFORMITY

For  the  purposes  of  this  Annex,  ‘machinery’  means  either  ‘machinery’  or  ‘safety  component’  as  defined  in
Article  1(2).

1. The  EC  declaration  of  conformity  is  the  procedure  by  which  the  manufacturer,  or  his  authorised
representative  established  in  the  Community  declares  that  the  machinery  being  placed  on  the  market
complies  with  all  the  essential  health  and  safety  requirements  applying  to  it.

2. Signature  of  the  EC  declaration  of  conformity  authorises  the  manufacturer,  or  his  authorised

representative  in  the  Community,  to  affix  the  CE  marking  to  the  machinery.

3. Before drawing up the EC declaration of conformity, the manufacturer, or his authorised representative
in  the  Community,  shall  have  ensured  and  be  able  to  guarantee  that  the  documentation  listed  below  is
and  will  remain  available  on  his  premises  for  any  inspection  purposes:

(a) a  technical  construction  file  comprising:

— an  overall  drawing  of  the  machinery  together  with  drawings  of  the  control  circuits,

— full detailed drawings, accompanied by any calculation notes, test results, etc., required to check

the  conformity  of  the  machinery  with  the  essential  health  and  safety  requirements,

— a  list  of:

— the  essential  requirements  of  this  Directive,

— standards,  and

— other  technical  specifications,  which  were  used  when  the  machinery  was  designed,

— a  description  of  methods  adopted  to  eliminate  hazards  presented  by  the  machinery,

— if  he  so  desires,  any  technical  report  or  certificate  obtained  from  a  competent  body  or

laboratory (1),

— if  he  declares  conformity  with  a  harmonised  standard  which  provides  therefor,  any  technical
report  giving  the  results  of  tests  carried  out  at  his  choice  either  by  himself  or  by  a  competent
body  or  laboratory (1),

— a  copy  of  the  instructions  for  the  machinery;

(b)

for series manufacture, the internal measures that will be implemented to ensure that the machinery
remains  in  conformity  with  the  provisions  of  the  Directive.

The  manufacturer  must  carry  out  necessary  research  or  tests  on  components,  fittings  or  the  completed
machine to determine whether by its design or construction, the machine is capable of being erected and
put  into  service  safely.

Failure  to  present  the  documentation  in  response  to  a  duly  substantiated  request  by  the  competent
national authorities may constitute sufficient grounds for doubting the presumption of conformity with
the  requirements  of  the  Directive.

4.

(a) The  documentation  referred  to  in  3  above  need  not  permanently  exist  in  a  material  manner  but  it
must be possible to assemble it and make it available within a period of time commensurate with its
importance.

It  does  not  have  to  include  detailed  plans  or  any  other  specific  information  as  regards  the
sub-assemblies  used  for  the  manufacture  of  the  machinery  unless  a  knowledge  of  them  is  essential
for  verification  of  conformity  with  the  basic  safety  requirements.

(1) A  body  or  laboratory  is  presumed  competent  if  it  meets  the  assessment  criteria  laid  down  in  the  relevant  harmonised

standards.

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(b) The  documentation  referred  to  in  3  above  shall  be  retained  and  kept  available  for  the  competent
national  authorities  for  at  least  10  years  following  the  date  of  manufacture  of  the  machinery  or  of
the  last  unit  produced,  in  the  case  of  series  manufacture.

(c) The documentation referred to in 3 above shall be drawn up in one of the official languages of the

Communities,  with  the  exception  of  the  instructions  for  the  machinery.

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ANNEX  VI

EC  TYPE-EXAMINATION

For  the  purposes  of  this  Annex,  ‘machinery’  means  either  ‘machinery’  or  ‘safety  component’  as  defined  in
Article  1(2).

1. EC type-examination is the procedure by which a notified body ascertains and certifies that an example

of  machinery  satisfies  the  provisions  of  this  Directive  which  apply  to  it.

2. The  application  for  EC  type-examination  shall  be  lodged  by  the  manufacturer  or  by  his  authorised
representative established in the Community, with a single notified body in respect of an example of the
machinery.

The  application  shall  include:

— the  name  and  address  of  the  manufacturer  or  his  authorised  representative  established  in  the

Community  and  the  place  of  manufacture  of  the  machinery,

— a  technical  file  comprising  at  least:

— an  overall  drawing  of  the  machinery  together  with  drawings  of  the  control  circuits,

— full detailed drawings, accompanied by any calculation notes, test results, etc., required to check

the  conformity  of  the  machinery  with  the  essential  health  and  safety  requirements,

— a  description  of  methods  adopted  to  eliminate  hazards  presented  by  the  machinery  and  a  list  of

standards  used,

— a  copy  of  the  instructions  for  the  machinery,

— for  series  manufacture,  the  internal  measures  that  will  be  implemented  to  ensure  that  the

machinery  remains  in  conformity  with  the  provisions  of  the  Directive.

It shall be accompanied by a machine representative of the production planned or, where appropriate, a
statement  of  where  the  machine  may  be  examined.

The  documentation  referred  to  above  does  not  have  to  include  detailed  plans  or  any  other  specific
information  as  regards  the  sub-assemblies  used  for  the  manufacture  of  the  machinery  unless  a
knowledge  of  them  is  essential  for  verification  of  conformity  with  the  basic  safety  requirements.

3. The  notified  body  shall  carry  out  the  EC  type-examination  in  the  manner  described  below:

— it shall examine the technical construction file to verify its appropriateness and the machine supplied

or  made  available  to  it,

— during  the  examination  of  the  machine,  the  body  shall:

(a) ensure that it has been manufactured in conformity with the technical construction file and may

safely  be  used  under  its  intended  working  conditions;

(b) check  that  standards,  if  used,  have  been  properly  applied;

(c) perform  appropriate  examinations  and  tests  to  check  that  the  machine  complies  with  the

essential  health  and  safety  requirements  applicable  to  it.

4.

If  the  example  complies  with  the  provisions  applicable  to  it  the  body  shall  draw  up  an  EC
type-examination  certificate  which  shall  be  forwarded  to  the  applicant.  That  certificate  shall  state  the
conclusions  of  the  examination,  indicate  any  conditions  to  which  its  issue  may  be  subject  and  be
accompanied  by  the  descriptions  and  drawings  necessary  for  identification  of  the  approved  example.

The Commission, the Member States and the other approved bodies may obtain a copy of the certificate
and,  on  a  reasoned  request,  a  copy  of  the  technical  construction  file  and  of  the  reports  on  the
examinations  and  tests  carried  out.

5. The  manufacturer  or  his  authorised  representative  established  in  the  Community  shall  inform  the
notified body of any modifications, even of a minor nature, which he has made or plans to make to the
machine to which the example relates. The notified body shall examine those modifications and inform
the  manufacturer  or  his  authorised  representative  established  in  the  Community  whether  the  EC
type-examination  certificate  remains  valid.

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6. A  body  which  refuses  to  issue  an  EC  type-examination  certificate  shall  so  inform  the  other  notified
bodies.  A  body  which  withdraws  an  EC  type-examination  certificate  shall  so  inform  the  Member  State
which  notified  it.  The  latter  shall  inform  the  other  Member  States  and  the  Commission  thereof,  giving
the  reasons  for  the  decision.

7. The  files  and  correspondence  referring  to  the  EC  type-examination  procedures  shall  be  drawn  up  in  an
official language of the Member State where the notified body is established or in a language acceptable
to  it.

ANNEX  VII

MINIMUM  CRITERIA  TO  BE  TAKEN  INTO  ACCOUNT  BY  MEMBER  STATES  FOR  THE
NOTIFICATION  OF  BODIES

For  the  purposes  of  this  Annex,  ‘machinery’  means  either  ‘machinery’  or  ‘safety  component’  as  defined  in
Article  1(2).

1. The  body,  its  director  and  the  staff  responsible  for  carrying  out  the  verification  tests  shall  not  be  the
designer,  manufacturer,  supplier  or  installer  of  machinery  which  they  inspect,  nor  the  authorised
representative  of  any  of  these  parties.  They  shall  not  become  either  involved  directly  or  as  authorised
representatives  in  the  design,  construction,  marketing  or  maintenance  of  the  machinery.  This  does  not
preclude  the  possibility  of  exchanges  of  technical  information  between  the  manufacturer  and  the
body.

2. The  body  and  its  staff  shall  carry  out  the  verification  tests  with  the  highest  degree  of  professional
integrity  and  technical  competence  and  shall  be  free  from  all  pressures  and  inducements,  particularly
financial, which might influence their judgement or the results of the inspection, especially from persons
or  groups  of  persons  with  an  interest  in  the  result  of  verifications.

3. The body shall have at its disposal the necessary staff and possess the necessary facilities to enable it to
perform  properly  the  administrative  and  technical  tasks  connected  with  verification;  it  shall  also  have
access  to  the  equipment  required  for  special  verification.

4. The  staff  responsible  for  inspection  shall  have:

— sound  technical  and  professional  training,

— satisfactory  knowledge  of  the  requirements  of  the  tests  they  carry  out  and  adequate  experience  of

such  tests,

— the  ability  to  draw  up  the  certificates,  records  and  reports  required  to  authenticate  the  performance

of  the  tests.

5. The  impartiality  of  inspection  staff  shall  be  guaranteed.  Their  remuneration  shall  not  depend  on  the

number  of  tests  carried  out  or  on  the  results  of  such  tests.

6. The body shall take out liability insurance unless its liability is assumed by the State in accordance with

national  law,  or  the  Member  State  itself  is  directly  responsible  for  the  tests.

7. The  staff  of  the  body  shall  be  bound  to  observe  professional  secrecy  with  regard  to  all  information
gained in carrying out its tasks (except vis-à-vis the competent administrative authorities of the State in
which its activities are carried out) under this Directive or any provision of national law giving effect to
it.

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ANNEX  VIII

Part  A

Repealed Directives

(referred  to  by  Article  14)

Directive  89/392/EEC  and  its  following  amendments:

— Directive  91/368/EEC

only  Article  1

— Directive  93/44/EEC

— Directive  93/68/EEC

only  Article  6

Part  B

List  of  deadlines  for  transposition  into  and  application  in  national  law

(referred  to  by  Article  14)

Directive

Deadline  for  transposition

Date  of  application

Directive  89/392/EEC 
29.6.1989,  p.  9)

(OJ  L  183,

1  January  1992

Starting  from  1  January  1993;  for
the  products  referred  to  by  Directives
86/295/EEC,  86/296/EEC  and  86/663/
EEC:  starting  from  1  July  1995 (1)

Directive  91/368/EEC 
22.7.1991,  p.  16)

Directive  93/44/EEC 
19.7.1993,  p.  12)

(OJ  L  198,

1  January  1992

Starting  from  1  January  1993

(OJ  L  175,

1  July  1994

— Starting  from  1  January  1995 (2)

— Starting  from  1  July  1994 (2)

— Article 1(10), with the exception

of  points  (a),  (b)  and  (q)

— Article  1(11)(a)  and  (b)

— Article  1(12)(c),  (d),  (e)  and  (f)

Directive  93/68/EEC 
30.8.1993,  p.  1)

(OJ  L  220,

1  July  1994

Starting  from  1  January  1995 (3)

(1) For  the  period  ending  on  31  December  1994,  the  Member  States  should  have  authorised,  except  for  the  products
referred to by Directives 86/295/EEC, 86/296/EEC and 86/663/EEC for which this period was ending on 31 December
1995,  the  placing  on  the  market  and  putting  into  service  of  machinery  which  comply  with  the  national  provisions  in
force  in  their  territories  on  31  December  1992.

(2) For the period ending on 31 December 1996, the Member States shall allow the placing on the market and putting into
service of machinery for the lifting or moving of persons as well as safety components which comply with the national
provisions  in  force  in  their  territories  on  14  June  1993.

(3) Until 1 January 1997 Member States shall allow the placing on the market and putting into service of products which

comply  with  the  marking  arrangements  in  force  before  1  January  1995.

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ANNEX  IX

CORRELATION  TABLE

Directive  89/392/EEC

This Directive

Article  1(1)

Article  1(1)

Article  1(2),  first  subparagraph

Article  1(2),  point  (a),  first  indent

Article  1(2),  second  subparagraph

Article  1(2),  point  (a),  second  indent

Article  1(2),  third  subparagraph

Article  1(2),  point  (a),  third  indent

Article  1(2),  fourth  subparagraph

Article  1(2),  point  (b)

Article  1(3)

Article  1(4)

Article  1(5)

Article  2

Article  3

Article  4

Article  5

Article  6

Article  7

Article  8(1)

Article  8(2)

Article  8(3)

Article  8(4)

Article  8(4a)

Article  8(5)

Article  8(6)

Article  8(7)

Article  9

Article  10

Article  11

Article  12

Article  13(1)

Article  13(2)

Article  13(3)

Article  13(4)

—

—

—

Annex  I

Annex  II

Annex  III

Article  1(3)

Article  1(4)

Article  1(5)

Article  2

Article  3

Article  4

Article  5

Article  6

Article  7

Article  8(1)

Article  8(2)

Article  8(3)

Article  8(4)

Article  8(5)

Article  8(6)

Article  8(7)

Article  8(8)

Article  9

Article  10

Article  11

Article  12

—

—

Article  13(1)

Article  13(2)

Article  14

Article  15

Article  16

Annex  I

Annex  II

Annex  III

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Directive  89/392/EEC

This Directive

Annex  IV

Annex  V

Annex  VI

Annex  VII

—

—

Annex  IV

Annex  V

Annex  VI

Annex  VII

Annex  VIII

Annex  IX