Common position (EC) No 29/2005 of 18 July 2005 adopted by the Council, acting in accordance with the procedure referred to in Article 251 of the Treaty establishing the European Community, with a view to the adoption of a Directive of the European Parliament and of the Council on machinery, and amending Directive 95/16/EC Text with EEA relevance
Date: 2005-07-18
Institutions: Council of the European Union
Subjects: drafting of EU law, machinery, marketing standard, occupational health, occupational safety, product safety

11.10.2005

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I

(Information)

COUNCIL

COMMON POSITION (EC) No 29/2005

adopted by the Council on 18 July 2005

with a view to the adoption of Directive 2005/…/EC of the European Parliament and of the
Council of … on machinery, and amending Directive 95/16/EC

(2005/C 251 E/01)

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EURO-
PEAN UNION,

Having regard to the Treaty establishing the European Com-
munity, and in particular Article 95 thereof,

of the Community economy. The social cost of the large
number of accidents caused directly by the use of
machinery can be reduced by inherently safe design and
construction of machinery and by proper installation
and maintenance.

Having regard to the proposal from the Commission (1),

Having regard to the Opinion of the European Economic and
Social Committee (2),

Acting in accordance with the procedure laid down in Article
251 of the Treaty (3),

Whereas:

(1)

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 (4)
codified Council Directive 89/392/EEC of 14 June 1989
on the approximation of the laws of the Member States
relating to machinery (5). Now that new substantial
amendments are being made to Directive 98/37/EC, it is
desirable, in order to clarify matters, that the Directive in
question should be recast.

(2)

The machinery sector is an important part of the engi-
neering industry and is one of the industrial mainstays

(1) OJ C 154 E, 29.5.2001, p. 164.
(2) OJ C 311, 7.11.2001, p. 1.
(3) Opinion of the European Parliament of 4 July 2002 (OJ C 271 E,
12.11.2003, p. 491), Council Common Position of 18 July 2005
and Position of the European Parliament of … (not yet published in
the Official Journal).

(4) OJ L 207, 23.7.1998, p. 1. Directive as amended by Directive

98/79/EC (OJ L 331, 7.12.1998, p. 1).

(5) 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).

(3)

(4)

(5)

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

In order to ensure legal certainty for users, the scope of
this Directive and the concepts relating to its application
should be defined as precisely as possible.

The Member States' mandatory provisions governing
construction site hoists intended for lifting persons or
persons and goods, which are often supplemented by de
facto compulsory technical
specifications and/or by
voluntary standards, do not necessarily lead to different
levels of health and safety but, because of their dispari-
ties, do nevertheless constitute barriers to trade within
the Community. Moreover, the national systems for the
conformity
these
and
machines diverge considerably. It is therefore desirable
not to exclude from the scope of this Directive construc-
tion site hoists intended for lifting persons or persons
and goods.

certification of

assessment

(6)

It is appropriate to exclude from the scope of this Direc-
tive weapons,
to
Council Directive 91/477/EEC of 18 June 1991 on

including firearms that are subject

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for

transitional

control of the acquisition and possession of weapons (1);
the exclusion of firearms should not apply to portable
cartridge-operated fixing and other impact machinery
designed for industrial or technical purposes only. It is
necessary to provide
arrangements
enabling Member States to authorise the placing on the
market and putting into service of such machinery
manufactured in accordance with national provisions in
including those
force upon adoption of this Directive,
implementing the Convention of 1 July 1969 on the
Reciprocal Recognition of Proofmarks on Small Arms.
Such transitional arrangements will also enable the Euro-
pean standardisation organisations to draft standards
ensuring the safety level based on the state of the art.

this does not affect

This Directive does not apply to the lifting of persons by
means of machines not designed for the lifting of
persons. However,
the right of
Member States to take national measures, in accordance
with the Treaty, with respect to such machines, with a
view to implementing Council Directive 89/655/EEC of
30 November 1989 concerning the minimum safety and
health requirements for the use of work equipment by
workers at work (second individual Directive within the
meaning of Article 16(1) of Directive 89/391/EEC) (2).

Market surveillance is an essential instrument inasmuch
as it ensures the proper and uniform application of
Directives. It is therefore appropriate to put in place the
legal framework within which market surveillance can
proceed harmoniously.

In the context of market surveillance, a clear distinction
should be established between the disputing of a harmo-
nised standard conferring a presumption of conformity
on machinery and the safeguard clause relating to
machinery.

The putting into service of machinery within the
meaning of this Directive can relate only to the use of
the machinery itself for its intended purpose or for a
purpose which can reasonably be foreseen. This does
not preclude the 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.

is

the

for
adoption of

also necessary to provide

an adequate
It
mechanism allowing for
specific
measures at Community level requiring Member States
to prohibit or restrict
the placing on the market of
certain types of machinery presenting the same risks to
the health and safety of persons either due to shortcom-
ings in the relevant harmonised standard(s) or by virtue
to make such
of
machinery subject
In order to
ensure the appropriate assessment of the need for such
they should be taken by the Commission,
measures,

technical characteristics, or

to special conditions.

their

(7)

(8)

(9)

(10)

(11)

(1) OJ L 256, 13.9.1991, p. 51.
(2) OJ L 393, 30.12.1989, p. 13. Directive as last amended by Directive
2001/45/EC of the European Parliament and of the Council (OJ
L 195, 19.7.2001, p. 46).

assisted by a committee,
in the light of consultations
with the Member States and other interested parties.
Since such measures are not directly applicable to
economic operators, Member States should take all
necessary measures for their implementation.

(12)

The essential health and safety requirements should be
satisfied in order to ensure that machinery is safe; these
requirements should be applied with discernment to take
account of the state of the art at the time of construction
and of technical and economic requirements.

(13) Where the machinery may be used by a consumer, that
is to say, a non-professional operator, the manufacturer
should take account of this in the design and construc-
tion. The same applies where a machine is normally
used to provide a service to a consumer.

(14) Although the requirements of

this Directive do not
apply to partly completed machinery in their entirety, it
is nevertheless important
the free movement of
such machinery be guaranteed by means of a specific
procedure.

that

(15)

(16)

(17)

For trade fairs, exhibitions, etc., it should be possible to
exhibit machinery which does not satisfy the require-
ments of
interested parties
should be properly informed that the machinery does
not conform and cannot be purchased in that condition.

this Directive. However,

This Directive defines only the essential health and safety
requirements of general application, supplemented by a
number of more specific requirements for certain cate-
gories of machinery. In order to help manufacturers to
prove conformity to these essential requirements, and to
allow inspection of conformity to the essential require-
ments, it is desirable to have standards that are harmo-
nised at Community level for the prevention of risks
arising out of the design and construction of machinery.
These standards are drawn up by private-law bodies and
should retain their non-binding status.

In view of the nature of the risks involved in the use of
machinery covered by this Directive, procedures for
assessing conformity to the essential health and safety
requirements should be established. These procedures
should be devised in the light of the extent of the danger
inherent in such machinery. Consequently, each category
of machinery should have its appropriate procedure in
conformity with Council Decision 93/465/EEC of 22
the various
July 1993 concerning the modules for
phases of the conformity assessment procedures and the
rules for the affixing and use of the CE conformity
marking, which are intended to be used in the technical
harmonisation directives (3), taking account of the nature
of the verification required for such machinery.

(3) OJ L 220, 30.8.1993, p. 23.

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(18) Manufacturers should retain full responsibility for certi-
fying the conformity of their machinery to the provi-
sions of this Directive. Nevertheless, for certain types of
machinery having a higher risk factor, a stricter certifica-
tion procedure is desirable.

(19)

(20)

(21)

(22)

The CE marking should be fully recognised as being the
that machinery
only marking which
conforms to the requirements of this Directive. All other
markings which are liable to mislead third parties as to
the meaning and/or the form of the CE marking should
be prohibited.

guarantees

In order to ensure the same quality for the CE marking
and the manufacturer's mark, it is important that they be
affixed according to the same techniques. In order to
avoid confusion between any CE markings which might
appear on certain components and the CE marking
corresponding to the machinery, it is important that the
latter marking be affixed alongside the name of
the
person who has taken responsibility for it, namely the
manufacturer or his authorised representative.

The manufacturer or his
authorised representative
should also ensure that a risk assessment is carried out
for the machinery which he wishes to place on the
market. For this purpose, he should determine which are
the essential health and safety requirements applicable to
his machinery and in respect of which he must take
measures.

It is essential that, before drawing up the EC declaration
of conformity, the manufacturer or his authorised repre-
sentative established in the Community should prepare a
it is not essential
technical construction file. However,
that all documentation should be permanently available
in material form, but it must be possible to make it
available on request. It need not include detailed plans of
subassemblies used for the manufacture of machinery,
unless knowledge of such plans is essential in order to
ascertain conformity with the essential health and safety
requirements.

(26)

(27)

(28)

this Directive, namely,

Since the objective of
to lay
down the essential health and safety requirements in
relation to design and manufacture in order to improve
the safety of machinery placed on the market, cannot be
sufficiently achieved by the Member States and can be
better achieved at Community level,
the Community
may adopt measures, in accordance with the principle of
subsidiarity as set out in Article 5 of the Treaty.
In
accordance with the principle of proportionality, as set
out in that Article, this Directive does not go beyond
what is necessary in order to achieve that objective.

The Council, in accordance with paragraph 34 of the
law-making (2),
Interinstitutional agreement on better
should encourage Member States to draw up, for them-
selves and in the interests of the Community, their own
tables which will, as far as possible, illustrate the correla-
tion between this Directive
transposition
measures and to make them public.

and the

The measures necessary for the implementation of this
Directive should be adopted in accordance with Council
Decision 1999/468/EC of 28 June 1999 laying down
the procedures for the exercise of implementing powers
conferred on the Commission (3),

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Scope

1.

This Directive applies to the following products:

(a) machinery;

(b) interchangeable equipment;

(23)

The addressees of any decision taken under this Directive
should be informed of the reasons for such a decision
and of the legal remedies open to them.

(c) safety components;

(d) lifting accessories;

(24) Member States should provide for penalties applicable to
infringements of the provisions of this Directive. Those
penalties should be effective, proportionate and dissua-
sive.

(e) chains, ropes and webbing;

(f) removable mechanical transmission devices;

(g) partly completed machinery.

(25)

The application of
this Directive to a number of
machines intended for lifting persons requires a better
delimitation of the products covered by this Directive
with respect to those covered by Directive 95/16/EC of
the European Parliament and of the Council of 29 June
1995 on the approximation of the laws of the Member
States relating to lifts (1). A redefinition of the scope of
the latter Directive is thus deemed necessary. Directive
95/16/EC should therefore be amended accordingly.

The following are excluded from the scope of this Direc-

2.
tive:

(a) safety components intended to be used as spare parts to
replace identical components and supplied by the manufac-
turer of the original machinery;

(b) specific equipment for use in fairgrounds and/or amuse-

ment parks;

(1) OJ L 213, 7.9.1995, p. 1. Directive as amended by Regulation (EC)

No 1882/2003 (OJ L 284, 31.10.2003, p. 1).

(2) OJ C 321, 31.12.2003, p. 1.
(3) OJ L 184, 17.7.1999, p. 23.

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

harmonisation of the laws of Member States relating to
electrical equipment designed for use within certain voltage
limits (4):

(d) weapons, including firearms;

(e) the following means of transport:

— agricultural and forestry tractors for the risks covered
by Directive 2003/37/EC of the European Parliament
and of the Council of 26 May 2003 on type-approval
of agricultural and forestry tractors, their trailers and
interchangeable towed machinery, together with their
systems, components and separate technical units and
repealing Directive 74/150/EEC (1), with the exclusion
of machinery mounted on these vehicles,

— motor vehicles and their trailers covered by Council
Directive 70/156/EEC of 6 February 1970 on the
approximation of
the Member States
the laws of
relating to the type-approval of motor vehicles and
trailers (2), with the
their
exclusion of machinery
mounted on these vehicles,

— vehicles covered by Directive 2002/24/EC of the Euro-
pean Parliament and of the Council of 18 March 2002
relating to the type-approval of
two or three-wheel
repealing Council Directive
motor
vehicles
92/61/EEC (3), with the
exclusion of machinery
mounted on these vehicles,

and

— motor vehicles exclusively intended for competition,

and

— means of

transport by air, on water and on rail
networks with the exclusion of machinery mounted on
these means of transport;

(f) seagoing vessels and mobile offshore units and machinery

installed on board such vessels and/or units;

(g) machinery specially designed and constructed for military

or police purposes;

(h) machinery specially designed and constructed for research

purposes for temporary use in laboratories;

(i) mine winding gear;

(j) machinery intended to move performers during artistic

performances;

(k) electrical

and electronic products

falling within the
insofar as they are covered by Council
following areas,
Directive 73/23/EEC of 19 February 1973 on the

(1) OJ L 171, 9.7.2003, p. 1. Directive as last amended by Commission

Directive 2005/13/EC (OJ L 55, 1.3.2005, p. 35).

(2) OJ L 42, 23.2.1970, p. 1. Directive as last amended by Commission

Directive 2005/49/EC (OJ L 194, 26.7.2005, p. 12).

— household appliances intended for domestic use,

— audio and video equipment,

— information technology equipment,

— ordinary office machinery,

— circuit-breakers and switches;

(l) the following types of high-voltage electrical equipment:

— switch gear and control gear,

— transformers.

Article 2

Definitions

For the purposes of this Directive,
products listed in Article 1(1)(a) to (f).

‘machinery’ designates the

The following definitions shall apply:

(a) ‘machinery’ means:

(i) an assembly, fitted with or intended to be fitted with a
drive system other than directly applied human or
animal effort, consisting of
linked parts or compo-
nents, at least one of which moves, and which are
joined together for a specific application;

(ii) an assembly referred to in (i), missing only the compo-
nents to connect it on site or to sources of energy and
motion;

(iii) an assembly referred to in (i) or (ii), ready to be
installed and able to function as it stands only if
mounted on a means of transport, or installed in a
building or a structure;

(iv) assemblies of machinery referred to in (i), (ii) or (iii) or
partly completed machinery referred to in (g) which, in
order to achieve the same end, are arranged and
controlled so that they function as an integral whole;

(v) an assembly of linked parts or components, at least
one of which moves and which are joined together,
intended for lifting loads and whose only power source
is directly applied human effort;

(b) 'interchangeable equipment' means a device which, after
the putting into service of machinery or of a tractor,
is
assembled with that machinery or tractor by the operator
himself in order to change its function or attribute a new
function, in so far as this equipment is not a tool;

(c) ‘safety component’ means a component:

— which serves to fulfil a safety function, and

— which is independently placed on the market, and

(3) OJ L 124, 9.5.2002, p. 1. Directive as last amended by Commission

(4) OJ L 77, 26.3.1973, p. 29. Directive as amended by Directive

Directive 2005/30/EC (OJ L 106, 27.4.2005, p. 17).

93/68/EEC.

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— the failure and/or malfunction of which endangers the

safety of persons, and

— which is not necessary in order for the machinery to
function, or for which normal components may be
substituted in order for the machinery to function.

An indicative list of safety components is set out in Annex
V, which may be updated in accordance with Article
8(1)(a);

(d) ‘lifting accessory’ means a component or equipment not
attached to the lifting machinery, allowing the load to be
held, which is placed between the machinery and the load
or on the load itself, or which is intended to constitute an
integral part of the load and which is independently placed
on the market; slings and their components are also
regarded as lifting accessories;

(e) ‘chains,

ropes and webbing’ means chains,

ropes and
webbing designed and constructed for lifting purposes as
part of lifting machinery or lifting accessories;

(f) ‘removable mechanical transmission device’ means a remo-
vable component
for transmitting power between self-
propelled machinery or a tractor and another machine by
joining them at the first fixed bearing. When it is placed on
the market with the guard it shall be regarded as one
product;

(g) ‘partly completed machinery’ means an assembly which is
almost machinery but which cannot in itself perform a
specific application. A drive system is partly completed
machinery. Partly completed machinery is only intended to
be incorporated into or assembled with other machinery or
other partly completed machinery or equipment, thereby
forming machinery to which this Directive applies;

(h) ‘placing on the market’ means making available for the first
time in the Community machinery or partly completed
machinery with a view to distribution or use, whether for
reward or free of charge;

or

(i) ‘manufacturer’ means any natural or legal person who
partly
and/or manufactures machinery
designs
completed machinery covered by this Directive and is
responsible for the conformity of the machinery or the
partly completed machinery with this Directive with a view
to its being placed on the market, under his own name or
trademark or for his own use. In the absence of a manufac-
turer as defined above, any natural or legal person who
places on the market or puts into service machinery or
partly completed machinery covered by this Directive shall
be considered a manufacturer;

(j) ‘authorised representative’ means any natural or

legal
person established in the Community who has received a
written mandate from the manufacturer to perform on his
behalf all or part of
the obligations and formalities
connected with this Directive;

(k) ‘putting into service’ means the first use, for its intended
purpose, in the Community, of machinery covered by this
Directive;

for

Electrotechnical

European Committee for Standardization (CEN), the Euro-
pean Committee
Standardization
(Cenelec) or the European Telecommunications Standards
issued by the
Institute (ETSI), on the basis of a remit
Commission in accordance with the procedures laid down
in Directive 98/34/EC of the European Parliament and of
the Council of 22 June 1998 laying down a procedure for
the provision of information in the field of technical stan-
dards and regulations and of rules on Information Society
services (1).

Article 3

Specific Directives

Where, for machinery, the hazards referred to in Annex I are
wholly or partly covered more specifically by other Community
Directives,
this Directive shall not apply, or shall cease to
apply, to that machinery in respect of such hazards from the
date of implementation of those other Directives.

Article 4

Market surveillance

1. Member States shall
take all appropriate measures to
ensure that machinery may be placed on the market and/or put
into service only if it satisfies the relevant provisions of this
Directive and does not endanger the health and safety of
persons and, where appropriate, domestic animals or property,
when properly installed and maintained and used for
its
intended purpose or under conditions which can reasonably be
foreseen.

take all appropriate measures to
2. Member States shall
ensure that partly completed machinery can be placed on the
market only if it satisfies the relevant provisions of this Direc-
tive.

3. Member States shall institute or appoint the competent
authorities to monitor the conformity of machinery and partly
completed machinery with the provisions set out in paragraphs
1 and 2.

4. Member States shall define the tasks, organisation and
powers of the competent authorities referred to in paragraph 3
and shall notify the Commission and other Member States
thereof and also of any subsequent amendment.

Article 5

Placing on the market and putting into service

1.
Before placing machinery on the market and/or putting it
into service, the manufacturer or his authorised representative
shall:

(a) ensure that

it satisfies the relevant essential health and

safety requirements set out in Annex I;

(b) ensure that the technical file referred to in Section A of

Annex VII is available;

(l) ‘harmonised standard’ means a non-binding technical speci-
fication adopted by a standardisation body, namely the

(1) OJ L 204, 21.7.1998, p. 37. Directive as last amended by the 2003

Act of Accession.

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(c) provide,

in particular, the necessary information, such as

Article 7

instructions;

(d) carry out the appropriate conformity assessment proce-

dures in accordance with Article 12;

(e) draw up the EC declaration of conformity in accordance
with Section A in Part 1 of Annex II and ensure that it
accompanies the machinery;

(f) affix the CE marking in accordance with Article 16.

Before placing partly completed machinery on the
2.
market, the manufacturer or his authorised representative shall
ensure that the procedure referred to in Article 13 has been
completed.

For the purposes of the procedures referred to in Article
3.
12,
the manufacturer or his authorised representative shall
have, or shall have access to, the necessary means of ensuring
that
the machinery satisfies the essential health and safety
requirements set out in Annex I.

4. Where machinery is also the subject of other Community
Directives relating to other aspects and providing for the
affixing of the CE marking, the marking shall indicate that the
those other
machinery also conforms to the provisions of
Directives.

However, where one or more of those Directives allow the
manufacturer or his authorised representative to choose, during
a transitional period, the system to be applied, the CE marking
shall indicate conformity only to the provisions of those Direc-
tives applied by the manufacturer or his authorised representa-
tive. Particulars of the Directives applied, as published in the
Official Journal of the European Union, shall be given on the EC
declaration of conformity.

Article 6

Freedom of movement

1. Member States shall not prohibit, restrict or impede the
placing on the market and/or putting into service in their terri-
tory of machinery which complies with this Directive.

2. Member States shall not prohibit, restrict or impede the
placing on the market of partly completed machinery where
the manufacturer or his authorised representative makes a
declaration of incorporation, referred to in Annex II, Part 1,
Section B, stating that it is to be incorporated into machinery
or assembled with other partly completed machinery to form
machinery.

Presumption of conformity and harmonised standards

1. Member States shall regard machinery bearing the CE
marking and accompanied by the EC declaration of conformity,
the content of which is set out in Annex II, Part 1, Section A,
as complying with the provisions of this Directive.

2. Machinery manufactured in conformity with a harmo-
nised standard, the references to which have been published in
the Official Journal of the European Union, shall be presumed to
comply with the essential health and safety requirements
covered by such a harmonised standard.

The Commission shall publish in the Official Journal of the

3.
European Union the references of the harmonised standards.

4. Member States shall take the appropriate measures to
enable the social partners to have an influence at national level
on the process of preparing and monitoring the harmonised
standards.

Article 8

Specific measures

1.
The Commission, acting in accordance with the proce-
dure referred to in Article 22(3), may take any appropriate
measure to implement the provisions relating to the following
points:

(a) updating of the indicative list of safety components in

Annex V referred to in point (c) in Article 2;

(b) restriction of

the placing on the market of machinery

referred to in Article 9.

2.
The Commission, acting in accordance with the proce-
dure referred to in Article 22(2), may take any appropriate
measure connected with the implementation and practical
application of this Directive, including measures necessary to
ensure cooperation of Member States with each other and with
the Commission, as provided for in Article 19(1).

Article 9

Specific measures to deal with potentially hazardous
machinery

At trade fairs, exhibitions, demonstrations, etc., Member
3.
States shall not prevent the showing of machinery or partly
completed machinery which does not conform to this Direc-
tive, provided that a visible sign clearly indicates that it does
not conform and that it will not be made available until it has
been brought into conformity. Furthermore, during demonstra-
tions of such non-conforming machinery or partly completed
machinery, adequate safety measures shall be taken to ensure
the protection of persons.

1. When, in accordance with the procedure referred to in
Article 10, the Commission considers that a harmonised stand-
ard does not entirely satisfy the essential health and safety
requirements which it covers and which are set out in Annex I,
the Commission may,
in accordance with paragraph 3, take
measures requiring Member States to prohibit or restrict the
placing on the market of machinery with technical characteris-
tics presenting risks due to the shortcomings in the standard or
to make such machinery subject to special conditions.

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When, in accordance with the procedure referred to in Article
11,
the Commission considers that a measure taken by a
Member State is justified, the Commission may, in accordance
with paragraph 3, take measures requiring Member States to
prohibit or restrict the placing on the market of machinery
presenting the same risk by virtue of its technical characteristics
or to make such machinery subject to special conditions.

Any Member State may request

2.
the Commission to
examine the need for the adoption of the measures referred to
in paragraph 1.

3.
In the cases referred to in paragraph 1, the Commission
shall consult the Member States and other interested parties
indicating the measures it intends to take, in order to ensure, at
Community level, a high level of protection of the health and
safety of persons.

Taking due account of the results of this consultation, it shall
adopt the necessary measures in accordance with the procedure
referred to in Article 22(3).

Article 10

Procedure for disputing a harmonised standard

Where a Member State or the Commission considers that a
harmonised standard does not entirely satisfy the essential
health and safety requirements which it covers and which are
set out in Annex I, the Commission or the Member State shall
bring the matter before the committee set up by Directive
98/34/EC, setting out the reasons therefor. The committee shall
deliver an opinion without delay. In the light of the commit-
tee's opinion, the Commission shall decide to publish, not to
publish, to publish with restriction, to maintain, to maintain
with restriction or to withdraw the references to the harmo-
nised standard concerned in the Official Journal of the European
Union.

Article 11

Safeguard clause

1. Where a Member State ascertains that machinery covered
by this Directive, bearing the CE marking, accompanied by the
EC declaration of conformity and used in accordance with its
intended purpose or under conditions which can reasonably be
foreseen,
is liable to compromise the health and safety of
persons and, where appropriate, domestic animals or property,
it
to withdraw such
machinery from the market, to prohibit the placing on the
market and/or putting into service of such machinery or to
restrict free movement thereof.

take all appropriate measures

shall

2.
The Member State shall immediately inform the Commis-
sion and the other Member States of any such measure, indi-
cating the reasons for its decision and, in particular, whether
the non-conformity is due to:

(b) incorrect application of the harmonised standards referred

to in Article 7(2);

(c) shortcomings

in the harmonised standards

themselves

referred to in Article 7(2).

The Commission shall enter into consultation with the

3.
parties concerned without delay.

The Commission shall consider, after this consultation, whether
or not the measures taken by the Member State are justified,
and it shall communicate its decision to the Member State
which took the initiative, the other Member States, and the
manufacturer or his authorised representative.

4. Where the measures referred to in paragraph 1 are based
the
on a shortcoming in the harmonised standards and if
Member State which instigated the measures maintains its posi-
tion, the Commission or the Member State shall
initiate the
procedure referred to in Article 10.

5. Where machinery does not conform and bears the CE
marking, the competent Member State shall take appropriate
action against whomsoever has affixed the marking and shall
so inform the Commission. The Commission shall inform the
other Member States.

The Commission shall ensure that Member States are kept

6.
informed of the progress and outcome of the procedure.

Article 12

Procedures for assessing the conformity of machinery

1.
The manufacturer or his authorised representative shall,
in order to certify the conformity of machinery with the provi-
sions of this Directive, apply one of the procedures for assess-
ment of conformity described in paragraphs 2, 3 and 4.

2. Where the machinery is not referred to in Annex IV, the
manufacturer or his authorised representative shall apply the
procedure for assessment of conformity with internal checks
on the manufacture of machinery, provided for in Annex VIII.

3. Where the machinery is referred to in Annex IV and
manufactured in accordance with the harmonised standards
referred to in Article 7(2), and provided that those standards
cover all of the relevant essential health and safety require-
ments, the manufacturer or his authorised representative shall
apply one of the following procedures:

(a) the procedure for assessment of conformity with internal
checks on the manufacture of machinery, provided for in
Annex VIII;

(b) the EC type-examination procedure provided for in Annex
the internal checks on the manufacture of

IX, plus
machinery provided for in Annex VIII, point 3;

(a) failure to satisfy the essential requirements referred to in

(c) the full quality assurance procedure provided for in Annex

Article 5(1)(a);

X.

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4. Where the machinery is referred to in Annex IV and has
not been manufactured in accordance with the harmonised
standards referred to in Article 7(2), or only partly in accord-
ance with such standards, or if the harmonised standards do
not cover all the relevant essential health and safety require-
ments or if no harmonised standards exist for the machinery in
question,
the manufacturer or his authorised representative
shall apply one of the following procedures:

(a) the EC type-examination procedure provided for in Annex
the internal checks on the manufacture of

IX, plus
machinery provided for in Annex VIII, point 3;

(b) the full quality assurance procedure provided for in Annex

X.

Article 13

Procedure for partly completed machinery

The manufacturer of partly completed machinery or his
1.
authorised representative shall, before placing it on the market,
ensure that:

(a) the relevant technical documentation described in Annex

VII, Part B is prepared;

(b) assembly instructions described in Annex VI are prepared;

(c) a declaration of incorporation described in Annex II, Part 1,

Section B has been drawn up.

2.
The assembly instructions and the declaration of incor-
poration shall accompany the partly completed machinery until
it is incorporated into the final machinery and shall then form
part of the technical file for that machinery.

Article 14

Notified bodies

1. Member States shall notify the Commission and the other
Member States of the bodies which they have appointed to
carry out the assessment of conformity for placing on the
market referred to in Article 12(3) and (4), together with the
specific conformity assessment procedures and categories of
machinery for which these bodies have been appointed and the
identification numbers assigned to them beforehand by the
Commission. Member States shall notify the Commission and
other Member States of any subsequent amendment.

The Member States shall ensure that the notified bodies
2.
are monitored regularly to check that they comply at all times
with the criteria set out in Annex XI. The notified body shall
provide
including
budgetary documents, to enable the Member States to ensure
that the requirements of Annex XI are met.

information on request,

relevant

all

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.

5.
Bodies meeting the assessment criteria laid down in the
relevant harmonised standards, the references of which shall be
published in the Official Journal of the European Union, shall be
presumed to fulfil the relevant criteria.

6.
If a notified body finds that relevant requirements of this
Directive have not been met or are no longer met by the manu-
facturer or that an EC type-examination certificate or the
approval of a quality assurance system should not have been
issued, it shall, taking account of the principle of proportion-
ality, suspend or withdraw the certificate or the approval issued
or place restrictions on it, giving detailed reasons, unless
compliance with such requirements is ensured by the imple-
mentation of appropriate corrective measures by the manufac-
turer. In the event of suspension or withdrawal of the certificate
or the approval or of any restriction placed on it, or in cases
where intervention by the competent authority may prove
inform the competent
necessary,
authority pursuant to Article 4. The Member State shall inform
the other Member States and the Commission without delay.
An appeal procedure shall be available.

the notified body shall

7.
The Commission shall provide for the organisation of an
exchange of experience between the authorities responsible for
appointment, notification and monitoring of notified bodies in
the Member States, and the notified bodies, in order to coordi-
nate the uniform application of this Directive.

A Member State which has notified a body shall immedi-

8.
ately withdraw its notification if it finds:

(a) that the body no longer meets the criteria set out in Annex

XI; or

(b) that the body seriously fails to fulfil its responsibilities.

The Member State shall immediately inform the Commission
and the other Member States accordingly.

Article 15

Installation and use of machinery

This Directive shall not affect Member States' entitlement to lay
down,
in due observance of Community law, such require-
ments as they may deem necessary to ensure that persons, and
in particular workers, are protected when using machinery,
provided that this does not mean that such machinery is modi-
fied in a way not specified in this Directive.

3. Member States shall apply the criteria set out in Annex XI
in assessing the bodies to be notified and the bodies already
notified.

Article 16

CE marking

4.
The Commission shall publish in the Official Journal of the
European Union, for information, a list of the notified bodies

The CE conformity marking shall consist of the initials

1.
'CE' as shown in Annex III.

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The CE marking shall be affixed to the machinery visibly,

2.
legibly and indelibly in accordance with Annex III.

The affixing on machinery of markings, signs and inscrip-
3.
tions which are likely to mislead third parties as to the
meaning and/or form of the CE marking shall be prohibited.
Any other marking may be affixed to the machinery provided
that the visibility, legibility and meaning of the CE marking is
not thereby impaired.

cooperate with each other and with the Commission and
transmit to each other the information necessary to enable this
Directive to be applied uniformly.

2.
The Commission shall provide for the organisation of an
exchange of experience between the competent authorities
responsible for market surveillance in order to coordinate the
uniform application of this Directive.

Article 17

Non-conformity of marking

1. Member States shall consider the following marking not
to conform:

(a) the affixing of the CE marking pursuant to this Directive

on products not covered by this Directive;

(b) the absence of the CE marking and/or the absence of the

EC declaration of conformity for machinery;

(c) the affixing on machinery of a marking, other than the CE

marking, which is prohibited under Article 16(3).

2. Where a Member State ascertains that marking does not
conform to the relevant provisions of this Directive, the manu-
facturer or his authorised representative shall be obliged to
make the product conform and to put an end to the infringe-
ment under conditions fixed by that Member State.

3. Where non-conformity persists, the Member State shall
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 11.

Article 18

Confidentiality

1. Without prejudice to existing national provisions and
practices in the area of confidentiality, Member States shall
ensure that all parties concerned by the application of this
Directive are required to treat as confidential
information
obtained in the execution of their tasks which is covered by
professional secrecy, unless the divulging of such information
is necessary in order to protect
the health and safety of
persons.

2.
The provisions of paragraph 1 shall not affect the obliga-
tions of the Member States and the notified bodies with regard
to mutual exchange of information and the issuing of warn-
ings.

3.
Any decisions taken by the Member States and by the
Commission in accordance with Articles 9 and 11 shall be
published.

Article 19

Cooperation between Member States

Article 20

Legal remedies

Any measure taken pursuant to this Directive which restricts
the placing on the market and/or putting into service of any
machinery covered by this Directive shall state the exact
grounds on which it is based. Such a measure 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.

Article 21

Dissemination of information

The Commission shall take the necessary measures for appro-
priate information concerning the implementation of
this
Directive to be made available.

Article 22

Committee

The Commission shall be assisted by a committee, herein-

1.
after referred to as the ‘Machinery Committee’.

2. Where reference is made to this paragraph, Articles 3 and
7 of Decision 1999/468/EC shall apply, having regard to the
provisions of Article 8 thereof.

3. Where reference is made to this paragraph, Articles 5 and
7 of Decision 1999/468/EC shall apply, having regard to the
provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC
shall be three months.

The Machinery Committee shall adopt its rules of proce-

4.
dure.

Article 23

Penalties

Member States shall lay down the rules on penalties applicable
to infringements of the national provisions adopted pursuant
to this Directive and shall take all measures necessary to ensure
that they are implemented. The penalties provided for must be
effective, proportionate and dissuasive. Member States shall
notify those provisions to the Commission by … (*) and shall
notify it without delay of any subsequent amendment affecting
them.

1. Member States shall take the appropriate measures to
ensure that the competent authorities referred to in Article 4(3)

(*) 24 months after the date of entry into force of this Directive.

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Article 24

— rack and pinion trains,

Amendment of Directive 95/16/EC

— escalators and mechanical walkways.’;

2.

in Annex I, point 1.2 shall be replaced by the following:

Directive 95/16/EC is hereby amended as follows:

1.

in Article 1, paragraphs 2 and 3 shall be replaced by the
following:

For the purposes of this Directive, “lift” shall mean a
‘2.
lifting appliance serving specific levels, having a carrier
moving along guides which are rigid and inclined at an
angle of more than 15 degrees to the horizontal, intended
for the transport of:

— persons,

— persons and goods,

‘1.2. Carrier

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

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

— goods alone if the carrier is accessible, that is to say, a
person may enter it without difficulty, and fitted with
controls situated inside the carrier or within reach of a
person inside the carrier.

Lifting appliances moving along a fixed course even where
they do not move along guides which are rigid shall be
considered as lifts falling within the scope of this Directive.

Article 25

Repeal

Directive 98/37/EC is hereby repealed.

A “carrier” means a part of the lift by which persons and/or
goods are supported in order to be lifted or lowered.

References made to the repealed Directive shall be construed as
being made to this Directive and should be read in accordance
with the correlation table in Annex XII.

3.

This Directive shall not apply to:

— lifting appliances whose speed is not greater

than

0,15 m/s,

— construction site hoists,

— cableways, including funicular railways,

— lifts specially designed and constructed for military or

police purposes,

— lifting appliances from which work can be carried out,

— mine winding gear,

— lifting appliances intended for lifting performers during

artistic performances,

— lifting appliances fitted in means of transport,

Article 26

Implementation

1. Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with this
Directive by … (*). They shall forthwith inform the Commis-
sion thereof.

They shall apply those provisions with effect from … (**).

When Member States adopt those measures, they shall contain
a reference to this Directive or be accompanied by such a refer-
ence on the occasion of their official publication. The methods
of making such reference shall be laid down by Member States.

2. Member States shall communicate to the Commission the
text of the provisions of national law which they adopt in the
field covered by this Directive, together with a table showing
how the provisions of this Directive correspond to the national
provisions adopted.

— lifting appliances connected to machinery and intended
exclusively for access to workstations including mainte-
nance and inspection points on the machinery,

(*) 24 months after the date of entry into force of this Directive.
(**) 42 months after the date of entry into force of this Directive.

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Article 27

Derogation

Until … (*) Member States may allow the placing on the
market and the putting into service of portable cartridge-oper-
ated fixing and other impact machinery which are in confor-
mity with the national provisions in force upon adoption of
this Directive.

Article 29

Addressees

This Directive is addressed to the Member States.

Article 28

Entry into force

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

Done at Brussels,

For the European Parliament

The President

…

For the Council

The President

…

(*) Five years after the date of entry into force of this Directive.

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ANNEX I

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

GENERAL PRINCIPLES

1.

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

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

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

misuse thereof,

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

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

probability of its occurrence,

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

objective of this Directive,

— eliminate the hazards or reduce the risks associated with these hazards by application of protective

measures, in the order of priority established in Section 1.1.2(b).

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

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

This Annex is organised in several parts. The first one has a general scope and is applicable to all kinds of
machinery. The other parts refer to certain kinds of more specific hazards. Nevertheless, it is essential to
examine the whole of this Annex in order to be sure of meeting all the relevant essential requirements. When
machinery is being designed, the requirements of the general part and the requirements of one or more of the
other parts shall be taken into account, depending on the results of the risk assessment carried out in accord-
ance with point 1 of these general principles.

2.

3.

4.

1.

ESSENTIAL HEALTH AND SAFETY REQUIREMENTS

1.1.

General remarks

1.1.1.

Definitions

For the purpose of this Annex:

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

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

his health or safety;

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

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

moving machinery;

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

arise in a hazardous situation;

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

barrier;

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

tion with a guard;

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(h) ‘intended use’ means the use of machinery in accordance with the information provided in the instruc-

tions for use;

(i) ‘reasonably foreseeable misuse’ means the use of machinery in a way not intended in the instructions for

use, but which may result from readily predictable human behaviour.

1.1.2.

Principles of safety integration

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

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

(b) In selecting the most appropriate methods, the manufacturer or his authorised representative must apply

the following principles, in the order given:

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

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

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

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

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

(d) Machinery must be designed and constructed to take account of the constraints to which the operator is

subject as a result of the necessary or foreseeable use of personal protective equipment;

(e) Machinery must be supplied with all the special equipment and accessories essential to enable it to be

adjusted, maintained and used safely.

1.1.3.

Materials and products

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

1.1.4.

Lighting

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

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

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

1.1.5.

Design of machinery to facilitate its handling

Machinery, or each component part thereof, must:

— be capable of being handled and transported safely,

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

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

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

— either be fitted with attachments for lifting gear, or

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

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

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

— either be easily moveable, or

— be equipped for picking up and moving safely.

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

1.1.6.

Ergonomics

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

— allowing for the variability of the operator's physical dimensions, strength and stamina,

— providing enough space for movements of the parts of the operator's body,

— avoiding a machine-determined work rate,

— avoiding monitoring that requires lengthy concentration,

— adapting the man/machinery interface to the foreseeable characteristics of the operators.

1.1.7.

Operating positions

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

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

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

1.1.8.

Seating

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

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

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

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

1.2.

Control systems

1.2.1.

Safety and reliability of control systems

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

— they can withstand the intended operating stresses and external influences,

— a fault in the hardware or the software of the control system does not lead to hazardous situations,

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— errors in the control system logic do not lead to hazardous situations,

— reasonably foreseeable human error during operation does not lead to hazardous situations.

Particular attention must be given to the following points:

— the machinery must not start unexpectedly,

— the parameters of the machinery must not change in an uncontrolled way, where such change may lead

to hazardous situations,

— the machinery must not be prevented from stopping if the stop command has already been given,

— no moving part of the machinery or piece held by the machinery must fall or be ejected,

— automatic or manual stopping of the moving parts, whatever they may be, must be unimpeded,

— the protective devices must remain fully effective or give a stop command,

— the safety-related parts of the control system must apply in a coherent way to the whole of an assembly

of machinery and/or partly completed machinery.

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

1.2.2.

Control devices

Control devices must be:

— clearly visible and identifiable, using pictograms where appropriate,

— positioned in such a way as to be safely operated without hesitation or loss of time and without ambi-

guity,

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

— located outside the danger zones, except where necessary for certain control devices such as an emergency

stop or a teach pendant,

— positioned in such a way that their operation cannot cause additional risk,

— designed or protected in such a way that the desired effect, where a hazard is involved, can only be

achieved by a deliberate action,

— made in such a way as to withstand foreseeable forces; particular attention must be paid to emergency

stop devices liable to be subjected to considerable forces.

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

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

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

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

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

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

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

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

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1.2.3.

Starting

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

The same requirement applies:

— when restarting the machinery after a stoppage, whatever the cause,

— when effecting a significant change in the operating conditions.

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

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

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

1.2.4.

Stopping

1.2.4.1. N orma l stop

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

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

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

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

1.2.4.2. O p er a ti ona l stop

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

1.2.4.3.

E me r g e nc y stop

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

The following exceptions apply:

— machinery in which an emergency stop device would not lessen the risk, either because it would not
reduce the stopping time or because it would not enable the special measures required to deal with the
risk to be taken,

— portable hand-held and/or hand-guided machinery.

The device must:

— have clearly identifiable, clearly visible and quickly accessible control devices,

— stop the hazardous process as quickly as possible, without creating additional risks,

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

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

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

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

1.2.4.4. A sse mbly of ma c hi ne r y

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

1.2.5.

Selection of control or operating modes

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

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

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

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

— disable all other control or operating modes,

— permit operation of hazardous functions only by control devices requiring sustained action,

— permit the operation of hazardous functions only in reduced risk conditions while preventing hazards

from linked sequences,

— prevent any operation of hazardous functions by voluntary or involuntary action on the machine's

sensors.

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

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

1.2.6.

Failure of the power supply

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

Particular attention must be given to the following points:

— the machinery must not start unexpectedly,

— the parameters of the machinery must not change in an uncontrolled way when such change can lead to

hazardous situations,

— the machinery must not be prevented from stopping if the command has already been given,

— no moving part of the machinery or piece held by the machinery must fall or be ejected,

— automatic or manual stopping of the moving parts, whatever they may be, must be unimpeded,

— the protective devices must remain fully effective or give a stop command.

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1.3.

Protection against mechanical hazards

1.3.1.

Risk of loss of stability

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

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

1.3.2.

Risk of break-up during operation

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

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

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

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

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

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

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

condition,

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

ment 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.

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

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

1.3.6.

Risks related to variations in operating conditions

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

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1.3.7.

Risks related to moving parts

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

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

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

1.3.8.

Choice of protection against risks arising from moving parts

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

1.3.8.1. M ov i n g tr a n smi ssi on p a r ts

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

— either fixed guards as referred to in Section 1.4.2.1, or

— interlocking movable guards as referred to in Section 1.4.2.2.

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

1.3.8.2. M ov i n g p a r ts i nv olv e d i n th e pr oc e ss

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

— either fixed guards as referred to in Section 1.4.2.1, or

— interlocking movable guards as referred to in Section 1.4.2.2, or

— protective devices as referred to in Section 1.4.3, or

— a combination of the above.

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

— fixed guards or interlocking movable guards preventing access to those sections of the parts that are not

used in the work, and

— adjustable guards as referred to in Section 1.4.2.3 restricting access to those sections of the moving parts

where access is necessary.

1.3.9.

Risks of uncontrolled movements

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

1.4.

Required characteristics of guards and protective devices

1.4.1.

General requirements

Guards and protective devices must:

— be of robust construction,

— be securely held in place,

— not give rise to any additional hazard,

— not be easy to by-pass or render non-operational,

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— be located at an adequate distance from the danger zone,

— cause minimum obstruction to the view of the production process, and

— enable essential work to be carried out on the installation and/or replacement of tools and for mainte-
nance purposes by restricting access exclusively to the area where the work has to be done, if possible
without the guard having to be removed or the protective device having to be disabled.

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

1.4.2.

Special requirements for guards

1.4.2.1.

F i xe d g u a rds

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

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

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

1.4.2.2.

In te r lock i n g mov a b le g u a r ds

Interlocking movable guards must:

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

— be designed and constructed in such a way that they can be adjusted only by means of an intentional

action.

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

— prevents the start of hazardous machinery functions until they are closed, and

— gives a stop command whenever they are no longer closed.

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

— prevents the start of hazardous machinery functions until the guard is closed and locked, and

— keeps the guard closed and locked until the risk of injury from the hazardous machinery functions has

ceased.

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

1.4.2.3. A dj u sta ble g u a r ds r e str i c ti ng a c ce ss

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

— adjustable manually or automatically, depending on the type of work involved, and

— readily adjustable without the use of tools.

1.4.3.

Special requirements for protective devices

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

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

— persons cannot reach moving parts while the parts are moving, and

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

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

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1.5.

Risks due to other hazards

1.5.1.

Electricity supply

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

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

1.5.2.

Static electricity

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

1.5.3.

Energy supply other than electricity

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

1.5.4.

Errors of fitting

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

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

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

1.5.5.

Extreme temperatures

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

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

1.5.6.

Fire

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

1.5.7.

Explosion

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

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

1.5.8.

Noise

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

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

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1.5.9.

Vibrations

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

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

1.5.10.

Radiation

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

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

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

1.5.11.

External radiation

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

1.5.12.

Laser radiation

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

— laser equipment on machinery must be designed and constructed in such a way as to prevent any acci-

dental radiation,

— laser equipment on machinery must be protected in such a way that effective radiation, radiation

produced by reflection or diffusion and secondary radiation do not damage health,

— optical equipment for the observation or adjustment of laser equipment on machinery must be such that

no health risk is created by laser radiation.

1.5.13.

Emissions of hazardous materials and substances

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

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

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

1.5.14.

Risk of being trapped in a machine

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

1.5.15.

Risk of slipping, tripping or falling

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

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

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1.5.16.

Lightning

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

1.6.

Maintenance

1.6.1.

Machinery maintenance

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

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

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

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

1.6.2.

Access to operating positions and servicing points

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

1.6.3.

Isolation of energy sources

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

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

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

As an exception to the requirement laid down in the previous paragraphs, certain circuits may remain
connected to their energy sources in order, for example, to hold parts, to protect information, to light inter-
iors, 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 safely.

1.6.5.

Cleaning of internal parts

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

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1.7.

Information

1.7.1.

Information and warnings on the machinery

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

1.7.1.1.

In form a ti on a nd i nfor ma ti on dev i c es

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

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

1.7.1.2. Wa rn i n g de v i c e s

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

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

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

1.7.2.

Warning of residual risks

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

1.7.3.

Marking of machinery

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

— the business name and full address of the manufacturer and, where applicable, his authorised representa-

tive,

— designation of the machinery,

— the CE Marking (see Annex III),

— designation of series or type,

— serial number, if any,

— the year of construction, i.e. the year in which the manufacturing process is completed.

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

Furthermore, machinery designed and constructed for use in a potentially explosive atmosphere must be
marked accordingly.

Machinery must also bear full information relevant to its type and essential for safe use. Such information is
subject to the requirement in Section 1.7.1.

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

1.7.4.

Instructions

All machinery must be accompanied by instructions in the official Community language(s) of the Member
State in which it is placed on the market and/or put into service.

The instructions accompanying the machinery must be either ‘Original instructions’ or a ‘Translation of the
original instructions’, in which case the translation must be accompanied by the original instructions.

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By way of exception, the maintenance instructions intended for use by specialised personnel mandated by the
manufacturer or his authorised representative may be supplied in only one Community language which the
specialised personnel understand.

The instructions must be drafted in accordance with the principles set out below.

1.7.4.1. G en e ra l pr i n ci pl es for the dr a f ti n g of i n str uc ti on s

(a) The instructions must be drafted in one or more official Community languages. The words ‘Original
instructions’ must appear on the language version(s) verified by the manufacturer or his authorised repre-
sentative;

(b) Where no ‘Original instructions’ exist in the official language(s) of the country where the machinery is to
be used, a translation into that/those language(s) must be provided by the manufacturer or his authorised
representative or by the person introducing the machinery into the language area in question. The transla-
tions must bear the words ‘Translation of the original instructions’;

(c) The contents of the instructions must cover not only the intended use of the machinery but also take into

account any reasonably foreseeable misuse thereof;

(d) In the case of machinery intended for use by non-professional operators, the wording and layout of the
instructions for use must take into account the level of general education and acumen that can reasonably
be expected from such operators.

1.7.4.2.

Conte nts of the i nstr u cti ons

Each instruction manual must contain, where applicable, at least the following information:

(a) the business name and full address of the manufacturer and of his authorised representative;

(b) the designation of the machinery as marked on the machinery itself, except for the serial number (see

Section 1.7.3);

(c) the EC declaration of conformity, or a document setting out the contents of the EC declaration of confor-
mity, showing the particulars of the machinery, not necessarily including the serial number and the
signature;

(d) a general description of the machinery;

(e) the drawings, diagrams, descriptions and explanations necessary for the use, maintenance and repair of

the machinery and for checking its correct functioning;

(f) a description of the workstation(s) likely to be occupied by operators;

(g) a description of the intended use of the machinery;

(h) warnings concerning ways in which the machinery must not be used that experience has shown might

occur;

(i) assembly, installation and connection instructions, including drawings, diagrams and the means of attach-

ment and the designation of the chassis or installation on which the machinery is to be mounted;

(j) instructions relating to installation and assembly for reducing noise or vibration;

(k) instructions for the putting into service and use of the machinery and, if necessary, instructions for the

training of operators;

(l) information about the residual risks that remain despite the inherent safe design measures, safeguarding

and complementary protective measures adopted;

(m) instructions on the protective measures to be taken by the user,

including, where appropriate, the

personal protective equipment to be provided;

(n) the essential characteristics of tools which may be fitted to the machinery;

(o) the conditions in which the machinery meets the requirement of stability during use, transportation,

assembly, dismantling when out of service, testing or foreseeable breakdowns;

(p) instructions with a view to ensuring that transport, handling and storage operations can be made safely,
giving the mass of the machinery and of its various parts where these are regularly to be transported
separately;

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(q) the operating method to be followed in the event of accident or breakdown; if a blockage is likely to

occur, the operating method to be followed so as to enable the equipment to be safely unblocked;

(r) the description of the adjustment and maintenance operations that should be carried out by the user and

the preventive maintenance measures that should be observed;

(s) instructions designed to enable adjustment and maintenance to be carried out safely,

including the

protective measures that should be taken during these operations;

(t) the specifications of the spare parts to be used, when these affect the health and safety of operators;

(u) the following information on airborne noise emissions:

— the A-weighted emission sound pressure level at workstations, where this exceeds 70 dB(A); where

this level does not exceed 70 dB(A), this fact must be indicated,

— the peak C-weighted instantaneous sound pressure value at workstations, where this exceeds 63 Pa

(130 dB in relation to 20 µΡa),

— the A-weighted sound power level emitted by the machinery, where the A-weighted emission sound

pressure level at workstations exceeds 80 dB(A).

These values must be either those actually measured for the machinery in question or those established
on the basis of measurements taken for technically comparable machinery which is representative of the
machinery to be produced.

In the case of very large machinery, instead of the A-weighted sound power level, the A-weighted emis-
sion 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 appro-
priate method for the machinery. Whenever sound emission values are indicated the uncertainties
surrounding these values must be specified. The operating conditions of the machinery during measure-
ment and the measuring methods used must be described.

Where the workstation(s) are undefined or cannot be defined, A-weighted sound pressure levels must be
measured at a distance of 1 metre from the surface of the machinery and at a height of 1,6 metres from
the floor or access platform. The position and value of the maximum sound pressure must be indicated.

Where specific Community Directives lay down other requirements for the measurement of sound pres-
sure levels or sound power levels, those Directives must be applied and the corresponding provisions of
this section shall not apply;

(v) where machinery is likely to emit non-ionising radiation which may cause harm to persons, in particular
information concerning the radiation

persons with active or non-active implantable medical devices,
emitted for the operator and exposed persons.

1.7.4.3.

S a le s l i te ra tur e

Sales literature describing the machinery must not contradict the instructions as regards health and safety
aspects. Sales literature describing the performance characteristics of machinery must contain the same infor-
mation on emissions as is contained in the instructions.

2.

SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS FOR CERTAIN CATEGORIES OF
MACHINERY

Foodstuffs machinery, machinery for cosmetics or pharmaceutical products, hand-held and/or hand-guided
machinery, portable fixing and other impact machinery, machinery for working wood and material with
similar physical characteristics must meet all the essential health and safety requirements described in this
chapter (see General principles, Item 4).

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2.1.

Foodstuffs machinery and machinery for cosmetics or pharmaceutical products

2.1.1.

General

Machinery intended for use with foodstuffs or with cosmetics or pharmaceutical products must be designed
and constructed in such a way as to avoid any risk of infection, sickness or contagion.

The following requirements must be observed:

(a) materials in contact with, or intended to come into contact with, foodstuffs or cosmetics or pharmaceu-
tical products must satisfy the conditions set down in the relevant Directives. The machinery must be
designed and constructed in such a way that these materials can be cleaned before each use. Where this is
not possible disposable parts must be used;

(b) all surfaces in contact with foodstuffs or cosmetics or pharmaceutical products, other than surfaces of

disposable parts, must:

— be smooth and have neither ridges nor crevices which could harbour organic materials; the same

applies to their joinings;

— be designed and constructed in such a way as to reduce the projections, edges and recesses of assem-

blies to a minimum;

— be easily cleaned and disinfected, where necessary after removing easily dismantled parts; the inside

surfaces must have curves with a radius sufficient to allow thorough cleaning;

(c) it must be possible for liquids, gases and aerosols deriving from foodstuffs, cosmetics or pharmaceutical
products as well as from cleaning, disinfecting and rinsing fluids to be completely discharged from the
machinery (if possible, in a ‘cleaning’ position);

(d) machinery must be designed and constructed in such a way as to prevent any substances or living crea-
tures, in particular insects, from entering, or any organic matter from accumulating in, areas that cannot
be cleaned;

(e) machinery must be designed and constructed in such a way that no ancillary substances hazardous to
health, including the lubricants used, can come into contact with foodstuffs, cosmetics or pharmaceutical
products. Where necessary, machinery must be designed and constructed in such a way that continuing
compliance with this requirement can be checked.

2.1.2.

Instructions

The instructions for foodstuffs machinery and machinery for use with cosmetics or pharmaceutical products
must indicate recommended products and methods for cleaning, disinfecting and rinsing, not only for easily
accessible areas but also for areas to which access is impossible or inadvisable.

2.2.

Portable hand-held and/or hand-guided machinery

2.2.1.

General

Portable hand-held and/or hand-guided machinery must:

— depending on the type of machinery, have a supporting surface of sufficient size and have a sufficient
number of handles and supports of an appropriate size, arranged in such a way as to ensure the stability
of the machinery under the intended operating conditions;

— except where technically impossible, or where there is an independent control device,

in the case of
handles which cannot be released in complete safety, be fitted with manual start and stop control devices
arranged in such a way that the operator can operate them without releasing the handles;

— present no risks of accidental starting and/or continued operation after the operator has released the

handles. Equivalent steps must be taken if this requirement is not technically feasible;

— permit, where necessary, visual observation of the danger zone and of the action of the tool with the

material being processed.

The handles of portable machinery must be designed and constructed in such a way as to make starting and
stopping straightforward.

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2.2.1.1.

In str uc ti on s

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

— the vibration total value to which the hand-arm system is subjected, if it exceeds 2,5 m/s2. Where this

value does not exceed 2,5 m/s2, this must be mentioned;

— the uncertainty of measurement.

These values must be either those actually measured for the machinery in question or those established on
the basis of measurements taken for technically comparable machinery which is representative of the
machinery to be produced.

If harmonised standards are not applied, the vibration data must be measured using the most appropriate
measurement code for the machinery.

The operating conditions during measurement and the methods used for measurement, or the reference of
the harmonised standard applied, must be specified.

2.2.2.

Portable fixing and other impact machinery

2.2.2.1. G en e ra l

Portable fixing and other impact machinery must be designed and constructed in such a way that:

— energy is transmitted to the impacted element by the intermediary component that does not leave the

device;

— an enabling device prevents impact unless the machinery is positioned correctly with adequate pressure

on the base material;

— involuntary triggering is prevented; where necessary, an appropriate sequence of actions on the enabling

device and the control device must be required to trigger an impact;

— accidental triggering is prevented during handling or in case of shock;

— loading and unloading operations can be carried out easily and safely.

Where necessary, it must be possible to fit the device with splinter guard(s) and the appropriate guard(s) must
be provided by the manufacturer of the machinery.

2.2.2.2.

In str uc ti on s

The instructions must give the necessary information regarding:

— the accessories and interchangeable equipment that can be used with the machinery;

— the suitable fixing or other impacted elements to be used with the machinery;

— where appropriate, the suitable cartridges to be used.

2.3.

Machinery for working wood and material with similar physical characteristics

Machinery for working wood and materials with similar physical characteristics must comply with the
following requirements:

(a) The machinery must be designed, constructed or equipped in such a way that the piece being machined
can be placed and guided in safety; where the piece is hand-held on a work-bench, the latter must be
sufficiently stable during the work and must not impede the movement of the piece;

(b) Where the machinery is likely to be used in conditions involving the risk of ejection of workpieces or
parts of them, it must be designed, constructed, or equipped in such a way as to prevent such ejection,
or, if this is not possible, so that the ejection does not engender risks for the operator and/or exposed
persons;

(c) The machinery must be equipped with an automatic brake that stops the tool in a sufficiently short time

if there is a risk of contact with the tool whilst it runs down;

(d) Where the tool is incorporated into a non-fully automated machine, the latter must be designed and

constructed in such a way as to eliminate or reduce the risk of accidental injury.

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3.

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

Machinery presenting hazards due to its mobility must meet all the essential health and safety requirements
described in this chapter (see General principles, Item 4).

3.1.

General

3.1.1.

Definitions

(a) ‘Machinery presenting hazards due to its mobility’:

— machinery the operation of which requires either mobility while working, or continuous or semi-

continuous movement between a succession of fixed working locations;

— machinery which is operated without being moved, but which may be equipped in such a way as to

enable it to be moved more easily from one place to another.

(b) ‘Driver’: an operator responsible for the movement of a machine. The driver may be transported by the
machinery or may be on foot, accompanying the machinery, or may guide the machinery by remote
control.

3.2.

Work positions

3.2.1.

Driving position

Visibility from the driving position must be such that the driver can, in complete safety for himself and the
exposed persons, operate the machinery and its tools in their foreseeable conditions of use. Where necessary,
appropriate devices must be provided to remedy hazards due to inadequate direct vision.

Machinery on which the driver is transported must be designed and constructed in such a way that, from the
driving positions, there is no risk to the driver from inadvertent contact with the wheels and tracks.

The driving position of ride-on drivers must be designed and constructed in such a way that a driver's cab
may be fitted, provided this does not increase the risk and there is room. The cab must incorporate a place
for the instructions needed for the driver.

3.2.2.

Seating

Where there is a risk that operators or other persons transported by the machinery may be crushed between
parts of the machinery and the ground should the machinery roll or tip over, in particular for machinery
equipped with a protective structure referred to in Section 3.4.3 or 3.4.4, their seats must be designed or
equipped with a restraint system so as to keep the persons in their seats, without restricting movements
necessary for operations or movements relative to the structure caused by the suspension of the seats. Such
restraint systems should not be fitted if they increase the risk.

3.2.3.

Positions for other persons

If the conditions of use provide that persons other than the driver may occasionally or regularly be trans-
ported by the machinery or work on it, appropriate positions must be provided which enable them to be
transported or to work on it without risk.

The second and third paragraphs of Section 3.2.1. also apply to the places provided for persons other than
the driver.

3.3.

Control systems

If necessary, steps must be taken to prevent unauthorised use of controls.

In the case of remote controls, each control unit must clearly identify the machinery to be controlled from
that unit.

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The remote control system must be designed and constructed in such a way as to affect only:

— the machinery in question;

— the functions in question.

Remote controlled machinery must be designed and constructed in such a way that it will respond only to
signals from the intended control units.

3.3.1.

Control devices

The driver must be able to actuate all control devices required to operate the machinery from the driving
position, except for functions which can be safely actuated only by using control devices located elsewhere.
These functions include, in particular, those for which operators other than the driver are responsible or for
which the driver has to leave the driving position in order to control them safely.

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

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

In the case of wheeled machinery, the steering system must be designed and constructed in such a way as to
reduce the force of sudden movements of the steering wheel or the steering lever caused by shocks to the
guide wheels.

Any control that locks the differential must be so designed and arranged that it allows the differential to be
unlocked when the machinery is moving.

The sixth paragraph of Section 1.2.2, concerning acoustic and/or visual warning signals, applies only in the
case of reversing.

3.3.2.

Starting/moving

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

Where, for operating purposes, machinery is fitted with devices which exceed its normal clearance zone (e.g.
stabilisers,
jib, etc.), the driver must be provided with the means of checking easily, before moving the
machinery, that such devices are in a particular position which allows safe movement.

This also applies to all other parts which, to allow safe movement, have to be in particular positions, locked if
necessary.

Where it does not give rise to other risks, movement of the machinery must depend on safe positioning of
the aforementioned parts.

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

3.3.3.

Travelling function

Without prejudice to road traffic regulations, self-propelled machinery and its trailers must meet the require-
ments for slowing down, stopping, braking and immobilisation so as to ensure safety under all the operating,
load, speed, ground and gradient conditions allowed for.

The driver must be able to slow down and stop self-propelled machinery by means of a main device. Where
safety so requires, in the event of a failure of the main device, or in the absence of the energy supply needed
to actuate the main device, an emergency device with a fully independent and easily accessible control device
must be provided for slowing down and stopping.

Where safety so requires, a parking device must be provided to render stationary machinery immobile. This
device may be combined with one of the devices referred to in the second paragraph, provided that it is
purely mechanical.

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Remote-controlled machinery must be equipped with devices for stopping operation automatically and imme-
diately and for preventing potentially dangerous operation in the following situations:

— if the driver loses control;

— if it receives a stop signal;

— if a fault is detected in a safety-related part of the system;

— if no validation signal is detected within a specified time.

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 device by the driver. In particular, it must not be possible for movement to occur
while the engine is being started.

The control systems for pedestrian-controlled machinery must be designed in such a way as to minimise the
risks arising from inadvertent movement of the machine towards the driver, in particular:

— crushing;

— injury from rotating tools.

The speed of travel of the machinery must be compatible with the pace of a driver on foot.

In the case of machinery on which a rotary tool may be fitted, it must not be possible to actuate the tool
when the reverse control is engaged, except where the movement of the machinery results from movement of
the tool. In the latter case, the reversing speed must be such that it does not endanger the driver.

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

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

3.4.2.

Moving transmission parts

By way of derogation from Section 1.3.8.1, in the case of engines, moveable guards preventing access to the
moving parts in the engine compartment need not have interlocking devices if they have to be opened either
by the use of a tool or key or by a control located in the driving position, providing the latter is in a fully
enclosed cab with a lock to prevent unauthorised access.

3.4.3.

Roll-over and tip-over

Where, in the case of self-propelled machinery with a ride-on driver, operator(s) or other person(s), there is a
risk of rolling or tipping over, the machinery must be fitted with an appropriate protective structure, unless
this increases the risk.

This structure must be such that in the event of rolling or tipping over it affords the ride-on person(s) an
adequate deflection-limiting volume.

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

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3.4.4.

Falling objects

Where, in the case of self-propelled machinery with a ride-on driver, operator(s) or other person(s), there is a
risk due to falling objects or material, the machinery must be designed and constructed in such a way as to
take account of this risk and fitted, if its size allows, with an appropriate protective structure.

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

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

3.4.5.

Means of access

Handholds and steps must be designed, constructed and arranged in such a way that the operators use them
instinctively and do not use the control devices to assist access.

3.4.6.

Towing devices

All machinery used to tow or to be towed must be fitted with towing or coupling devices designed,
constructed and arranged in such a way as to ensure easy and secure connection and disconnection and to
prevent accidental disconnection during use.

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

3.4.7.

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

Removable mechanical transmission devices linking self-propelled machinery (or a tractor) to the first fixed
bearing of recipient machinery must be designed and constructed in such a way that any part that moves
during operation is protected over its whole length.

On the side of the self-propelled machinery (or tractor), the power take-off to which the removable mechan-
ical transmission device is attached must be protected either by a guard fixed and linked to the self-propelled
machinery (or tractor) or by any other device offering equivalent protection.

It must be possible to open this guard for access to the removable transmission device. Once it is in place,
there must be enough room to prevent the drive shaft damaging the guard when the machinery (or the
tractor) is moving.

On the recipient machinery side, the input shaft must be enclosed in a protective casing fixed to the
machinery.

Torque limiters or freewheels may be fitted to universal joint transmissions only on the side adjoining the
driven machinery. The removable mechanical transmission device must be marked accordingly.

All recipient machinery, the operation of which requires a removable mechanical transmission device to
connect it to self-propelled machinery (or a tractor), must have a system for attaching the removable mechan-
ical transmission device so that, when the machinery is uncoupled, the removable mechanical transmission
device and its guard are not damaged by contact with the ground or part of the machinery.

The outside parts of the guard must be so designed, constructed and arranged that they cannot turn with the
removable mechanical transmission device. The guard must cover the transmission to the ends of the inner
jaws in the case of simple universal joints and at least to the centre of the outer joint or joints in the case of
wide-angle universal joints.

If means of access to working positions are provided near to the removable mechanical transmission device,
they must be designed and constructed in such a way that the shaft guards cannot be used as steps, unless
designed and constructed for that purpose.

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3.5.

Protection against other hazards

3.5.1.

Batteries

The battery housing must be designed and constructed in such a way as to prevent the electrolyte being
ejected on to the operator in the event of roll-over or tip-over and to avoid the accumulation of vapours in
places occupied by operators.

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

3.5.2.

Fire

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

— either allow easily accessible fire extinguishers to be fitted, or

— be provided with built-in extinguisher systems.

3.5.3.

Emissions of hazardous substances

The second and third paragraphs of Section 1.5.13 do not apply where the main function of the machinery is
the spraying of products. However, the operator must be protected against the risk of exposure to such hazar-
dous emissions.

3.6.

Information and indications

3.6.1.

Signs, signals and warnings

All machinery must have signs and/or instruction plates concerning use, adjustment and maintenance, wher-
ever necessary, so as to ensure the health and safety of persons. They must be chosen, designed and
constructed in such a way as to be clearly visible and indelible.

Without prejudice to the provisions of road traffic regulations, machinery with a ride-on driver must have the
following equipment:

— an acoustic warning device to alert persons;

— a system of light signals relevant to the intended conditions of use; the latter requirement does not apply

to machinery intended solely for underground working and having no electrical power;

— where necessary, there must be an appropriate connection between a trailer and the machinery for the

operation of signals.

Remote-controlled machinery which, under normal conditions of use, exposes persons to the risk of impact
or crushing must be fitted with appropriate means to signal its movements or with means to protect persons
against such risks. The same applies to machinery which involves, when in use, the constant repetition of a
forward and backward movement on a single axis where the area to the rear of the machine is not directly
visible to the driver.

Machinery must be constructed in such a way that the warning and signalling devices cannot be disabled
unintentionally. Where it is essential for safety, such devices must be provided with the means to check that
they are in good working order and their failure must be made apparent to the operator.

Where the movement of machinery or its tools is particularly hazardous, signs on the machinery must be
provided to warn against approaching the machinery while it is working; the signs must be legible at a suffi-
cient distance to ensure the safety of persons who have to be in the vicinity.

3.6.2.

Marking

The following must be shown legibly and indelibly on all machinery:

— nominal power expressed in kilowatts (kW);

— mass of the most usual configuration, in kilogrammes (kg);

and, where appropriate:

— maximum drawbar pull provided for at the coupling hook, in Newtons (N);

— maximum vertical load provided for on the coupling hook, in Newtons (N).

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3.6.3.

Instructions

3.6.3.1.

V i br a ti ons

The instructions must give the following information concerning vibrations transmitted by the machinery to
the hand-arm system or to the whole body:

— the vibration total value to which the hand-arm system is subjected, if it exceeds 2,5 m/s2. Where this

value does not exceed 2,5 m/s2, this must be mentioned;

— the highest root mean square value of weighted acceleration to which the whole body is subjected, if it

exceeds 0,5 m/s2. Where this value does not exceed 0,5 m/s2, this must be mentioned;

— the uncertainty of measurement.

These values must be either those actually measured for the machinery in question or those established on
the basis of measurements taken for technically comparable machinery which is representative of the
machinery to be produced.

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

The operating conditions during measurement and the measurement codes used must be described.

3.6.3.2. M u lti p le uses

The instructions for machinery allowing several uses depending on the equipment used and the instructions
for the interchangeable equipment must contain the information necessary for safe assembly and use of the
basic machinery and the interchangeable equipment that can be fitted.

4.

SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS TO OFFSET HAZARDS DUE TO
LIFTING OPERATIONS

Machinery presenting hazards due to lifting operations must meet all the relevant essential health and safety
requirements described in this chapter (see General principles, Item 4).

4.1.

General

4.1.1.

Definitions

(a) ‘Lifting operation’: a movement of unit loads consisting of goods and/or persons necessitating, at a given

moment, a change of level;

(b) ‘Guided load’: load where the total movement is made along rigid or flexible guides whose position is

determined by fixed points;

(c) ‘Working coefficient’: the arithmetic ratio between the load guaranteed by the manufacturer or his
authorised representative up to which a component is able to hold it and the maximum working load
marked on the component;

(d) ‘Test coefficient’: the arithmetic ratio between the load used to carry out the static or dynamic tests on
lifting machinery or a lifting accessory and the maximum working load marked on the lifting machinery
or lifting accessory;

(e) ‘Static test’: the test during which lifting machinery or a lifting accessory is first inspected and subjected to
a force corresponding to the maximum working load multiplied by the appropriate static test coefficient
and then re-inspected once the said load has been released to ensure that no damage has occurred;

(f) ‘Dynamic test’: the test during which lifting machinery is operated in all its possible configurations at the
maximum working load multiplied by the appropriate dynamic test coefficient with account being taken
of the dynamic behaviour of the lifting machinery in order to check that it functions properly;

(g) ‘Carrier’: a part of the machinery on or in which persons and/or goods are supported in order to be lifted.

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4.1.2.

Protection against mechanical hazards

4.1.2.1.

R i sks du e to la ck of sta b i li ty

Machinery must be designed and constructed in such a way that the stability required in Section 1.3.1 is
maintained both in service and out of service, including all stages of transportation, assembly and dismantling,
during foreseeable component failures and also during the tests carried out in accordance with the instruction
handbook. To that end, the manufacturer or his authorised representative must use the appropriate verifica-
tion methods.

4.1.2.2. M a c hi ne r y r un ni ng on g ui de r a i ls a nd r a i l tr a ck s

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

If, despite such devices, there remains a risk of derailment or of failure of a rail or of a running component,
devices must be provided which prevent the equipment, component or load from falling or the machinery
from overturning.

4.1.2.3. M e ch a ni c a l str e ng th

Machinery, lifting accessories and their components must be capable of withstanding the stresses to which
they are subjected, both in and, where applicable, out of use, under the installation and operating conditions
provided for and in all relevant configurations, with due regard, where appropriate, to the effects of atmo-
spheric factors and forces exerted by persons. This requirement must also be satisfied during transport,
assembly and dismantling.

Machinery and lifting accessories must be designed and constructed in such a way as to prevent failure from
fatigue and wear, taking due account of their intended use.

The materials used must be chosen on the basis of the intended working environments, with particular regard
to corrosion, abrasion, impacts, extreme temperatures, fatigue, brittleness and ageing.

Machinery and lifting accessories must be designed and constructed in such a way as to withstand the over-
load in the static tests without permanent deformation or patent defect. Strength calculations must take
account of the value of the static test coefficient chosen to guarantee an adequate level of safety; that coeffi-
cient 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 in such a way as to undergo, without failure, the dynamic tests
carried out using the maximum working load multiplied by the dynamic test coefficient. This dynamic test
coefficient is chosen so as to guarantee an adequate level of safety: the coefficient is, as a general rule, equal
to 1,1. As a general rule, the tests will be performed at the nominal speeds provided for. Should the control
circuit of the machinery allow for a number of simultaneous movements, the tests must be carried out under
the least favourable conditions, as a general rule by combining the movements concerned.

4.1.2.4.

Pu lle y s, dru ms, w he els, r op es a nd c ha i n s

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

Drums and wheels must be designed, constructed and installed in such a way that the ropes or chains with
which they are equipped can be wound without coming off.

Ropes used directly for lifting or supporting the load must not include any splicing other than at their ends.
Splicings are, however, tolerated in installations which are intended by design to be modified regularly
according to needs of use.

Complete ropes and their endings must have a working coefficient chosen in such a way as to guarantee an
adequate level of safety; as a general rule, this coefficient is equal to 5.

Lifting chains must have a working coefficient chosen in such a way as to guarantee an adequate level of
safety; as a general rule, this coefficient is equal to 4.

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In order to verify that an adequate working coefficient has been attained, the manufacturer or his authorised
representative must, for each type of chain and rope used directly for lifting the load and for the rope ends,
perform the appropriate tests or have such tests performed.

4.1.2.5.

L i f ti ng a c c essor i e s a nd the i r c ompone nts

Lifting accessories and their components must be sized with due regard to fatigue and ageing processes for a
number of operating cycles consistent with their expected life-span as specified in the operating conditions
for a given application.

Moreover:

(a) the working coefficient of wire-rope/rope-end combinations must be chosen in such a way as to guar-
antee an adequate level of safety; this coefficient is, as a general rule, equal to 5. Ropes must not comprise
any splices or loops other than at their ends;

(b) where chains with welded links are used, they must be of the short-link type. The working coefficient of
chains must be chosen in such a way as to guarantee an adequate level of safety; this coefficient is, as a
general rule, equal to 4;

(c) the working coefficient for textile ropes or slings is dependent on the material, method of manufacture,
dimensions and use. This coefficient must be chosen in such a way as to guarantee an adequate level of
safety; it is, as a general rule, equal to 7, provided the materials used are shown to be of very good quality
and the method of manufacture is appropriate to the intended use. Should this not be the case, the coeffi-
cient is, as a general rule, set at a higher level in order to secure an equivalent level of safety. Textile ropes
and slings must not include any knots, connections or splicing other than at the ends of the sling, except
in the case of an endless sling;

(d) all metallic components making up, or used with, a sling must have a working coefficient chosen in such

a way as to guarantee an adequate level of safety; this coefficient is, as a general rule, equal to 4;

(e) the maximum working load of a multilegged sling is determined on the basis of the working coefficient
of the weakest leg, the number of legs and a reduction factor which depends on the slinging configura-
tion;

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

4.1.2.6.

Contr ol of mov e me nts

Devices for controlling movements must act in such a way that the machinery on which they are installed is
kept safe.

(a) Machinery must be designed and constructed or fitted with devices in such a way that the amplitude of
movement of its components is kept within the specified limits. The operation of such devices must,
where appropriate, be preceded by a warning.

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

(c) Machinery must be designed and constructed in such a way that the loads cannot creep dangerously or
fall freely and unexpectedly, even in the event of partial or total failure of the power supply or when the
operator stops operating the machine.

(d) It must not be possible, under normal operating conditions, to lower the load solely by friction brake,

except in the case of machinery whose function requires it to operate in that way.

(e) Holding devices must be designed and constructed in such a way that inadvertent dropping of the loads is

avoided.

4.1.2.7. M ov em en ts of loa ds du r i n g h a ndli ng

The operating position of machinery must be located in such a way as to ensure the widest possible view of
trajectories of the moving parts,
in order to avoid possible collisions with persons, equipment or other
machinery which might be manoeuvring at the same time and liable to constitute a hazard.

Machinery with guided loads must be designed and constructed in such a way as to prevent persons from
being injured by movement of the load, the carrier or the counterweights, if any.

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4.1.2.8. M a c hi ne r y se r v i n g f i x ed la ndi n g s

4.1.2.8.1. Movements of the carrier

The movement of the carrier of machinery serving fixed landings must be rigidly guided to and at the land-
ings. Scissor systems are also regarded as rigid guidance.

4.1.2.8.2. Access to the carrier

Where persons have access to the carrier, the machinery must be designed and constructed in such a way as
to ensure that the carrier remains stationary during access, in particular while it is being loaded or unloaded.

The machinery must be designed and constructed in such a way as to ensure that the difference in level
between the carrier and the landing being served does not create a risk of tripping.

4.1.2.8.3. Risks due to contact with the moving carrier

Where necessary in order to fulfil the requirement expressed in the second paragraph of Section 4.1.2.7, the
travel zone must be rendered inaccessible during normal operation.

When, during inspection or maintenance, there is a risk that persons situated under or above the carrier may
be crushed between the carrier and any fixed parts, sufficient free space must be provided either by means of
physical refuges or by means of mechanical devices blocking the movement of the carrier.

4.1.2.8.4. Risk due to the load falling off the carrier

Where there is a risk due to the load falling off the carrier, the machinery must be designed and constructed
in such a way as to prevent this risk.

4.1.2.8.5. Landings

Risks due to contact of persons at landings with the moving carrier or other moving parts must be prevented.

Where there is a risk due to persons falling into the travel zone when the carrier is not present at the land-
ings, guards must be fitted in order to prevent this risk. Such guards must not open in the direction of the
travel zone. They must be fitted with an interlocking device controlled by the position of the carrier that
prevents:

— hazardous movements of the carrier until the guards are closed and locked;

— hazardous opening of a guard until the carrier has stopped at the corresponding landing.

4.1.3.

Fitness for purpose

When lifting machinery or lifting accessories are placed on the market or are first put into service, the manu-
facturer or his authorised representative must ensure, by taking appropriate measures or having them taken,
that the machinery or the lifting accessories which are ready for use — whether manually or power-operated
— can fulfil their specified functions safely.

The static and dynamic tests referred to in Section 4.1.2.3 must be performed on all lifting machinery ready
to be put into service.

Where the machinery cannot be assembled in the manufacturer's premises or in the premises of his
authorised representative, the appropriate measures must be taken at the place of use. Otherwise, the
measures may be taken either in the manufacturer's premises or at the place of use.

4.2.

Requirements for machinery whose power source is other than manual effort

4.2.1.

Control of movements

Hold-to-run control devices must be used to control the movements of the machinery or its equipment.
However, for partial or complete movements in which there is no risk of the load or the machinery colliding,
the said devices may be replaced by control devices authorising automatic stops at pre-selected positions
without the operator holding a hold-to-run control device.

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4.2.2.

Loading control

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 in the
event:

— of overloading, either as a result of the maximum working load or the maximum working moment due to

the load being exceeded; or

— of the overturning moment being exceeded.

4.2.3.

Installations guided by ropes

Rope carriers, tractors or tractor carriers must be held by counterweights or by a device allowing permanent
control of the tension.

4.3.

Information and markings

4.3.1.

Chains, ropes and webbing

Each length of lifting chain, rope or webbing not forming part of an assembly must bear a mark or, where
this is not possible, a plate or irremovable ring bearing the name and address of the manufacturer or his
authorised representative and the identifying reference of the relevant certificate.

The certificate mentioned above must show at least the following information:

(a) the name and address of the manufacturer and, if appropriate, his authorised representative;

(b) a description of the chain or rope which includes:

— its nominal size;

— its construction;

— the material from which it is made; and

— any special metallurgical treatment applied to the material;

(c) the test method used;

(d) the maximum load to which the chain or rope should be subjected in service. A range of values may be

given on the basis of the intended applications.

4.3.2.

Lifting accessories

Lifting accessories must show the following particulars:

— identification of the material where this information is needed for safe use;

— the maximum working load.

In the case of lifting accessories on which marking is physically impossible, the particulars referred to in the
first paragraph must be displayed on a plate or other equivalent means and securely affixed to the accessory.

The particulars must be legible and located in a place where they are not liable to disappear as a result of
wear or jeopardise the strength of the accessory.

4.3.3.

Lifting machinery

The maximum working load must be prominently marked on the machinery. This marking must be legible,
indelible and in an un-coded form.

Where the maximum working load depends on the configuration of the machinery, each operating position
must be provided with a load plate indicating, preferably in diagrammatic form or by means of tables, the
working load permitted for each configuration.

Machinery intended for lifting goods only, equipped with a carrier which allows access to persons, must bear
a clear and indelible warning prohibiting the lifting of persons. This warning must be visible at each place
where access is possible.

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4.4.

Instructions

4.4.1.

Lifting accessories

Each lifting accessory or each commercially indivisible batch of lifting accessories must be accompanied by
instructions setting out at least the following particulars:

(a) the intended use;

(b) the limits of use (particularly for lifting accessories such as magnetic or vacuum pads which do not fully

comply with Section 4.1.2.6(e));

(c) instructions for assembly, use and maintenance;

(d) the static test coefficient used.

4.4.2.

Lifting machinery

Lifting machinery must be accompanied by instructions containing information on:

(a) the technical characteristics of the machinery, and in particular:

— the maximum working load and, where appropriate, a copy of the load plate or load table described

in the second paragraph of Section 4.3.3;

— the reactions at the supports or anchors and, where appropriate, characteristics of the tracks;

— where appropriate, the definition and the means of installation of the ballast;

(b) the contents of the logbook, if the latter is not supplied with the machinery;

(c) advice for use, particularly to offset the lack of direct vision of the load by the operator;

(d) where appropriate, a test report detailing the static and dynamic tests carried out by or for the manufac-

turer or his authorised representative;

(e) for machinery which is not assembled on the premises of the manufacturer in the form in which it is to
be used, the necessary instructions for performing the measures referred to in Section 4.1.3 before it is
first put into service.

5.

SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS FOR MACHINERY INTENDED FOR
UNDERGROUND WORK

Machinery intended for underground work must meet all the essential health and safety requirements
described in this chapter (see General principles, Item 4).

5.1.

Risks due to lack of stability

Powered roof supports must be designed and constructed in such a way as to maintain a given direction
when moving and not slip before and while they come under load and after the load has been removed. They
must be equipped with anchorages for the top plates of the individual hydraulic props.

5.2.

Movement

Powered roof supports must allow for unhindered movement of persons.

5.3.

Control devices

The accelerator and brake controls for movement of machinery running on rails must be hand-operated.
However, enabling devices may be foot-operated.

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

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5.4.

Stopping

Self-propelled machinery running on rails for use in underground work must be equipped with an enabling
device acting on the circuit controlling the movement of the machinery such that movement is stopped if the
driver is no longer in control of the movement.

5.5.

Fire

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

The braking system of machinery intended for use in underground workings must be designed and
constructed in such a way that it does not produce sparks or cause fires.

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

5.6.

Exhaust emissions

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

6.

SUPPLEMENTARY ESSENTIAL HEALTH AND SAFETY REQUIREMENTS FOR MACHINERY PRESENTING
PARTICULAR HAZARDS DUE TO THE LIFTING OF PERSONS

Machinery presenting hazards due to the lifting of persons must meet all the relevant essential health and
safety requirements described in this chapter (see General principles, Item 4).

6.1.

General

6.1.1.

Mechanical strength

The carrier, including any trapdoors, must be designed and constructed in such a way as to offer the space
and strength corresponding to the maximum number of persons permitted on the carrier and the maximum
working load.

The working coefficients for components set out in Sections 4.1.2.4 and 4.1.2.5 are inadequate for machinery
intended for the lifting of persons and must, as a general rule, be doubled. Machinery intended for lifting
persons or persons and goods must be fitted with a suspension or supporting system for the carrier designed
and constructed in such a way as to ensure an adequate overall level of safety and to prevent the risk of the
carrier falling.

If ropes or chains are used to suspend the carrier, as a general rule, at least two independent ropes or chains
are required, each with its own anchorage.

6.1.2.

Loading control for machinery moved by power other than human strength

The requirements of Section 4.2.2 apply regardless of the maximum working load and overturning moment,
unless the manufacturer can demonstrate that there is no risk of overloading or overturning.

6.2.

Control devices

Where safety requirements do not impose other solutions, the carrier must, as a general rule, be designed and
constructed in such a way that persons in the carrier have means of controlling upward and downward move-
ments and, if appropriate, other movements of the carrier.

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

The control devices for these movements must be of the hold-to-run type except where the carrier itself is
completely enclosed.

6.3.

Risks to persons in or on the carrier

6.3.1.

Risks due to movements of the carrier

Machinery for lifting persons must be designed, constructed or equipped in such a way that the acceleration
or deceleration of the carrier does not engender risks for persons.

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6.3.2.

Risk of persons falling from the carrier

The carrier must not tilt to an extent which creates a risk of the occupants falling, including when the
machinery and carrier are moving.

Where the carrier is designed as a work station, provision must be made to ensure stability and to prevent
hazardous movements.

If the measures referred to in Section 1.5.15 are not adequate, carriers must be fitted with a sufficient number
of suitable anchorage points for the number of persons permitted on the carrier. The anchorage points must
be strong enough for the use of personal protective equipment against falls from a height.

Any trapdoor in floors or ceilings or side doors must be designed and constructed in such a way as to
prevent inadvertent opening and must open in a direction that obviates any risk of falling, should they open
unexpectedly.

6.3.3.

Risk due to objects falling on the carrier

Where there is a risk of objects falling on the carrier and endangering persons, the carrier must be equipped
with a protective roof.

6.4.

Machinery serving fixed landings

6.4.1.

Risks to persons in or on the carrier

The carrier must be designed and constructed in such a way as to prevent risks due to contact between
persons and/or objects in or on the carrier with any fixed or moving elements. Where necessary in order to
fulfil this requirement, the carrier itself must be completely enclosed with doors fitted with an interlocking
device that prevents hazardous movements of the carrier unless the doors are closed. The doors must remain
closed if the carrier stops between landings where there is a risk of falling from the carrier.

The machinery must be designed, constructed and, where necessary, equipped with devices in such a way as
to prevent uncontrolled upward or downward movement of the carrier. These devices must be able to stop
the carrier at its maximum working load and at the foreseeable maximum speed.

The stopping action must not cause deceleration harmful to the occupants, whatever the load conditions.

6.4.2.

Controls at landings

Controls, other than those for emergency use, at landings must not initiate movements of the carrier when:

— the control devices in the carrier are being operated;

— the carrier is not at a landing.

6.4.3.

Access to the carrier

The guards at the landings and on the carrier must be designed and constructed in such a way as to ensure
safe transfer to and from the carrier, taking into consideration the foreseeable range of goods and persons to
be lifted.

6.5.

Markings

The carrier must bear the information necessary to ensure safety including:

— the number of persons permitted on the carrier;

— the maximum working load.

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ANNEX II

DECLARATIONS

1. CONTENT

A. EC DECLARATION OF CONFORMITY OF THE MACHINERY

This declaration and translations thereof must be drawn up under the same conditions as the instructions (see
Annex I, Section 1.7.4.1(a) and (b)), and must be typewritten or else handwritten in capital letters.

This declaration relates exclusively to the machinery in the state in which it was placed on the market, and
excludes components which are added and/or operations carried out subsequently by the final user.

The EC declaration of conformity must contain the following particulars:

1. business name and full address of the manufacturer and, where appropriate, his authorised representative;

2. name and address of the person authorised to compile the technical file, who must be established in the

Community;

3. description and identification of the machinery, including generic denomination, function, model, type, serial

number and commercial name;

4. a sentence expressly declaring that the machinery fulfils all the relevant provisions of this Directive and
where appropriate, a similar sentence declaring the conformity with other Community Directives and/or rele-
vant provisions with which the machinery complies. These references must be those of the texts published in
the Official Journal of the European Union;

5. where appropriate, the name, address and identification number of the notified body which carried out the

EC type-examination referred to in Annex IX and the number of the EC type-examination certificate;

6. where appropriate, the name, address and identification number of the notified body which approved the full

quality assurance system referred to in Annex X;

7. where appropriate, a reference to the harmonised standards used, as referred to in Article 7(2);

8. where appropriate, the reference to other technical standards and specifications used;

9. the place and date of the declaration;

10. the identity and signature of the person empowered to draw up the declaration on behalf of the manufacturer

or his authorised representative.

B. DECLARATION OF INCORPORATION OF PARTLY COMPLETED MACHINERY

This declaration and translations thereof must be drawn up under the same conditions as the instructions (see
Annex 1, Section 1.7.4.1(a) and (b)), and must be typewritten or else handwritten in capital letters.

The declaration of incorporation must contain the following particulars:

1. business name and full address of the manufacturer of the partly completed machinery and, where appropriate,

his authorised representative;

2. name and address of the person authorised to compile the relevant technical documentation, who must be

established in the Community;

3. description and identification of the partly completed machinery including generic denomination, function,

model, type, serial number and commercial name;

4. a sentence declaring which essential requirements of this Directive are applied and fulfilled and that the rele-
vant technical documentation is compiled in accordance with Part B of Annex VII, and, where appropriate, a
sentence declaring the conformity of the partly completed machinery with other relevant Community Direc-
tives. These references must be those of the texts published in the Official Journal of the European Union;

5. an undertaking to transmit, in response to a reasoned request by the national authorities, relevant information
on the partly completed machinery. This shall include the method of transmission and shall be without preju-
dice to the intellectual property rights of the manufacturer of the partly completed machinery;

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6. a statement that the partly completed machinery must not be put into service until the final machinery into
which it is to be incorporated has been declared in conformity with the provisions of this Directive, where
appropriate;

7. the place and date of the declaration;

8. the identity and signature of the person empowered to draw up the declaration on behalf of the manufacturer

or his authorised representative.

2. CUSTODY

The manufacturer of machinery or his authorised representative shall keep the original EC declaration of conformity
for a period of at least 10 years from the last date of manufacture of the machinery.

The manufacturer of partly completed machinery or his authorised representative shall keep the original declaration
of incorporation for a period of at least 10 years from the last date of manufacture of the partly completed
machinery.

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ANNEX III

CE 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 shown 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. The minimum dimension may be waived for small-scale machinery.

The CE marking must be affixed in the immediate vicinity of the name of the manufacturer or his authorised representa-
tive, using the same technique.

Where the full quality assurance procedure referred to in Article 12(3)(c) and 12(4)(b) has been applied, the CE marking
must be followed by the identification number of the notified body.

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ANNEX IV

CATEGORIES OF MACHINERY TO WHICH ONE OF THE PROCEDURES REFERRED TO IN ARTICLE 12(3)
AND (4) MUST BE APPLIED

1.

1.1.

1.2.

1.3.

1.4.

2.

3.

4.

Circular saws (single or multi-blade) for working with wood and material with similar physical characteristics or
for working with meat and material with similar physical characteristics, of the following types:

Sawing machinery with fixed blade(s) during cutting, having a fixed bed or support with manual feed of the work-
piece or with a demountable power feed;

Sawing machinery with fixed blade(s) during cutting, having a manually operated reciprocating saw-bench or
carriage;

Sawing machinery with fixed blade(s) during cutting, having a built-in mechanical feed device for the workpieces,
with manual loading and/or unloading;

Sawing machinery with movable blade(s) during cutting, having mechanical movement of the blade, with manual
loading and/or unloading.

Hand-fed surface planing machinery for woodworking.

Thicknessers for one-side dressing having a built-in mechanical feed device, with manual loading and/or unloading
for woodworking.

Band-saws with manual loading and/or unloading for working with wood and material with similar physical char-
acteristics or for working with meat and material with similar physical characteristics, of the following types:

4.1.

Sawing machinery with fixed blade(s) during cutting, having a fixed or reciprocating-movement bed or support
for the workpiece;

4.2.

Sawing machinery with blade(s) assembled on a carriage with reciprocating motion.

5.

6.

7.

8.

9.

10.

11.

Combined machinery of the types referred to in points 1 to 4 and in point 7 for working with wood and material
with similar physical characteristics.

Hand-fed tenoning machinery with several tool holders for woodworking.

Hand-fed vertical spindle moulding machinery for working with wood and material with similar physical charac-
teristics.

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.

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

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

12. Machinery for underground working of the following types:

12.1.

locomotives and brake-vans;

12.2. hydraulic-powered roof supports.

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

14.

Removable mechanical transmission devices including their guards.

15. Guards for removable mechanical transmission devices.

16.

Vehicle servicing lifts.

17. Devices for the lifting of persons or of persons and goods involving a hazard of falling from a vertical height of

more than three metres.

Portable cartridge-operated fixing and other impact machinery.

Protective devices designed to detect the presence of persons.

Power-operated interlocking movable guards designed to be used as safeguards in machinery referred to in points
9, 10 and 11.

Logic units to ensure safety functions.

Roll-over protective structures (ROPS).

Falling-object protective structures (FOPS).

18.

19.

20.

21.

22.

23.

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INDICATIVE LIST OF THE SAFETY COMPONENTS REFERRED TO IN ARTICLE 2(c)

ANNEX V

1. Guards for removable mechanical transmission devices;

2. Protective devices designed to detect the presence of persons;

3. Power-operated interlocking movable guards designed to be used as safeguards in machinery referred to in Items 9,

10 and 11 of Annex IV;

4. Logic units to ensure safety functions;

5. Valves with additional means for failure detection intended for the control of dangerous movements on machinery;

6. Extraction systems for machinery emissions;

7. Guards and protective devices designed to protect persons against moving parts involved in the process on the

machinery;

8. Monitoring devices for loading and movement control in lifting machinery;

9. Restraint systems to keep persons on their seats;

10. Emergency stop devices;

11. Discharging systems to prevent the build-up of potentially dangerous electrostatic charges;

12. Energy limiters and relief devices referred to in Sections 1.5.7, 3.4.7 and 4.1.2.6 of Annex I;

13. Systems and devices to reduce the emission of noise and vibrations;

14. Roll-over protective structures (ROPS);

15. Falling-object protective structures (FOPS);

16. Two-hand control devices;

17. Components for machinery designed for lifting and/or lowering persons between different landings and included in

the following list:

(a) devices for locking landing doors;

(b) devices to prevent the load-carrying unit from falling or unchecked upwards movement;

(c) overspeed limitation devices;

(d) energy-accumulating shock absorbers,

— non-linear or

— with damping of the return movement;

(e) energy-dissipating shock absorbers;

(f) safety devices fitted to jacks of hydraulic power circuits where these are used as devices to prevent falls;

(g) electric safety devices in the form of safety switches containing electronic components.

ANNEX VI

ASSEMBLY INSTRUCTIONS FOR PARTLY COMPLETED MACHINERY

The assembly instructions for partly completed machinery must contain a description of the conditions which must be
met with a view to correct incorporation in the final machinery, so as not to compromise safety and health.

The assembly instructions must be written in an official Community language acceptable to the manufacturer of the
machinery in which the partly completed machinery will be assembled, or to his authorised representative.

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A. TECHNICAL FILE FOR MACHINERY

ANNEX VII

This part describes the procedure for compiling a technical file. The technical file must demonstrate that the
machinery complies with the requirements of the Directive. It must cover the design, manufacture and operation of
the machinery to the extent necessary for this assessment. The technical file must be compiled in one or more official
Community languages, except for the instructions for the machinery, for which the special provisions of Annex I,
Section 1.7.4.1 apply.

1. The technical file shall comprise the following:

(a) a construction file including:

— a general description of the machinery;

— the overall drawing of the machinery and drawings of the control circuits, as well as the pertinent descrip-

tions and explanations necessary for understanding the operation of the machinery;

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

check the conformity of the machinery with the essential health and safety requirements;

— the documentation on risk assessment demonstrating the procedure followed, including:

— a list of the essential health and safety requirements which apply to the machinery,

— the description of the protective measures implemented to eliminate identified hazards or to reduce

risks and, when appropriate, the indication of the residual risks associated with the machinery;

— the standards and other technical specifications used, indicating the essential health and safety require-

ments covered by these standards;

— any technical report giving the results of the tests carried out either by the manufacturer or by a body

chosen by the manufacturer or his authorised representative;

— a copy of the instructions for the machinery;

— where appropriate, the declaration of incorporation for included partly completed machinery and the rele-

vant assembly instructions for such machinery;

— where appropriate, copies of the EC declaration of conformity of machinery or other products incorpo-

rated into the machinery;

— a copy of the EC declaration of conformity;

(b) for series manufacture, the internal measures that will be implemented to ensure that the machinery remains

in conformity with the provisions of this Directive.

The manufacturer must carry out necessary research and tests on components, fittings or the completed
machinery to determine whether by its design or construction it is capable of being assembled and put into
service safely. The relevant reports and results shall be included in the technical file.

2. The technical file referred to in point 1 must be made available to the competent authorities of the Member
States for at least 10 years following the date of manufacture of the machinery or, in the case of series manufac-
ture, of the last unit produced.

The technical file does not have to be located in the territory of the Community, nor does it have to be perma-
nently available in material form. However, it must be capable of being assembled and made available within a
period of time commensurate with its complexity by the person designated in the EC declaration of conformity.

The technical file does not have to include detailed plans or any other specific information as regards the subas-
semblies used for the manufacture of the machinery unless a knowledge of them is essential for verification of
conformity with the essential health and safety requirements.

3. Failure to present the technical file in response to a duly reasoned request by the competent national authorities
may constitute sufficient grounds for doubting the conformity of the machinery in question with the essential
health and safety requirements.

B. RELEVANT TECHNICAL DOCUMENTATION FOR PARTLY COMPLETED MACHINERY

This part describes the procedure for compiling relevant technical documentation. The documentation must show
which requirements of this Directive are applied and fulfilled. It must cover the design, manufacture and operation of
the partly completed machinery to the extent necessary for the assessment of conformity with the essential health
and safety requirements applied. The documentation must be compiled in one or more official Community
languages.

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It shall comprise the following:

(a) a construction file including:

— the overall drawing of the partly completed machinery and drawings of the control circuits;

— full detailed drawings, accompanied by any calculation notes, test results, certificates, etc., required to check
the conformity of the partly completed machinery with the applied essential health and safety requirements;

— the risk assessment documentation showing the procedure followed, including:

— a list of the essential health and safety requirements applied and fulfilled;

— the description of the protective measures implemented to eliminate identified hazards or to reduce risks

and, where appropriate, the indication of the residual risks;

— the standards and other technical specifications used, indicating the essential health and safety requirements

covered by these standards;

— any technical report giving the results of the tests carried out either by the manufacturer or by a body chosen

by the manufacturer or his authorised representative;

— a copy of the assembly instructions for the partly completed machinery;

(b) for series manufacture, the internal measures that will be implemented to ensure that the partly completed

machinery remains in conformity with the essential health and safety requirements applied.

The manufacturer must carry out necessary research and tests on components, fittings or the partly completed
machinery to determine whether by its design or construction it is capable of being assembled and used safely. The
relevant reports and results shall be included in the technical file.

The relevant technical documentation must be available for at least 10 years following the date of manufacture of
the partly completed machinery or, in the case of series manufacture, of the last unit produced, and on request
presented to the competent authorities of the Member States. It does not have to be located in the territory of the
Community, nor does it have to be permanently available in material form. It must be capable of being assembled
and presented to the relevant authority by the person designated in the declaration for incorporation.

Failure to present the relevant technical documentation in response to a duly reasoned request by the competent
national authorities may constitute sufficient grounds for doubting the conformity of the partly completed machinery
with the essential health and safety requirements applied and attested.

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ASSESSMENT OF CONFORMITY WITH INTERNAL CHECKS ON THE MANUFACTURE OF MACHINERY

ANNEX VIII

1. This Annex describes the procedure by which the manufacturer or his authorised representative, who carries out the
obligations laid down in points 2 and 3, ensures and declares that the machinery concerned satisfies the relevant
requirements of this Directive.

2. For each representative type of the series in question, the manufacturer or his authorised representative shall draw up

the technical file referred to in Annex VII, Part A.

3. The manufacturer must take all measures necessary in order that the manufacturing process ensures compliance of
the manufactured machinery with the technical file referred to in Annex VII, Part A, and with the requirements of
this Directive.

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ANNEX IX

EC TYPE-EXAMINATION

EC type-examination is the procedure whereby a notified body ascertains and certifies that a representative model of
machinery referred to in Annex IV (hereafter named the type) satisfies the provisions of this Directive.

1.

2.

The manufacturer or his authorised representative must, for each type, draw up the technical file referred to in
Annex VII, Part A.

For each type, the application for an EC type-examination shall be submitted by the manufacturer or his authorised
representative to a notified body of his choice.

The application shall include:

— the name and address of the manufacturer and, where appropriate, his authorised representative;

— a written declaration that the application has not been submitted to another notified body;

— the technical file.

Moreover, the applicant shall place at the disposal of the notified body a sample of the type. The notified body may
ask for further samples if the test programme so requires.

3.

The notified body shall:

3.1. examine the technical file, check that the type was manufactured in accordance with it and establish which
elements have been designed in accordance with the relevant provisions of the standards referred to in Article 7(2),
and those elements whose design is not based on the relevant provisions of those standards;

3.2. carry out or have carried out appropriate inspections, measurements and tests to ascertain whether the solutions
adopted satisfy the essential health and safety requirements of this Directive, where the standards referred to in
Article 7(2) were not applied;

3.3. where harmonised standards referred to in Article 7(2) were used, carry out or have carried out appropriate inspec-

tions, measurements and tests to verify that those standards were actually applied;

3.4. agree with the applicant as to the place where the check that the type was manufactured in accordance with the

examined technical file and the necessary inspections, measurements and tests will be carried out.

4.

5.

6.

7.

8.

If the type satisfies the provisions of this Directive, the notified body shall issue the applicant with an EC type-
examination certificate. The certificate shall include the name and address of the manufacturer and his authorised
representative, the data necessary for identifying the approved type, the conclusions of the examination and the
conditions to which its issue may be subject.

The manufacturer and the notified body shall retain a copy of this certificate, the technical file and all relevant
documents for a period of 15 years from the date of issue of the certificate.

If the type does not satisfy the provisions of this Directive, the notified body shall refuse to issue the applicant with
an EC type-examination certificate, giving detailed reasons for its refusal. It shall inform the applicant, the other
notified bodies and the Member State which notified it. An appeal procedure must be available.

The applicant shall inform the notified body which retains the technical file relating to the EC type-examination
certificate of all modifications to the approved type. The notified body shall examine these modifications and shall
then either confirm the validity of the existing EC type-examination certificate or issue a new one if the modifica-
tions are liable to compromise conformity with the essential health and safety requirements or the intended
working conditions of the type.

The Commission, the Member States and the other notified bodies may, on request, obtain a copy of the EC type-
examination certificates. On reasoned request, the Commission and the Member States may obtain a copy of the
technical file and the results of the examinations carried out by the notified body.

Files and correspondence referring to the EC type-examination procedures shall be written in the official Com-
munity language(s) of the Member State where the notified body is established or in any other official Community
language acceptable to the notified body.

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9.

Validity of the EC type-examination certificate

9.1. The notified body has the ongoing responsibility of ensuring that the EC type-examination certificate remains valid.
It shall inform the manufacturer of any major changes which would have an implication on the validity of the certi-
ficate. The notified body shall withdraw certificates which are no longer valid.

9.2. The manufacturer of the machinery concerned has the ongoing responsibility of ensuring that the said machinery

meets the corresponding state of the art.

9.3. The manufacturer shall request from the notified body the review of the validity of the EC type-examination certifi-

cate every five years.

If the notified body finds that the certificate remains valid, taking into account the state of the art, it shall renew
the certificate for a further five years.

The manufacturer and the notified body shall retain a copy of this certificate, of the technical file and of all the rele-
vant documents for a period of 15 years from the date of issue of the certificate.

9.4. In the event that the validity of the EC type-examination certificate is not renewed, the manufacturer shall cease the

placing on the market of the machinery concerned.

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ANNEX X

FULL QUALITY ASSURANCE

This Annex describes the conformity assessment of machinery referred to in Annex IV, manufactured using a full quality
assurance system, and the procedure whereby a notified body assesses and approves the quality system and monitors its
application.

1.

The manufacturer must operate an approved quality system for design, manufacture, final inspection and testing, as
specified in point 2, and shall be subject to the surveillance referred to in point 3.

2. Quality system

2.1. The manufacturer or his authorised representative shall lodge an application for assessment of his quality system to

a notified body of his choice.

The application shall contain:

— the name and address of the manufacturer and, where appropriate, his authorised representative;

— the places of design, manufacture, inspection, testing and storage of the machinery;

— the technical file described in Annex VII, Part A, for one model of each category of machinery referred to in

Annex IV which he intends to manufacture;

— the documentation on the quality system;

— a written declaration that the application has not been submitted to another notified body.

2.2. The quality system must ensure conformity of the machinery with the provisions of this Directive. All the elements,
requirements and provisions adopted by the manufacturer must be documented in a systematic and orderly
manner, in the form of measures, procedures and written instructions. The documentation on the quality system
must permit a uniform interpretation of the procedural and quality measures, such as quality programmes, plans,
manuals and records.

It must contain, in particular, an adequate description of:

— the quality objectives, the organisational structure, and the responsibilities and powers of the management with

regard to the design and quality of the machinery;

— the technical design specifications, including standards that will be applied and, where the standards referred to
in Article 7(2) are not applied in full, the means that will be used to ensure that the essential health and safety
requirements of this Directive are fulfilled;

— the design inspection and design verification techniques, processes and systematic actions that will be used

when designing machinery covered by this Directive;

— the corresponding manufacturing, quality control and quality assurance techniques, processes and systematic

actions that will be used;

— the inspections and tests that will be carried out before, during and after manufacture, and the frequency with

which they will be carried out;

— the quality records, such as inspection reports and test data, calibration data, and reports on the qualifications

of the personnel concerned;

— the means of monitoring the achievement of the required design and quality of the machinery, as well as the

effective operation of the quality system.

2.3. The notified body shall assess the quality system to determine whether it satisfies the requirements of point 2.2.

The elements of the quality system which conform to the relevant harmonised standard shall be presumed to
conform to the corresponding requirements referred to in point 2.2.

The team of auditors must have at least one member who is experienced in the assessment of the technology of the
machinery. The assessment procedure shall include an inspection to be carried out at the manufacturer's premises.

The manufacturer or his authorised representative shall be notified of the decision. The notification shall contain
the conclusions of the examination and the reasoned assessment decision. An appeal procedure must be available.

2.4. The manufacturer shall undertake to fulfil the obligations arising from the quality system as approved and to

ensure that it remains appropriate and effective.

The manufacturer or his authorised representative shall
system of any planned change to it.

inform the notified body which approved the quality

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The notified body shall evaluate the proposed changes and decide whether the modified quality assurance system
will continue to satisfy the requirements referred to in point 2.2, or whether a re-assessment is necessary.

It shall notify the manufacturer of its decision. The notification shall contain the conclusions of the examination
and the reasoned assessment decision.

3.

Surveillance under the responsibility of the notified body

3.1. The purpose of surveillance is to make sure that the manufacturer duly fulfils the obligations arising out of the

approved quality system.

3.2. The manufacturer shall, for inspection purposes, allow the notified body access to the places of design, manufac-

ture, inspection, testing and storage, and shall provide it with all necessary information, such as:

— the documentation concerning the quality system;

— the quality records provided for in that part of the quality system concerned with design, such as the results of

analyses, calculations, tests, etc.;

— the quality records provided for in that part of the quality system concerned with manufacture, such as inspec-

tion reports and test data, calibration data, reports on the qualifications of the personnel concerned, etc.

3.3. The notified body shall conduct periodic audits to make sure that the manufacturer is maintaining and applying the
quality system; it shall provide the manufacturer with an audit report. The frequency of the periodic audits shall be
such that a full reassessment is carried out every three years.

3.4. Moreover, the notified body may pay the manufacturer unannounced visits. The need for these additional visits and
their frequency will be determined on the basis of a visit monitoring system managed by the notified body. In par-
ticular, the following factors will be taken into account in the visits monitoring system:

— the results of previous surveillance visits;

— the need to monitor remedial measures;

— where appropriate, special conditions attaching to approval of the system;

— significant modifications in the organisation of the manufacturing process, measures or techniques.

On the occasion of such visits, the notified body may, if necessary, carry out tests or have them carried out in
order to check the proper functioning of the quality system. It shall provide the manufacturer with a visit report
and, if a test was carried out, with a test report.

4.

The manufacturer or his authorised representative shall keep available for the national authorities, for a period of
10 years from the last date of manufacture:

— the documentation referred to in point 2.1;

— the decisions and reports of the notified body referred to in point 2.4, third and fourth subparagraphs, and in

points 3.3 and 3.4.

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ANNEX XI

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

1. The body, its director and the staff responsible for carrying out the verification tests shall not be the designer, manu-
facturer, supplier or installer of machines which they inspect, nor the authorised representative of any of these
parties. They shall not become involved, either directly or as authorised representatives, in the design, construction,
marketing or maintenance of the machines. This does not preclude the possibility of exchanges of technical informa-
tion 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 tech-
nical 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. For each category of machinery for which it is notified, the body must possess personnel with technical knowledge
and sufficient and appropriate experience to perform a conformity assessment. It must have the means necessary to
complete the technical and administrative tasks connected with implementation of the checks in an appropriate
manner; it must also have access to the equipment necessary for the exceptional checks.

4. The staff responsible for inspection shall have:

— sound technical and vocational 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 obtained 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.

8. Notified bodies shall participate in coordination activities. They shall also take part directly or be represented in Euro-

pean standardisation, or ensure that they know the situation in respect of relevant standards.

9. Member States may take all necessary measures they regard as necessary in order to ensure that, in the event of cessa-
tion of the activities of a notified body, the files of its customers are sent to another body or are made available to
the Member State which has notified it.

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ANNEX XII

CORRELATION TABLE (1)

Directive 98/37/EC

This Directive

Article 1(1)

Article 1(2)(a)

Article 1(2)(b)

Article 1(3)

Article 1(4)

Article 1(5)

Article 2(1)

Article 2(2)

Article 2(3)

Article 3

Article 4(1)

Article 4(2), first subparagraph

Article 4(2), second subparagraph

Article 4(3)

Article 1(1)

Article 2(a) and (b)

Article 2(c)

Article 1(2)

Article 3

Article 4(1)

Article 15

Article 6(3)

Article 5(1)(a)

Article 6(1)

Article 6(2)

Article 5(1), first subparagraph

Article 7(1)

Article 5(1), second subparagraph

Article 5(2), first subparagraph

Article 7(2) and (3)

Article 5(2), last subparagraph

Article 5(3)

Article 6(1)

Article 6(2)

Article 7(1)

Article 7(2)

Article 7(3)

Article 7(4)

Article 7(4)

Article 10

Article 22

Article 11(1) and (2)

Article 11(3) and (4)

Article 11(4)

Article 11(5)

—

—

—

—

—

Article 8(1), first subparagraph

Article 5(1)(e) and Article 12(1)

Article 8(1), second subparagraph

Article 8(2)(a)

Article 5(1)(f)

Article 12(2)

(1) This table indicates the relation between parts of Directive 98/37/EC and the parts of this Directive that deal with the same subject.

However, the content of the correlated parts is not necessarily identical.

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Directive 98/37/EC

This Directive

Article 8(2)(b)

Article 8(2)(c)

Article 8(3)

Article 8(4)

Article 8(5)

Article 8(6)

Article 8(7)

Article 8(8)

Article 9(1), first subparagraph

Article 9(1), second subparagraph

Article 9(2)

Article 9(3)

Article 10(1) to (3)

Article 10(4)

Article 11

Article 12

Article 13(1)

Article 13(2)

Article 14

Article 15

Article 16

Article 12(4)

Article 12(3)

Article 5(4)

Article 14(1)

Article 14(4)

Article 14(3) and (5)

Article 14(8)

Article 16(1) to (3)

Article 17

Article 20

Article 21

Article 26(2)

Article 28

Article 29

—

—

—

—

—

—

—

Annex I — Preliminary observation 1

Annex I — General principles 2

Annex I — Preliminary observation 2

Annex I — General principles 3

Annex I — Preliminary observation 3

Annex I — General principles 4

Annex I, Part 1

Annex I, Section 1.1

Annex I, Section 1.1.1

Annex I, Section 1.1.2

Annex I, Section 1.1.2(d)

Annex I, Section 1.1.3

Annex I, Section 1.1.4

Annex I, Section 1.1.5

Annex I, Section 1.2

Annex I, Part 1

Annex I, Section 1.1

Annex I, Section 1.1.1

Annex I, Section 1.1.2

Annex I, Section 1.1.6

Annex I, Section1.1.3

Annex I, Section 1.1.4

Annex I, Section 1.1.5

Annex I, Section 1.2

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Directive 98/37/EC

This Directive

Annex I, Section 1.2.1

Annex I, Section 1.2.2

Annex I, Section 1.2.3

Annex I, Section 1.2.4

Annex I, Section 1.2.1

Annex I, Section 1.2.2

Annex I, Section 1.2.3

Annex I, Section 1.2.4

Annex I, Section 1.2.4, paragraphs 1 to 3

Annex I, Section 1.2.4.1

Annex I, Section 1.2.4, paragraphs 4 to 6

Annex I, Section 1.2.4.3

Annex I, Section 1.2.4, paragraph 7

Annex I, Section 1.2.4.4

Annex I, Section 1.2.5

Annex I, Section 1.2.6

Annex I, Section 1.2.7

Annex I, Section 1.2.8

Annex I, Section 1.3

Annex I, Section 1.3.1

Annex I, Section 1.3.2

Annex I, Section 1.3.3

Annex I, Section 1.3.4

Annex I, Section 1.3.5

Annex I, Section 1.3.6

Annex I, Section 1.3.7

Annex I, Section 1.3.8

Annex I, Section 1.3.8 A

Annex I, Section 1.3.8 B

Annex I, Section 1.4

Annex I, Section 1.4.1

Annex I, Section 1.4.2

Annex I, Section 1.4.2.1

Annex I, Section 1.4.2.2

Annex I, Section 1.4.2.3

Annex I, Section 1.4.3

Annex I, Section 1.5

Annex I, Section 1.5.1

Annex I, Section 1.5.2

Annex I, Section 1.5.3

Annex I, Section 1.2.5

Annex I, Section 1.2.6

Annex I, Section 1.2.1

Annex I, Section 1.1.6

Annex I, Section 1.3

Annex I, Section 1.3.1

Annex I, Section 1.3.2

Annex I, Section 1.3.3

Annex I, Section 1.3.4

Annex I, Section 1.3.5

Annex I, Section 1.3.6

Annex I, Section 1.3.7

Annex I, Section 1.3.8

Annex I, Section 1.3.8.1

Annex I, Section 1.3.8.2

Annex I, Section 1.4

Annex I, Section 1.4.1

Annex I, Section 1.4.2

Annex I, Section 1.4.2.1

Annex I, Section 1.4.2.2

Annex I, Section 1.4.2.3

Annex I, Section 1.4.3

Annex I, Section 1.5

Annex I, Section 1.5.1

Annex I, Section 1.5.2

Annex I, Section 1.5.3

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Directive 98/37/EC

This Directive

Annex I, Section 1.5.4

Annex I, Section 1.5.5

Annex I, Section 1.5.6

Annex I, Section 1.5.7

Annex I, Section 1.5.8

Annex I, Section 1.5.9

Annex I, Section 1.5.10

Annex I, Section 1.5.11

Annex I, Section 1.5.12

Annex I, Section 1.5.13

Annex I, Section 1.5.14

Annex I, Section 1.5.15

Annex I, Section 1.6

Annex I, Section 1.6.1

Annex I, Section 1.6.2

Annex I, Section 1.6.3

Annex I, Section 1.6.4

Annex I, Section 1.6.5

Annex I, Section 1.7

Annex I, Section 1.7.0

Annex I, Section 1.7.1

Annex I, Section 1.7.2

Annex I, Section 1.7.3

Annex I, Section 1.7.4

Annex I, Section 1.5.4

Annex I, Section 1.5.5

Annex I, Section 1.5.6

Annex I, Section 1.5.7

Annex I, Section 1.5.8

Annex I, Section 1.5.9

Annex I, Section 1.5.10

Annex I, Section 1.5.11

Annex I, Section 1.5.12

Annex I, Section 1.5.13

Annex I, Section 1.5.14

Annex I, Section 1.5.15

Annex I, Section 1.6

Annex I, Section 1.6.1

Annex I, Section 1.6.2

Annex I, Section 1.6.3

Annex I, Section 1.6.4

Annex I, Section 1.6.5

Annex I, Section 1.7

Annex I, Section 1.7.1.1

Annex I, Section 1.7.1.2

Annex I, Section 1.7.2

Annex I, Section 1.7.3

Annex I, Section 1.7.4

Annex I, Section 1.7.4(b) and (h)

Annex I, Section 1.7.4.1

Annex I, Section 1.7.4(a), (c) and (e) to (g)

Annex I, Section 1.7.4.2

Annex I, Section 1.7.4(d)

Annex I, Section 1.7.4.3

Annex I, Part 2

Annex I, Section 2.1

Annex I, Part 2

Annex I, Section 2.1

Annex I, Section 2.1, paragraph 1

Annex I, Section 2.1.1

Annex I, Section 2.1, paragraph 2

Annex I, Section 2.1.2

Annex I, Section 2.2

Annex I, Section 2.2

Annex I, Section 2.2, paragraph 1

Annex I, Section 2.2.1

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Directive 98/37/EC

This Directive

Annex I, Section 2.2, paragraph 2

Annex I, Section 2.2.1.1

Annex I, Section 2.3

Annex I, Part 3

Annex I, Section 3.1

Annex I, Section 3.1.1

Annex I, Section 3.1.2

Annex I, Section 3.1.3

Annex I, Section 3.2

Annex I, Section 3.2.1

Annex I, Section 3.2.2

Annex I, Section 3.2.3

Annex I, Section 3.3

Annex I, Section 3.3.1

Annex I, Section 3.3.2

Annex I, Section 3.3.3

Annex I, Section 3.3.4

Annex I, Section 3.3.5

Annex I, Section 3.4

Annex I, Section 2.3

Annex I, Part 3

Annex I, Section 3.1

Annex I, Section 3.1.1

Annex I, Section 1.1.4

Annex I, Section 1.1.5

Annex I, Section 3.2

Annex I, Sections 1.1.7 and 3.2.1

Annex I, Sections 1.1.8 and 3.2.2

Annex I, Section 3.2.3

Annex I, Section 3.3

Annex I, Section 3.3.1

Annex I, Section 3.3.2

Annex I, Section 3.3.3

Annex I, Section 3.3.4

Annex I, Section 3.3.5

Annex I, Section 3.4

Annex I, Section 3.4.1, paragraph 1

Annex I, Section 1.3.9

Annex I, Section 3.4.1, paragraph 2

Annex I, Section 3.4.1

Annex I, Section 3.4.2

Annex I, Section 3.4.3

Annex I, Section 3.4.4

Annex I, Section 3.4.5

Annex I, Section 3.4.6

Annex I, Section 3.4.7

Annex I, Section 3.4.8

Annex I, Section 3.5

Annex I, Section 3.5.1

Annex I, Section 3.5.2

Annex I, Section 3.5.3

Annex I, Section 3.6

Annex I, Section 3.6.1

Annex I, Section 1.3.2

Annex I, Section 3.4.3

Annex I, Section 3.4.4

Annex I, Section 3.4.5

Annex I, Section 3.4.6

Annex I, Section 3.4.7

Annex I, Section 3.4.2

Annex I, Section 3.5

Annex I, Section 3.5.1

Annex I, Section 3.5.2

Annex I, Section 3.5.3

Annex I, Section 3.6

Annex I, Section 3.6.1

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Directive 98/37/EC

This Directive

Annex I, Section 3.6.2

Annex I, Section 3.6.3

Annex I, Section 3.6.3(a)

Annex I, Section 3.6.3(b)

Annex I, Part 4

Annex I, Section 4.1

Annex I, Section 4.1.1

Annex I, Section 4.1.2

Annex I, Section 4.1.2.1

Annex I, Section 4.1.2.2

Annex I, Section 4.1.2.3

Annex I, Section 4.1.2.4

Annex I, Section 4.1.2.5

Annex I, Section 4.1.2.6

Annex I, Section 4.1.2.7

Annex I, Section 4.1.2.8

Annex I, Section 4.2

Annex I, Section 4.2.1

Annex I, Section 4.2.1.1

Annex I, Section 4.2.1.2

Annex I, Section 4.2.1.3

Annex I, Section 4.2.1.4

Annex I, Section 4.2.2

Annex I, Section 4.2.3

Annex I, Section 4.2.4

Annex I, Section 4.3

Annex I, Section 4.3.1

Annex I, Section 4.3.2

Annex I, Section 4.3.3

Annex I, Section 4.4

Annex I, Section 4.4.1

Annex I, Section 4.4.2

Annex I, Part 5

Annex I, Section 3.6.2

Annex I, Section 3.6.3

Annex I, Section 3.6.3.1

Annex I, Section 3.6.3.2

Annex I, Part 4

Annex I, Section 4.1

Annex I, Section 4.1.1

Annex I, Section 4.1.2

Annex I, Section 4.1.2.1

Annex I, Section 4.1.2.2

Annex I, Section 4.1.2.3

Annex I, Section 4.1.2.4

Annex I, Section 4.1.2.5

Annex I, Section 4.1.2.6

Annex I, Section 4.1.2.7

Annex I, Section 1.5.16

Annex I, Section 4.2

Annex I, Section 1.1.7

Annex I, Section 1.1.8

Annex I, Section 4.2.1

Annex I, Section 4.2.2

Annex I, Section 4.2.3

—

Annex I, Sections 4.1.2.7 and 4.1.2.8.2

Annex I, Section 4.1.3

Annex I, Section 4.3

Annex I, Section 4.3.1

Annex I, Section 4.3.2

Annex I, Section 4.3.3

Annex I, Section 4.4

Annex I, Section 4.4.1

Annex I, Section 4.4.2

Annex I, Part 5

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Directive 98/37/EC

This Directive

Annex I, Section 5.1

Annex I, Section 5.2

Annex I, Section 5.3

Annex I, Section 5.4

Annex I, Section 5.5

Annex I, Section 5.6

Annex I, Section 5.7

Annex I, Part 6

Annex I, Section 6.1

Annex I, Section 6.1.1

Annex I, Section 6.1.2

Annex I, Section 6.1.3

Annex I, Section 6.2

Annex I, Section 6.2.1

Annex I, Section 6.2.2

Annex I, Section 6.2.3

Annex I, Section 6.3

Annex I, Section 6.3.1

Annex I, Section 6.3.2

Annex I, Section 6.3.3

Annex I, Section 6.4.1

Annex I, Section 6.4.2

Annex I, Section 6.5

Annex II, Parts A and B

Annex II, Part C

Annex III

—

Annex I, Section 5.1

Annex I, Section 5.2

Annex I, Section 5.3

Annex I, Section 5.4

Annex I, Section 5.5

Annex I, Section 5.6

Annex I, Part 6

Annex I, Section 6.1

Annex I, Section 4.1.1(g)

Annex I, Section 6.1.1

Annex I, Section 6.1.2

Annex I, Section 6.2

Annex I, Section 6.2

Annex I, Section 6.2

Annex I, Section 6.3.1

Annex I, Section 6.3.2

Annex I, Section 6.3.2, paragraph 3

Annex I, Section 6.3.2, paragraph 4

Annex I, Section 6.3.2, paragraph 1

Annex I, Sections 4.1.2.1, 4.1.2.3 and 6.1.1

Annex I, Section 6.3.1

Annex I, Section 6.5

Annex II, Part A

—

Annex III

Annex IV.A.1 (1.1 to 1.4)

Annex IV.1 (1.1 to 1.4)

Annex IV.A.2

Annex IV.A.3

Annex IV.A.4

Annex IV.A.5

Annex IV.A.6

Annex IV.A.7

Annex IV.2

Annex IV.3

Annex IV.4 (4.1 and 4.2)

Annex IV.5

Annex IV.6

Annex IV.7

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This Directive

Annex IV.A.8

Annex IV.A.9

Annex IV.A.10

Annex IV.A.11

Annex IV.8

Annex IV.9

Annex IV.10

Annex IV.11

Annex IV.A.12 (first and second indent)

Annex IV.12 (12.1 and 12.2)

Annex IV.A.12 (third indent)

Annex IV.A.13

Annex IV.A.14, first part

Annex IV.A.14, second part

Annex IV.A.15

Annex IV.A.16

Annex IV.A.17

Annex IV.B.1

Annex IV.B.2

Annex IV.B.3

Annex IV.B.4

Annex IV.B.5

Annex V, Section 1

Annex V, Section 2

Annex IV.13

Annex IV.15

Annex IV.14

Annex IV.16

Annex IV.17

Annex IV.19

Annex IV.21

Annex IV.20

Annex IV.22

Annex IV.23

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Annex V, Section 3, first subparagraph, letter (a)

Annex VII, Part A, Section 1, first subparagraph, letter (a)

Annex V, Section 3, first subparagraph, letter (b)

Annex VII, Part A, Section 1, first subparagraph, letter (b)

Annex V, Section 3, second subparagraph

Annex VII, Part A, Section 1, second subparagraph

Annex V, Section 3, third subparagraph

Annex VII, Part A, Section 3

Annex V, Section 4(a)

Annex V, Section 4(b)

Annex V, Section 4(c)

Annex VI, Section 1

Annex VI, Section 2

Annex VI, Section 3

Annex VII, Part A, Section 2, second and third sub-
paragraphs

Annex VII, Part A, Section 2, first subparagraph

Annex VII, Part A, Introduction

Annex IX, Introduction

Annex IX, Sections 1 and 2

Annex IX, Section 3

Annex VI, Section 4, first subparagraph

Annex IX, Section 4, first subparagraph

Annex VI, Section 4, second subparagraph

Annex IX, Section 7

Annex VI, Section 5

Annex IX, Section 6

Annex VI, Section 6, first sentence

Annex IX, Section 5

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Directive 98/37/EC

This Directive

Annex VI, Section 6, second and third sentence

Article 14(6)

Annex VI, Section 7

Annex VII, Section 1

Annex VII, Section 2

Annex VII, Section 3

Annex VII, Section 4

Annex VII, Section 5

Annex VII, Section 6

Annex VII, Section 7

Annex VIII

Annex IX

Annex IX, Section 8

Annex XI, Section 1

Annex XI, Section 2

Annex XI, Section 3

Annex XI, Section 4

Annex XI, Section 5

Annex XI, Section 6

Annex XI, Section 7

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STATEMENT OF THE COUNCIL REASONS

I. INTRODUCTION

1. On 26 January 2001 the Commission presented a proposal (1) for a Directive of the European
Parliament and of the Council on machinery and amending Directive 95/16/EC, based on Article
95 of the EC Treaty.

2. On 12 September 2001 the European Social and Economic Committee delivered its opinion (2).

3. The European Parliament delivered its opinion at first reading on 4 July 2002 (3).

4. The Council adopted its common position according to Article 251 of the EC Treaty on 18 July

2005.

II. AIMS

This draft Directive amends Directive 95/16/EC, aiming at updating the technical prescriptions,
extending,
inter alia, the scope of the Directive to portable cartridge operated machines and to
construction site lifts.

III. ANALYSIS OF THE COMMON POSITION AS SET OUT IN DOC. 5786/05

1. Introduction

The Council has done an extensive redrafting of the proposal, some of which was done in order to
ensure that the terminology used was consistent throughout.

The long debate (more than three years) in the preparatory Council bodies has allowed to include
all foreseeable elements which might prevent this legislative text from becoming soon obsolete.

2. New elements contained in the common position as compared with the Commission

proposal

The Council has, in its common position:

— made changes to the scope of the Directive (Article 1) adding explicitly various items, some of

which were previously only referred to in the Annexes;

— added some categories of products to those which were excluded from the scope, such as
various means of transport, to avoid overlap with other Directives, and machinery especially
designed for research/laboratory purposes (Article 1);

— set up an indicative list of safety components, referred to in Article 2(c), which may be modified

via a comitology procedure (Article 22) setting up a new Machinery Committee;

— extensively redrafted the Annex on Health and Safety requirements;

— included a table cross referencing Directive 98/37/EC and this Directive, in order to facilitate

application, even when the content of the corresponding parts is not identical;

— made a number of terminological changes throughout the whole text.

(1) OJ C 154 E, 29.5.2001, p. 164.
(2) OJ C 311, 7.11.2001, p. 1.
(3) OJ C 271 E, 12.11.2003, p. 491.

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Amendments which were included in full by the Council

Amendment 16 on references to Directive 92/59/EEC;

Amendment 18 on restrictions to the free circulation of goods;

Amendment 42 adding transportation to the phases where hazard must be eliminated;

Amendment 72 on inclusion of the manufacturer's representative name and address only when
appropriate.

Amendments which were partially included or were reworded by the Council

Amendment 15 on definitions, where the definitions of partly completed machinery, safety compo-
nent and other definitions, as contained in this amendment, were included by the Council;

Amendment 23 on the conformity assessment procedure;

Amendment 27 on the CE marking;

Amendment 31 on the obligation for national/Commission officials to respect professional confi-
dentiality;

Amendment 49 on fixed guards, which was reworded;

Amendment 56 on marking, which was included in part;

Amendment 57 on language usage and instructions;

Amendment 66 specifying how information must be affixed on lifting accessories;

Amendment 75 only for the part stating that the references to the Directives applied must be
clearly indicated using references to the Official Journal.

Amendments unacceptable to the Commission and therefore not included by the Council

Amendment 1 improved environmental performance of machines;

Amendment 4 non-application of the provisions of the directive in certain circumstances;

Amendment 5 equipment used in fairgrounds and amusement parks;

Amendments 6 and 11 CE marking;

Amendments 7 and 8 voluntary certification and marking schemes;

Amendments 9, 20 and 32 comitology;

Amendment 10 high voltage devices;

Amendment 12 safety improvements as regards old machinery;

Amendment 13 codification of future legal acts;

Amendment 19 harmonised standards for machinery;

Amendments 24, 26 and 30 risk analysis and conformity assessment procedure;

Amendment 25 partly completed machinery;

Amendments 28 and 29 market surveillance;

Amendments 33 and 37 definition of ‘lift’;

Amendment 34 Commission assessment of the different requirements under the ‘New approach’;

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Amendment 35 entry into force of the future directive;

Amendment 39 replacement of the term ‘Community’ by the term ‘European Union’ throughout
the text;

Amendment 40 reference to ‘economic proportionality’;

Amendment 44 obligations of the manufacturer during the handling/transport of machinery;

Amendment 36 control systems;

Amendment 48 stability of machinery;

Amendment 50 seats in machinery;

Amendment 55 movement of exposed persons;

Amendment 58 content of instruction manuals;

Amendment 60 vibrations;

Amendment 38 definition of ‘slinging device’;

Amendment 65 design of lifting device;

Amendment 67 design of controls;

Amendment 70 manual controls;

Amendments 71 and 73 construction site hoists;

Amendment 77 availability of technical file;

Amendment 78 and 79 series manufacture of identical machines;

Amendment 82 persons responsible for fulfilling the obligation referred to in Article 12 of the
proposal (conformity assessment);

Amendment 83 compilation of a database of machinery which contributes to a healthy and safe
working environment.

Amendments unacceptable to the Council

Amendment 2 and 3 on the exclusion of industrial sites and medical devices;

Amendment 17 and 82 on the conformity assessment procedure;

Amendment 22 on risk analysis;

Amendment 31 on professional secrecy;

Amendment 45 and 36 on hazardous situations;

Amendment 47 on replacing ‘hazardous situation’ with ‘hazard situation’;

Amendment 59 on measuring procedures;

Amendment 61 and 38 on definitions related to lifting devices;

Amendment 62 on static and dynamic tests;

Amendment 63 on hold-to-run controls;

Amendment 64 on machinery load;

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Amendment 69 on marking;

Amendment 72 on travel zone in industrial lifts;

Amendment 76 on the technique used to affix the CE marking;

Amendment 80 on the obligation of coordination.

IV. CONCLUSION

The text has been modified by the Council to such an extent that a straightforward comparison with
the original Proposal may not be appropriate.

This rewriting was deemed essential in order to achieve three objectives:

— ensure terminological consistency throughout the entire draft, easing thus its application;

— address concerns of the industrial stakeholders who will be called to apply it;

— allow an easy transition from the Directive currently in force to this one.

This accounts also for the extent to which amendments from the European Parliament were taken into
account, as many of them were no longer relevant after a preliminary redrafting.