Statutory guidance

Lifts Regulations 2016: Northern Ireland

Updated 7 November 2023

Guidance on the regulations as they apply to lifts and components being supplied in or into Northern Ireland.

November 2023

1. Introduction

This Guide is for businesses placing lifts and safety components for lifts on the market in Northern Ireland.

Under the terms of the Windsor Framework see footnote 1, Northern Ireland (“NI”) aligns with relevant EU rules (in Annex 2) relating to the placing on the market of manufactured goods. Lifts and safety components placed on the NI market must therefore follow UK law as it applies to NI. The relevant law is the Lifts Regulations 2016, which apply across the UK, but some of the provisions apply differently in NI so that they continue to implement the Directive 2014/33/EU relating to lifts and safety components for lifts in NI.

This Guide is designed to help you comply with the Lifts Regulations 2016, as they apply in NI. References to “the 2016 Regulations” in this document are references to the Lifts Regulations 2016, as they apply in NI.

The 2016 Regulations set out the requirements that must be met before products within their scope can be placed on the NI market. The purpose of the legislation is to ensure safe products are placed on the NI market by requiring manufacturers and installers to show how their products meet the ‘essential health and safety requirements’.

Since16 July 2021, the EU Regulation on Market Surveillance 2019/1020 (referred to as “MSC” in this document) has replaced the market surveillance provisions in the Regulation on Accreditation and Market Surveillance 765/2008. Under the terms of the Windsor Framework, EU rules on goods listed in Annex 2 apply in Northern Ireland, including MSC, which will be directly applicable in NI and applies in addition to the 2016 Regulations. Detailed guidance is available.

Read guidance on placing certain products on the Northern Ireland market

MSC does not apply in GB.

Article 4 of MSC requires that an economic operator responsible for compliance must be based in the EU (or NI) in order to lawfully place certain products on the market. However, Article 4 does not apply to lifts or safety components for lifts.

Lifts and safety components placed on the Great Britain (“GB”) market (GB comprises England, Scotland and Wales) must follow the separate rules for the GB market. If you are placing lifts and safety components on the market in GB, you should read the relevant separate guidance. Read guidance on the regulations in Great Britain

The government is committed to providing unfettered access for qualifying NI goods to the rest of the UK market. Lifts and safety components that can be placed on the market in Northern Ireland in accordance with the 2016 Regulations, as they apply to NI, can be sold in the rest of the UK without any additional approvals. The arrangements here are explained in detail in the separate guidance for placing lifts and safety components on the market in GB.

2. Legislative Background

The Lifts Regulations 2016 came into force on 8 December 2016, implementing Directive 2014/33/EU of 24 February 2014 on the harmonisation of the laws of EU Member States relating to lifts and safety components for lifts. Installers of lifts and manufacturers of safety components for lifts who place their products on the market on or after 8 December 2016 must ensure their products comply with the Regulations. There are duties that importers and distributors of components for lifts must comply with. The Lifts Regulations 1997 continue to apply to products that were placed on the market before this date, but were otherwise revoked.

The Directive continues to apply in respect of NI, under the terms of the Windsor Framework. However, the 2016 Regulations (as they apply in NI) also implement parts of the Windsor Framework which have particular provisions in them, recognising that the UK has left the EU.

There is therefore one set of UK 2016 Regulations, but some of the provisions apply differently in NI and GB. References to the 2016 Regulations in this guidance are references to those Regulations as they apply in NI.

The 2016 Regulations were amended by the Product Safety and Metrology etc. (Amendment) (Northern Ireland) (EU Exit) Regulations 2020 and the Product Safety and Metrology etc. (Amendment etc.) (UK(NI) Indication) (EU Exit) Regulations 2020 to give effect to the Windsor Framework as it relates to the placing on the market of lifts and safety components see footnote 2.

3. Scope

These regulations apply to lifts permanently serving buildings or constructions and safety components for lifts.

These regulations do not apply to lifts and safety components for lifts placed on the NI market before 8 December 2016.

These regulations do not apply to a lift or a safety component for lifts insofar as and to the extent that the essential health and safety requirements relate to risks wholly or partly covered by other specific EU legislation applicable to that lift or safety component. There are also other exclusions set out in the 2016 Regulations.

For a full list of exclusions please refer to the 2016 Regulations.

Please note the 2016 Regulations were amended to correct a minor but important error in Regulation 3.

4. Obligations of installers

The obligations of installers of lifts include:

1. Before placing a lift on the NI market, an installer must ensure that it has been designed, manufactured, installed and tested in accordance with the essential health and safety requirements and that they have had have a relevant conformity assessment procedure carried out and technical documentation drawn up.
2. Once this has been done, an installer must draw up an EU Declaration of Conformity, ensure that declaration accompanies the product and affix the CE marking visibly, legibly and indelibly to the lift carrier. When conformity assessment has been carried out by a UK notified body, the UKNI marking (also known as the UK(NI) indication) must be affixed as well as the CE marking. This product cannot then be placed on the market in the European Economic Area (EEA). There is separate guidance on when and how to use the UKNI marking. Read guidance on UKNI marking
3. Installers must keep the EU Declaration of Conformity up to date and must keep it and the relevant technical documentation for 10 years.
4. Installers must also label their products with their name, registered trade name or registered trade mark and address; the type batch or serial number (or other identification) and ensure that they are accompanied by relevant instructions in clear, legible and easily understandable English.
5. Installers must when appropriate investigate any complaints that the lifts are not in conformity and keep records of these complaints.
6. Installers must take action where they have reason to believe that the lifts are not in conformity with the 2016 Regulations by bringing the lift components into conformity, withdrawing the components or recalling the components. Where the components present a risk, the installer must immediately inform the market surveillance authority (MSA), and the competent authorities of any relevant state in which the installer has made the components available on the market, of the risk, giving details of how the components are not in conformity and any corrective measures taken. Read more information on how to notify the MSA.

5. Obligations of manufacturers

A manufacturer is a person who manufactures a safety component for lifts, or has such a safety component designed or manufactured, and markets that safety component under their name or trademark.

The obligations of manufacturers of safety components for lifts include:

1. Before placing a safety component on the NI market, a manufacturer must ensure that it has been designed and manufactured in accordance with the essential health and safety requirements and that they have had have a relevant conformity assessment procedure carried out and technical documentation drawn up.
2. Once this has been done, a manufacturer must draw up a declaration of conformity, ensure that declaration accompanies the product and affix the CE marking visibly, legibly and indelibly to the safety component for lifts. Where it is not possible on account of the nature of a safety component for lifts to affix the CE marking to the safety component it must be affixed to a label inseparably attached to the safety component.
3. When conformity assessment has been carried out by a UK notified body, the UKNI marking (also known as the UK(NI) indication) must be affixed as well as the CE marking. This product cannot then be placed on the EEA market. There is separate guidance on when and how to use the UKNI marking. Read guidance on UKNI marking
4. Manufacturers must keep the EU Declaration of Conformity up to date and keep it, the technical documentation and where appropriate any approval decision, for 10 years after the product has been placed on the market.
5. Manufacturers must also label the safety components for lifts with their name, registered trade name or registered trademark and address; the type batch or serial number (or other identification). Where it is not possible on account of the nature of a safety component for lifts to place this information on the safety component it must be affixed to a label inseparably attached to the safety component.
6. Manufacturers must ensure that they are accompanied by relevant instructions in clear, legible and easily understandable English.
7. Manufacturers must put procedures in place to ensure that series production remains in conformity with the Regulations and, when appropriate, take action to monitor safety components made available on the NI market by them which may present a risk, keeping a register of such components and any complaints or action taken.
8. When appropriate, having regard to the risks to the health and safety of end users presented by a safety component for lifts, the manufacturer must carry out sample testing of safety components they manufactured and placed on the NI market, and investigate any complaints that the safety components are not in conformity with the 2016 Regulations, keep records of these complaints, of safety components for lifts found not to be in conformity, and of safety components for lifts recalls, for at least 10 years and keep installers and distributors informed of actions carried out.
9. Manufacturers must take action where they have reason to believe that the lifts are not in conformity with the 2016 Regulations by bringing the lift components into conformity, withdrawing the components or recalling the components from the NI market. Where the components present a risk, the manufacturer must immediately inform the market surveillance authority, and the competent authorities of any relevant state in which the manufacturer has made the components available on the market, of the risk giving details of how the components are not in conformity and any corrective measures taken. Read more information on how to notify the MSA.
10. Manufacturers must also cooperate with and when requested provide information and documentation to enforcing authorities.

6. Obligations of authorised representatives

Installers and manufacturers can appoint authorised representatives to perform certain tasks on their behalf (Regulation 24).

An authorised representative appointed by a manufacturer or installer to represent them in either the NI or EEA markets cannot be based in Great Britain. This means that GB based authorised representatives cannot carry out tasks on the manufacturer’s behalf for products being placed on the NI or EEA markets.

An authorised representative based in NI can, under the 2016 Regulations as they apply in NI, carry out tasks on the manufacturer’s or installer’s behalf for products placed on the NI or EEA markets.

An authorised representative must comply with all the duties imposed on the installer or manufacturer under the Regulations that they are appointed by the installer or manufacturer to perform under the written mandate. These include, in relation to lifts, performing the installer’s obligations under Regulation 9 (retention of technical documentation and EU Declaration of Conformity) and Regulation13 (provision of information and cooperation) or in relation to safety components for lifts, the manufacturer’s obligations under Regulation 18 (retention of technical documentation and EU Declaration of Conformity) and Regulation 23 (provision of information and cooperation). The manufacturer or installer remains responsible for the proper performance of those obligations.

Any references in the Regulations to the manufacturer or installer are to be taken as a reference to the authorised representative, including in relation to penalties for failure to comply with those duties.

7. Obligations of importers

For the purposes of the 2016 Regulations as they apply in NI, an importer is a business or person established in NI or the EEA who places a safety component for lifts from outside of the EEA or NI on the NI or EEA market. Therefore, a business or person based in NI who is supplied with a product from GB will be an importer under the 2016 Regulations, if they then sell that product on the NI (or EEA) markets.

The obligations of importers include:

1. Before placing a safety component for lifts on the NI market an importer must ensure that it is in conformity with the essential health and safety requirements.
2. The importer must ensure that the relevant conformity assessment has been carried out by the manufacturer; the manufacturer has drawn up technical documentation; the safety components are CE marked visibly, legibly, and indelibly, and are accompanied by the EU Declaration of Conformity. Where it is not possible on account of the nature of a safety component for lifts to affix the CE marking to the safety component it must be affixed to a label inseparably attached to the safety component. They must also ensure that the manufacturer has complied with their obligations with regard to labelling and instructions.
3. When conformity assessment has been carried out by a UK notified body, the UKNI marking (also known as the UK(NI) indication) must be affixed as well as the CE marking. This product cannot then be placed on the market in the EEA. There is separate guidance on when and how to use the UKNI marking. Read guidance on UKNI marking
4. The importer must keep a copy of the EU Declaration of Conformity and technical documentation for a period of 10 years after the safety component has been placed on the NI or EEA market.
5. The importer must provide their name trade, registered trade name and a postal address at which they can be contacted on the safety components, or where this is not possible, on its packaging or in an accompanying document.
6. The importer must ensure that when placing a safety component for lifts on the market, it is accompanied by instructions and information in English which can be easily understood by end user. Where the end user is in NI, that language is English.
7. When appropriate, having regard to the risks to the health and safety of end users presented by a safety component for lifts, the importer must carry out sample testing of safety components they import and must investigate complaints about safety components that are not in conformity with the 2016 Regulations and keep a register of those complaints. They must also keep distributors informed of any sample testing or investigation.
8. The importer must take action where they have reason to believe that the lifts are not in conformity with the 2016 Regulations by bringing the lift components into conformity, withdrawing the components or recalling the components from the NI market. Where the components present a risk, the importer must immediately inform the market surveillance authority, and the competent authorities of any relevant state in which the importer has made the components available on the market, of the risk giving details of how the components are not in conformity and any corrective measures taken. Read more information on how to notify the MSA.
9. The importer must also cooperate with and when requested provide information and documentation to enforcement authorities.
10. The importer must ensure that safety components for lifts under their responsibility are transported in conditions that will not affect their conformity with the essential health and safety requirements.

8. Obligations of distributors

A distributor is any person, other than the manufacturer or importer, who makes a safety component for lifts available on the NI or EEA markets.

NI businesses which were distributors of components supplied to them from GB should now consider whether they are classified as importers under the 2016 Regulations and therefore what additional requirements they need to comply with – see section 7 above. Under the 2016 Regulations an NI business placing a product from GB on the NI market does so as an importer, not as a distributor under the 2016 Regulations, if they then sell that product on the NI (or EEA) markets.

The obligations of distributors include:

1. Before making a safety component for lifts available on the NI market a distributor must act with due care to ensure that it is in conformity with Part 2 of the 2016 Regulations which means that they are in conformity with the essential health and safety requirements and that each economic operator has complied with its obligations under Part 2.
2. Before placing a product on the NI market, the distributor must verify that the product bears a CE marking, is accompanied by the EU Declaration of Conformity and required documents, that it is accompanied by instructions and that the importer and manufacturer have complied with their obligations as to labelling and identification.
3. The distributor must take action where they have reason to believe that the lifts are not in conformity with the 2016 Regulations by bringing the lift components into conformity, withdrawing the components or recalling the components from the NI market. Where the components present a risk, the distributor must immediately inform the market surveillance authority, and the competent authorities of any relevant state in which the distributor has made the components available on the market, of the risk giving details of how the components are not in conformity and any corrective measures taken. Read more information on how to notify the MSA.
4. The distributor must ensure that any safety components for lifts transported or stored under their responsibility remain in conformity with the essential health and safety requirements.
5. The distributor must cooperate with and provide information to enforcement authorities when requested.

9. Products placed on the market before 1 January 2021

If you placed an individual fully manufactured product on the EEA or the UK market (either in NI or GB) before 1 January 2021, you do not need to take any additional action. These individual goods can continue to circulate on either market until they reach their end user and do not need to comply with the changes that took effect from 1 January 2021.

A fully manufactured good is ‘placed on the market’ when there is a written or verbal agreement (or offer of an agreement) to transfer ownership or possession or other rights in the product. This does not require physical transfer of the good.

You can usually provide proof of placing on the market on the basis of any relevant document ordinarily used in business transactions, including:

• contracts of sale concerning goods which have already been manufactured and meet the legal requirements
• invoices
• documents concerning the shipping of goods for distribution

The relevant economic operator (whether manufacturer, importer or distributor) bears the burden of proof for demonstrating that the good was placed on the market before 1 January 2021.

10. Conformity Marking

Where a lift or safety components are being placed on the NI market, and the manufacturer chooses to have them conformity assessed by an EU recognised body, the marking for the NI and EEA markets continues to be the CE marking.

The CE marking can continue to be used for the GB market see footnote 3, as long as all the other rules have been met.

Since 1 January 2021, where the installer or manufacturer chooses to have the lift or safety component conformity assessed by a UK notified body, the CE marking must be accompanied by the UKNI marking (also known as the UK(NI) indication). Products with the UKNI marking cannot be placed on the EEA market.

There is separate guidance on when and how to use the UKNI marking.

Read guidance on UKNI marking

11. Notified Bodies

Notified Bodies are independent organisations notified to the European Commission to carry out the procedures for conformity assessment and certification set out in the 2016 Regulations.

From 1 January 2021, all active UK Notified Bodies have remained Notified Bodies for the purpose of CE marking products for the NI market. When these UK bodies are used for mandatory conformity assessment activity, the installer or manufacturer will need to affix both the CE and the UKNI markings. A product with both the CE and the UKNI markings cannot then be placed on the EEA market.

There is separate guidance on when and how to use the UKNI marking.

Read guidance on UKNI marking

A list of EU Notified Bodies can be found on the NANDO website. If an installer or manufacturer uses a Notified Body from this list, then they apply only the CE marking to their product (not the CE UKNI marking).

Access the list of UK Notified Bodies.

12. Qualifying Northern Ireland Goods

The government is committed to providing unfettered access for qualifying Northern Ireland goods to the rest of the UK market. Lifts and safety components that can be placed on the market in NI in accordance with the 2016 Regulations can be sold in the rest of the UK without any additional approvals. The guide to placing lifts and safety components on the GB market has further details on these arrangements.

Read guidance on qualifying Northern Ireland goods

13. Enforcement and penalties

In NI the Department for the Economy has a duty to enforce the 2016 Regulations.

The 2016 Regulations also provide powers to the Secretary of State and the Department or a person appointed to act on their behalf to enforce the Regulations and RAMS (Regulation (EC 765/2008 which sets out requirements for market surveillance of products).

The 2016 Regulations gives market surveillance authorities the power to take action against economic operators for products that present a risk or are not in conformity with the 2016 Regulations. There are requirements on economic operators to co-operate with the enforcement authority as appropriate on request.

Safeguard procedure

Enforcement authorities are required under the 2016 Regulations to take all appropriate measures to withdraw from the NI market, or to prohibit or restrict the supply of products bearing CE Marking which may endanger the health and safety of persons, property or the environment if the relevant economic operator does not do so. Under the safeguard procedure, the UK must inform the European Commission and EU Member States immediately of any enforcement action taken indicating the reasons justifying the action. This will enable Member States to take action against similar products placed on the market on their territories. Similarly, if an EU Member State initiates the procedure with respect to action taken on their territories, certain actions are required of UK market surveillance authorities and the Secretary of State. The European Commission will determine whether the action taken is justified; if so enforcement authorities must take necessary measures to ensure the product is withdrawn from the market.

Regulators’ Code

Market surveillance authorities must have regard to the Regulators’ Code when developing the policies and operational procedures that guide their regulatory activities in this area. They should carry out their activities in a way that supports those they regulate to comply and grow, including choosing proportionate approaches that reflect risk. In responding to non-compliance that they identify, regulators should clearly explain what the non-compliant item or activity is, the advice being given, actions required or decisions taken, and the reasons for these. Unless immediate action is needed to prevent a serious breach, regulators should provide an opportunity for dialogue in relation to the advice, requirements or decisions, with a view to ensuring that they are acting in a way that is proportionate and consistent. The Secretary of State takes account of the provisions of both the Regulators’ Code and the Growth Duty in exercising his regulatory functions.

Read the Regulators’ Code

Penalties

A person committing an offence under the 2016 Regulations will be liable to a penalty. Penalties can include a fine or a prison sentence of up to three months for the most serious offences, or both.

While it is matter for the enforcement authority to decide whether prosecution is appropriate in each case, should a prosecution take place, and the economic operator is found to be in breach, it is at discretion of the court to decide the penalties imposed on the offender.

14. European Commission Guidance

Access guidance from the European Commission

The European Commission has produced guidance called the Blue Guide intended to contribute to a better understanding of EU product safety rules and to their more uniform and coherent application across different sectors and throughout the single market.

Access the Blue Guide from the European Commission

15. Glossary

• Approved Body – A conformity assessment body which has been approved by the Secretary of State or was a UK ‘Notified Body’ prior to 1 January 2021 able to carry out conformity assessment of products with a view to UKCA marking. They are not recognised by the EU (unless they have a presence in the EU) and cannot approve CE marking.
• Authorised Representative – A person appointed in writing by an installer or manufacturer to perform specific tasks for the installer or manufacturer. An authorised representative can be based anywhere in the EEA or NI, but cannot be based in GB, in respect of products being supplied on the NI market. Installers and manufacturers remain ultimately responsible for ensuring these tasks are carried out properly.
• CE marking – the CE marking must be placed on products which have been conformity assessed by an EU Notified Body and are intended for the EU or NI markets.

• EU Declaration of conformity – A document prepared by the manufacturer which must detail, amongst other things, the following:

  • the specific product to which the declaration is referring
  • the name and address of the manufacturer and, where applicable, their authorised representative

This must be kept by the manufacturer for a period of ten years from the date on which the product was placed on the NI market. This declaration must be made available to the enforcing authority upon request.

• Distributor – Any person in the EEA or NI supply chains, other than the manufacturer or the importer, who makes a product available in the EEA or NI markets.
• Enforcing Authority – In NI, for products in the use in the workplace, the enforcing authority is the Health and Safety Executive for Northern Ireland (HSENI). For products for private use it is district councils.
• Fulfilment service – A natural or legal person offering, in the course of commercial activity, at least two of the following services: warehousing, packaging, addressing and dispatching, without having ownership of the products involved. This does not include postal, parcel or freight services. See footnote 4.
• Importer – A person established in NI or the EEA who places a product from a country outside of the EEA or NI on the NI or EEA market. A person based in NI who before 1 January 2021 distributed a product from GB on the NI (or EEA) market, is now an importer if they are bringing products into NI from GB.
• Installer – a person who takes responsibility for the design, manufacturer, installation and placing on the market of a lift.
• Manufacturer – A person who manufactures components or has them designed or manufactured and markets that product under their name or trademark.
• Notified Body – A conformity assessment body based in the EEA which has been approved by an EEA Member State to carry out conformity assessment for placing products on the EEA and NI markets; or a conformity assessment body that is based in the UK and have been notified by the Secretary of State, including bodies which were notified bodies whilst the UK followed EU rules. If these UK based Notified Bodies are used, the CE marking must be accompanied by the UKNI marking and cannot be placed on the EEA market (just the NI market, or, where it is also a qualifying NI good, the GB market).
• UKCA Marking – The UK Conformity Assessed (UKCA) marking is the new UK conformity marking used for certain goods being placed on the GB market, in place of the CE marking, which is the conformity marking used in the European Union. Products being placed on the NI market cannot be UKCA marked and must continue to be CE marked. There are special arrangements in place to ensure NI’s unfettered access to the rest of the UK.
• UKNI marking (also known as the UK(NI) indication) – The UKNI marking must be used along with the CE marking if installers or manufacturers wish to use a UK Notified Body for conformity assessment. The UKNI marking allows the product to be placed on the NI market (and, under the Government’s unfettered access commitments, where the product is also a qualifying NI good, on the GB market), but not the EEA market.

16. Footnotes

1: The “Windsor Framework” has the same meaning as set out in Joint Declaration No 01/2023 by the United Kingdom of Great Britain and Northern Ireland and the European Union in the Withdrawal Agreement Joint Committee on the Windsor Framework on 24 March 2023.

2: In 2019, the 2016 Regulations were amended by the Product Safety and Metrology etc. (Amendment etc.) (EU Exit) Regulations 2019 to fix any deficiencies that arose from the UK leaving the EU (such as references to EU institutions) and make specific provision for the UK market. The Product Safety and Metrology etc. (Amendment etc.) (EU Exit) Regulations 2019 were then amended by the Product Safety and Metrology etc. (Amendment to Extent and Meaning of Market) (EU Exit) Regulations 2020 to apply to Great Britain only, and not to Northern Ireland, in support of implementing the Windsor Framework.

3: On 24 August 2021 the Government announced the transition period for UKCA marking would be extended until 31 December 2022. The Product Safety and Metrology etc (Amendment) Regulations 2021 gave effect to this. On 14 November 2022 the Government announced it would be extending this until 31 December 2024. The Product Safety and Metrology (Amendment and Transitional Provisions) Regulations 2022 (SI 2022/1393) give effect to this. On 1 August 2023, the UK Government announced its intention to introduce legislation to extend recognition of goods that meet EU requirements (including the CE marking), indefinitely, beyond 2024 for many products. This will mean that certain goods that meet EU requirements can be placed on the GB market. These updates apply to the 18 regulations that fall under the Department for Business and Trade (DBT).{:#footnote-3}

4: Fulfilment service is defined in Article 3 of MSC and for the purposes of MSC only is considered an economic operator. There are no specific obligations on fulfilment services under the 2011 Regulations.