A practical guide to

Machinery Safety
Your guide to machinery safety,
covering legislation, risk assessments
and machinery safety solutions from
Machinery Safety Experts, TÜV SÜD
Product Service.

Edition 5

TÜV SÜD Product Service

Machinery Safety is one of the

most significant issues facing every

manufacturing company in Europe

today. It’s just as important as

productivity and is essential for the

well being of everyone involved.

Welcome
1

section
Legislative Framework

one
TÜV SÜD has put together to provide this practical guide to the field of

2
machinery safety, basing it around common hazards and issues that they

section
Risk Assessment

two
come across on a regular basis.

TÜV SÜD is a leading international expert in providing testing,

3
certification, training and knowledge services to a range of industries.

section
three
The Machinery Safety Division provides a range of machinery audits and Four Steps to CE marking
inspections, CE marking services, risk assessments and training solutions,
to help ensure the safety and compliance of machinery.

4
section
four
EMC Solutions

5
section
PUWER

five
Pre-Purchase Audit
6
section
six

7
section
seven

Appendices

DISCLAIMER
The aim of this Practical Guide to Machinery Safety is to provide general information on Machinery Safety and is not
an exhaustive treatment of the subject. Accordingly, the information in the Practical Guide is not intended to and shall
not constitute consulting or professional advice or services. If you are seeking specific advice on any matters relating to
information in this document, you should – where appropriate – contact us directly with your specific query.

Copyright
The copyright for this Practical Guide to Machinery Safety belongs to TÜV SÜD Product Service. The information
contained may not be copied, quoted or referred to in any other publication or materials without the prior written
consent of TÜV SÜD Product Service.
All rights reserved © 2015 TÜV SÜD Product Service.

3
Introduction to
Machinery Safety
This free half-day workshop provides an overview of your
legal responsibilities and requirements and the role that
new technologies are having on the machinery safety
lifecycle, along with practical mechanical and electrical
solutions.

Workshop includes:
■ CE requirements when building machines
■ Creating complex assemblies and modifying machinery
■ Functional safety
■ PUWER assessments

Find out more:

www.tuv-sud.co.uk/
machinery-workshop

4
 1

section
one
Legislative Framework
Section 1 - Legislative Framework
To enable the European Union to trade successfully Section Contents
across boundaries, the European Commission
embarked on a policy of harmonisation. Initially the
Commission proposed Directives, which would identify ■ Framework
a unified approach to the production and trade of
products and goods across Europe. However these ■ Machinery Directive
Directives were prescriptive and it was felt that this
was having a detrimental effect on innovation and ■ EMC Directive
invention. To counter this the Commission introduced
the New Approach Directives (CE marking Directives). ■ Low Voltage Directive

These Directives are not prescriptive and lay down ■ Pressure Equipment Directive
minimum criteria for compliance. The New Approach
Directives are similar in format for ease of reference ■ ATEX Directive
and use. Perhaps the most significant aspect of
the new legislation is the conformity assessment ■ Work Equipment Directive
procedure (the means by which the compliance is
ensured). The Directives offer a flexible approach. ■ EN Standards

Significant Directives: ■ SEMI Assessments

M achinery Directive 2006/42/EC
E MC Directive 2004/108/EC ■ Maritime Specifics
L ow Voltage Directive 2006/95/EC

5
1
section
one
Legislative Framework

Machinery Directive w
 hich is not necessary in order for the machinery to
function, or for which normal components may be
All machines supplied in the European Economic Area substituted in order for the machinery to function.
(EEA) from January 1st 1995, must comply with the
Machinery Directive and be safe. There are few The New Approach Directives lay down minimum
exclusions to the Directive making this one of the most criteria for compliance. These criteria are called The
significant of all the New Approach Directives. Essential Health and Safety Requirements (EHSR).

The scope of the Machinery Directive defines a machine The preferred way to comply with EHSRs is by Risk
as the following: Assessment and the application of harmonised EN
standards, which are replacing the national standards of
1. An assembly fitted with or intended to be fitted member states.
with a drive system other than directly applied
manual or animal effort, consisting of linked parts or
components , at least one of which moves, and which EMC Directive
are joined together for a specific application.
2. Machinery referred to in 1 missing only the The EMC Directive states that most electrical and
components to connect it on site or to sources of electronic products made or sold in Europe must:
energy and motion.
3. Lifting apparatus whose only power source is directly B
 e so constructed that they do not cause excessive
applied manual effort. electromagnetic interference and are not duly affected
4. An assembly of machines and / or partly completed by electromagnetic interference,
machinery which, in order to achieve the same end are C
 arry CE marking - if your product is sold, used by
arranged and controlled to function as an integral whole. yourself, given away or used in anyway, it must comply
5. Interchangeable equipment means a device which, with the Essential Protection Requirements as laid
after placing into service with machinery or tractor down in the Directive. Ignorance of the legislation is no
is assembled with that machinery or tractor by the excuse and a punitive penalty structure is documented.
operator himself in order to change its function.
The requirements under the EMC Directive are:
Safety components for machinery, described as:
T hat the product must not interfere with any other
w hich serves to fulfil a safety function, product in any way.
w hich is independently placed on the market, T he product must meet certain standards in that it
t he failure and/or malfunction of which endangers the must not suffer interference from any other product.
safety of persons, and

6
 1

section
one
Legislative Framework
Low Voltage Directive The PED impacts upon design, production, final
inspection/test, marking and labelling and instructions
The Low Voltage Directive states that: for use/maintenance. Therefore, in most affected
companies no single person will be able to resolve all
O nly electrical equipment which does not jeopardise issues particularly when choosing to apply a quality
the safety of people, domestic animals and property assurance module.
shall be placed onto the market.
E quipment operating at voltage between 50v & 1000v The PED requires that each affected item of pressure
AC and 75v &1500v DC should comply. equipment be categorised according to specific criteria.
The requirements under the Low Voltage Directive are: If you are not fully conversant with the directive this
T hat the product is electrically safe process can be time consuming and can result in costly
T he product has been constructed in accordance with errors. The Directive provides many options and routes
accepted good engineering practice and is safe to conformity (modules), inappropriate choice can lead
T he product has been designed and constructed in to significant third party inspection costs.
accordance with the Principal Elements of the Safety
Objectives of the Directive.
ATEX Directive
Electrical equipment shall be designed and constructed
to ensure that it is safe when connected to the The “ATEX” Directive 94/9/EC is a so-called “New
electricity supply, by providing a level of protection Approach” Directive which provides the technical
against electric shock. requirements to be applied to equipment intended for
use in potentially explosive atmospheres. It is named
after the French “ATmosphere EXplosible”.
Pressure Equipment Directive
The Directive covers a surprisingly large range of
The Pressure Equipment Directive (PED) 97/23/EC which equipment, potentially including equipment used on
affects equipment operating at a pressure greater than fixed offshore platforms, in petro-chemical plants,
0.5 bar, entered into force on 29th November 1999 and mines, flour mills and other areas where a potentially
is mandatory from 29th May 2002.PED is generally explosive atmosphere may be present.
considered one of, if not the most complex and difficult
to understand of the new approach directives. Many In very broad terms, there are three pre-conditions for
organisations, particularly small and medium sized the Directive to apply:
companies with limited resource to allocate specifically
to the task of conformance, are reporting difficulties in T he equipment must have its own source of ignition
interpretation and application. B e intended for use in a potentially explosive

7
1
section
one
Legislative Framework

atmosphere (air mixtures) have to be documented and kept.

B
 e under normal atmospheric conditions.
The regulations make it an offence to allow work
The Directive also covers components essential for the equipment to leave an employer’s undertaking, or if
safe use and safety devices directly contributing to the obtained from another undertaking, be used, unless
safe use of the equipment in scope. These latter devices it is accompanied by physical evidence that the last
may be outside the potentially explosive environment. inspection has been carried out.

Work Equipment Directive EN Standards

The Provision and Use of Work Equipment Regulations By definition a standard is “A document established
1998 (PUWER) requires users of work equipment to by consensus and approved by a recognised body,
carry out risk assessment and provide work equipment that provides, for common and repeated use, rules,
that is suitable for its intended task and can be used guidelines or characteristics for activities or their
without putting persons at risk. results aimed at the achievement of the optimum degree
of order in a given context” (ISO/IEC guide 2 (1986).
The Regulations cover any machinery, appliance,
apparatus, tool or installation for use at work (whether Three organisations are mandated by the European
exclusively or not) - effectively it is anything used at Commission to produce standards, with each
work. The 1998 regulations (updating the original 1992 organisation being responsible for specific standards.
Regulations) introduce requirements to ensure that, for
reasons of health and safety, inspections are carried out: Once a standard has been produced through the
process as detailed by CEN and CENELEC they become
 After installation and before being put into service known as transposed harmonised standards. European
for the first time; or after assembly at a new site or member states will then remove any existing national
in a new location to ensure that it has been installed standards which conflict with the new standard and add
correctly and is safe to operate. the relevant country prefix.
 After work equipment has been exposed to any
conditions causing deterioration, which is liable to For example, EN designates that the standard is a full,
cause a dangerous situation. harmonised standard. The process of transposition adds
 At suitable intervals; and the country prefix hence a standard will become BS EN
E ach time that exceptional circumstances have in the UK. A DIN EN standard in Germany will be exactly
occurred that are liable to jeopardise the safety of the same.
work equipment. The results of these inspections

8
 1

section
one
Legislative Framework
SEMI regulations that took precedence (these have now been
revoked). In September 2006, a new maritime version
Semiconductor Equipment and Materials International of PUWER was published. The Merchant Shipping &
(SEMI) is a global industry association for members of the Fishing Vessels (Provision & Use of Work Equipment)
semiconductor and related industries. The Environmental Regulations 2006 impose the minimum health and
Health and Safety (EHS) Committee within SEMI’s safety requirements for the provision and use of work
International Standards Division develops industry equipment by workers at work.
standards and guidelines that are globally accepted as
ensuring the highest level of safety and quality. The regulations require that employers shall ensure that
the work equipment made available to workers on board
SEMI standards focus on lowering manufacturing a ship, is suitable for the work being carried out and safe
costs, developing new industries and guaranteeing the to use.
existence of open markets. SEMI S2 is the foundation
guideline in SEMI’s fleet of safety documents Alongside the maritime PUWER regulations is a
which defines the minimum safety requirements maritime version of LOLER (Lifting operations, Lifting
for semiconductor products. Conforming to SEMI S2 Equipment Regulations), which applies LOLER to ships in
contributes to business efficiency and profitability whilst the same manner that PUWER has now been applied.
increasing the marketability of products.

Linkspans and Passenger Walkways

Why Use Standards?
These, in simple terms, are the bridging between ship
The use of standards is not mandatory, however, if a and port that allows for tidal movements. They have
standard is applied correctly, conformance with the always been considered machinery due to the latent
relevant EHSRs of a directive may be presumed, hence energy in the hydraulic systems that balance them. At
they represent the surest way to compliance. The user a recent meeting of Notified Bodies for the Machinery
though, must still ensure that the equipment complies Directive, it was discussed whether linkspans should
with the Directive and is in fact safe. actually fall under Annex IV of the Machinery Directive
as they effectively lift people, and devices for the
lifting of people are Annex IV machines. The discussion
Maritime specifics concluded that linkspans should be considered as Annex
IV machinery and so maritime architects and builders
November 2006 saw a major change with PUWER. Up to will now have to use a Notified Body when building
this date, work equipment on ships was outside of the linkspans in ports.
scope of PUWER because there were other maritime

9
Functional Safety
Functional Safety is the part of the overall safety of a
system or piece of equipment that depends on the system
or equipment operating correctly in response to its
inputs, including the safe management of likely operator
errors, hardware and software failure and environmental
changes.

TÜV SÜD provide a broad range of functional safety

services from assessments to our industry-recognised
‘Functional Safety Certified Professional’ training course.

Find out more:

www.tuv-sud.co.uk/
functional-safety
 2

section
two
Risk Assessment
Section 2 - Risk Assessment
Guidance on carrying out risk assessment can be Section Contents
found in many places. EN ISO 12100 is the main
standard for risk assessment for machinery as it sets
down the principles for the process. ■ Hazard Identification

Risk assessment is fundamental to any health and ■ Risk Assessment Objectives

safety process and in particular machinery safety.
Because of this, anyone involved in dealing with ■ Safety Related Control Systems
machinery safety issues should be competent in risk
assessment and be well aware of the types of hazards ■ EN ISO 13849-1 vs EN IEC 62061
that may occur across their working environment.
■ Common Hazards
Risk Assessment is subjective therefore the
information in this section gives help and advice on
risk assessment. It has to be stressed that it is only
a guide and the onus remains firmly with the person
carrying out the assessment to comply with all the
relevant regulations.

11
2
section
two
Risk Assessment

Issues to consider when assessing machinery:

Emergency Stops Electrical Enclosure CE marking Environment Guarding

■ Are they fitted correctly? ■ Is the enclosure locked? ■ Does the machinery fall ■ Is there adequate ■ Is guarding fitted?
under the Machinery lighting?
■ Do they all work ■ Are all enclosures fitted Directive? ■ Is it adequate?
correctly? with electrical warning ■ Is the floor area free from
signs? ■ Have all the Directives slip and trip hazards? ■ Are interlocks fitted
■ Are they accessible? been considered i.e. EMC, where required and are
■ Are they free from debris LVD, ATEX and PED? they positively acting?
■ Are they correct type? and foreign objects?
■ If so, has it been CE ■ Do fixed guards require
marked? tools for their removal?

■ Has it been altered in a

way that could affect the
original CE marking?

12
 2

section
two
Risk Assessment
Hazard Identification Risk Assessment Objective
A hazard is: To achieve adequate safety according to the state of the
Anything that has the potential to do harm, a source of art and technical and economic requirements. There are
possible injury or damage to health. numerous ways of assessing risk involved with a hazard,
one of which is the hazard rating number system (HRN).
A risk is: The risk assessment method that is used by TÜV SÜD is
The likelihood of someone coming into contact with a Preliminary Hazard Analysis, which uses the HRN system.
hazard and the degree of injury or damage to health that
could be caused should contact occur. A sample risk assessment form can be found in the
appendices at the end of this guide.
A hazardous situation is:
A situation where people are exposed to hazards. Numerical values are assigned to descriptive phrases
relating to:
Examples:
A moving belt on a conveyor would be a hazard. The risk T he likelihood of occurrence (LO)
would be the likelihood of someone coming into contact T he frequency of exposure (FE)
with an in-running nip or being drawn along the belt by a T he degree of possible harm (OPH)
protrusion and the severity of injury or damage to health T he number of persons at risk (NP)
that could be caused. An electrical enclosure containing
voltages above 50v AC and 75v DC that has uncovered The hazard description is vital in understanding those risk
terminations is a hazard even though the enclosure may assessments, unless otherwise stated, the risk assessment
be kept locked and strict key control enforced. The reason relates to the hazards in the normal operation of the
for this is that if an electrician had to carry out diagnostic machine. Where a specific risk is associated with that
testing on a live enclosure they could inadvertently touch equipment, a separate risk assessment will be provided.
an adjacent terminal with a tool etc. The risk would be the
likelihood of that happening and the severity of injury or Where there is no control over the frequency of exposure,
damage to health that could be caused. a worst-case scenario must be assumed, and a constant
frequency is assigned.

Risk Assessment Definition

Risk Assessment Example
A comprehensive estimation of the probability and degree
of possible injury or damage to health in a hazardous Injury due to access to dangerous parts of machinery.
situation in order to select appropriate safety measures. The present guarding, partially fitted, allows access to the

13
2
section
two
Risk Assessment

moving parts. As mentioned at the start of this section, EN ISO 12100

is the main standard for risk assessment for machines
LO FE DPH NP=H.R.N. and is harmonised to the Machinery Directive. It lays
2 X 5 X 4 X 1=40 down principles for risk assessment, hazard analysis and
Degree of risk: = Significant documentation requirements.

From this example we can see that the existing guarding, Also included within the standard is a table giving
whilst offering a certain amount of protection, is not examples of hazards, hazardous situations and hazardous
adequate and the degree of risk can be reduced further events. This table gives detail as to the kind of hazards or
by fitting a guard that completely prevents contact with hazardous situations that can occur. Anyone involved in a
the hazard but does not affect the production. risk assessment project for machinery should refer to this
list as matter of course unless they are totally confident in
Control Measure: their knowledge and ability to carry out the assessment.
Fit a tunnel guard that prevents all access to the moving
parts in accordance with EN 953 and EN ISO 13857.
After control measures fitted: Safety Related Control Systems
LO FE DPH NP=H.R.N. A control system responds to input signals from the
0.1 X 0.1 X 4 X 1=0.04 machine or from the operator and generates output
Degree of risk: = Negligible signals. These make the machine operate in a desired
manner. So if for example, an operator presses a start
The control measure has detailed the machinery needs button then the control system may respond by closing a
additional guarding, and has detailed the Standards to contactor and energising a motor. Control systems can be
which you should construct that guard in accordance with. implemented in a range of technologies, but this guidance
EN Standards will be used for the correct control measure is mostly concerned with electro technical systems
where those Standards exist. The control measure is employing electrical, electronic and programmable
deliberately left non-specific in its description in order to electronic technologies. Electro technical control systems
allow the designer of that guard some scope of flexibility can range from simple electromechanical relay based
in his approach. If we detail an exact specification to a systems to complex programmable systems with multiple
guard or control measure, we effectively tie your hands. analogue and digital inputs and outputs.
Our assessments are one method of compliance and
should you find an alternative way to achieve compliance, What is a safety related control system?
then we would welcome your suggestions. Our engineers A control system in a machine should be regarded as
are available to give specific advice to you outside of being safety-related if it contributes to reducing the
these assessments should you require it. occurrence of a hazardous situation or if it is required

14
 2

section
two
Risk Assessment
to function correctly to maintain or achieve safety. The From a users point of view if you are implementing safety
functions carried out by a safety-related control system related controls using electrical/electronic/programmable
are termed safety functions. Generally safety functions electronic systems (E/E/PES) there is no clear distinction
either prevent the initiation of a hazard or detect the onset as to which of the standards should be used for any
of a hazard. Safety-related control systems should be particular application (EN ISO 13849-1 is not “technology
designed and configured to be reliable enough (bearing in specific” and can be used as guidance for non-electrical
mind the consequences of any failure) and to perform the technologies). The choice will be influenced by quite a
necessary functions to achieve or maintain a safe state or number of factors, however whichever of the standards
mitigate the consequences of a hazard. you choose the main steps to follow, and the outcomes,
are pretty much the same.
To assist a designer or assessor in deciding which of the
two main standards to use: BS EN ISO 13849 or EN (IEC) The Choice
62061, a distinction is drawn between those electro technical In the UK there was a considerable body of opinion that
safety related systems that use programmable technologies the use of BS EN ISO 13849-1 should be restricted to low
and those that use electromechanical components. complexity safety systems, and that BS EN 62061 should
be chosen for systems that used “Safety PLCs”, indeed
EN ISO 13849-1 and EN (IEC) 62061 the national foreword to the original BS editions of the
These are standards for safety related control systems that standards almost said as much. However the choices as far
are published in the UK as BS EN ISO 13849-1 and BS EN as the standards themselves are concerned is not that clear.
62061. They are both harmonised to the Machinery Directive Either standard can be used as guidance for both hardware
and this has left many people confused about which and application software for systems up to the highest
standard should be applied in any particular application. integrity or performance identified in them. So how does a
user make the decision? As already mentioned if the safety-
EN ISO 13849-1 (Safety of machinery, Safety related parts related controls use technologies other than E/E/PES then
of control systems, General principles for design) is the EN ISO 13849-1 is the only choice, but for the vast majority of
standard that replaced, EN 954-1 (Safety of machinery, systems several factors will influence the choice.
Safety related parts of control systems, General principles
for design), EN 954-1 was completely withdrawn at the It is becoming clear that more use is being made of EN ISO
end of 2011. EN 62061 (Safety of machinery, functional 13849-1, this is probably due to it being the replacement for
safety of safety-related electrical, electronic and EN 954-1 and carrying over a lot of the familiar content, but it
programmable electronic control systems) is also might also be because it is seen as the more straightforward
harmonised to the Machinery Directive. It is a machinery of the two (not necessarily the case!).
sector standard based on the requirements of IEC 61508.

15
2
section
two
Risk Assessment

Some considerations that might influence the choice are: design and development of the machine itself. Wherever
possible hazards should be eliminated by design, or fixed
P
 revious knowledge and experience in the design of safeguards should be in place to avoid exposing people
machinery control systems based upon the concept of to hazards. EN ISO 12100 gives excellent guidance on
Categories described in ISO 13849-1:1999 may mean that these vitally important considerations. It is also worth
the use of ISO 13849-1:2006 is more appropriate; noting that neither EN ISO 13849-1 nor EN 62061 cover the
C
 ontrol systems based upon media other than electrical general electrical safety aspects for machinery, this is the
may mean that the use of ISO 13849-1 is more appropriate; subject of EN 60204.
C
 ustomer requirements to demonstrate the safety
integrity of a machine control system in terms of a Safety So it is only once it has been decided that further risk
Integrity Level (SIL) may mean that the use of IEC 62061 reduction is required from safeguards utilising safety
is more appropriate; related controls that we should consider the guidance
C
 ontrol systems of machinery used in, for example, the given by either EN ISO 13849-1 or EN 62061.
process industries, where other safety-related systems
(such as safety instrumented systems in accordance Both standards use the concept of “functional safety”
with IEC 61511) are characterised in terms of SILs may which means specifying the safety requirements in terms
mean that the use of IEC 62061 is more appropriate. of the functional requirements (for example: “When the
(Source ISO/DTR 23849) guard is opened hazardous movement must be stopped”),
and the amount of risk reduction required. EN 62061
Main steps uses Safety Integrity Levels (SIL), EN ISO 13849-1 uses
Machinery safety starts at the very beginning with the Performance Levels (PL). Both standards require the user

EN ISO 13849-1 Average probability of a dangerous EN 62061

Performance Level (PL) failure per hour [1/h] Safety Integrity Level (SIL)
a ≥ 10-5 to < 10-4 no special safety requirements
b ≥ 3 x 10 to < 10 -6 -5
1
c ≥ 10 to < 3 x 10
-6 -6
1
d ≥ 10 to < 10
-7 -6
2
e ≥ 10 to < 10
-8 -7
3
SIL 3 is directly equivalent to PLe, SIL 2 is directly equivalent to PLd, SIL 1 is equivalent to PLb – PLc
Verification according to hardware reliability. In order to verify that a target SIL or PL has been achieved it is
necessary to consider a number of things, these include the hardware architectures of the safety related controls (e.g.
single channel or dual channel), the reliability of the components used, the amount of Diagnostic Coverage (DC), and
the susceptibility to Common Cause Failures (CCF). These are considered to be the quantifiable aspects.

16
 2

section
two
Risk Assessment
to follow essentially the same series of steps:
A
 ssess the Risks
A
 llocate the Safety measures
D
 esign Architecture
V
 erify/Validate that the requirements have been met
Multiple Earths/ terminations
Both standards have a recommended method to help Another common electrical fault is that of multiple
establish the amount of risk reduction that is required terminations, in particular with earthing, onto one point.
from each safety function, although the methods are
quite different the outcomes should be the same (or very
similar) for any given function. In IEC 62061 the requirement
is a Safety Integrity Level (SIL), in ISO 13849-1 it is a
Performance Level (PL). Both SILs and PLs are defined in
terms of the average probability of a dangerous failure per
hour, and there is a correspondence between them. Guarding
Guarding is one of the more visual issues for machinery
The future? safety. The examples used below are extreme but the
The standards organisations are working to produce a issues concerned are, is there guarding on the machine
single standard that will combine the contents of IEC 62061 and is it adequate.
and ISO 13849, this standard will be published as IEC/ISO
17305. Publication is not expected until about 2018.

Common Hazards
These common faults and hazards are examples taken Hydraulics and Pneumatics
from our experience and are illustrated using the TÜV Where you find hydraulics and pneumatics on machinery,
SÜD virtual reality training model. safety issues include the state of the pipework, whether
the pipes are correctly labelled and whether they have
Isolators lockable isolators or not.
Common faults that are found are that there isn’t an
isolator fitted, the isolator is of the wrong type or is
incorrectly fitted, the mains isn’t terminated at the isolator.
Image B is a corrected version of A.

17
Take your training to a
higher level
Make sure you keep up-to-date with the latest machinery
safety Standards. TÜV SÜD provide a range of Machinery
Safety training courses from a half day ‘refresher
workshop’ on machinery safety through to a five day
University-backed course on the European Machinery
Safety Requirements.

Find out more:

www.tuv-sud.co.uk/
ms-training
 3

section
three
Four steps to CE marking
Section 3 - Four steps to CE marking for the
Machinery Directive
The machinery directive is one of the widest ranging Section Contents
directives due to the definitions of what is machinery.
According to machinery Directive 2006/42/EC,
machinery is: ■ Essential Health & Safety Requirements

A
 n assembly, fitted with or intended to be fitted with ■ Technical Construction Files
a drive system other than directly applied human or
animal effort, consisting of linked parts or components, ■ Declaration of Conformity
at least one of which moves, and which are joined
together for a specific application ■ Affix the CE mark
A
 n assembly referred to in the first indent, missing only
the components to connect it on site or to sources of ■ Project Management
energy and motion
A
 ssemblies of machinery or partly completed
machinery which, in order to achieve the same end,
are arranged and controlled so that they function as an
integral whole

It also states that a manufacturer is:

A
 ny natural or legal person who designs and/or
manufactures machinery covered by this Directive
and is responsible for the conformity of the 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.

So whether you are designing, manufacturing or

importing machinery, you need to know what your legal
duties and responsibilities are.

19
3
section
three
Four steps to CE marking

4. EHSRs to offset hazards due to a lifting operation

Step 1: The Essential Health and 5. EHSRs for machinery intended for underground work
6. EHSRs to offset hazards due to the lifting of moving of
Safety Requirements (EHSRs) persons

In order to comply with the Supply of Machinery (Safety) The 2006/42/EC Directive made changes to a number of
Regulations, the machinery must be able to satisfy the the EHSRs. Some of the more significant changes are as
EHSRs for any corresponding hazard which may apply follows:
to it. Typical examples of Essential Health and Safety
Requirements are the requirements to provide adequate E HSR 1.1.7 The operating position must be designed to
warning marks where there are moving parts that might avoid any risk due to exhaust gases/ lack of oxygen
trap parts of the body of personnel using the machine. E HSR 1.1.8 work stations that are an integral part of
Another item would be the requirement to provide the machine must be designed for the installation of
safety guards to machine tools. seating
E HSR 1.2.2 Manual controls must be clearly visible and
The requirements are wide ranging, taking into account identifiable; the use of pictograms is recommended
potential dangers to operators and other persons who may E HSR 1.4.2.1 Fixed guards. Fixing systems must remain
be at risk. The Essential Health and Safety Requirements attached to the guards when removed
are mandatory. However, taking into account the state of E HSR 1.1.2 requires risk assessment to be carried out
art, it may not be possible to meet all the objectives set by
them. With this in mind, the machinery must be designed Risk assessment is the fundamental starting point for
and constructed with the purpose of approaching designers of machinery under the Machinery (Safety)
these objectives. Within the Supply of Machinery Regulations as well as for operators of existing
(Safety) Regulations, the Essential Health and Safety machinery under the Provision and Use of Work
Requirements are divided into six sections: Equipment Regulations 98.

1. EHSRs applicable to all machinery The standard EN ISO 12100 entitled “Safety of
2. EHSRs for Certain categories of machinery including Machinery –Risk Assessment” defines risk assessment
Foodstuffs machinery, machinery for cosmetics or as “a series of logical steps to enable, in a systematic
pharmaceutical products, hand-held and/or hand- way, the analysis and evaluation of the risks associated
guided machinery, portable fixing and other impact with machinery.”
machinery, machinery for working wood and material
with similar physical characteristics EN ISO 12100 goes on; “Risk assessment is followed,
3. EHSRs to offset hazards due to the mobility of whenever necessary, by risk reduction. Iteration of this
machinery process can be necessary to eliminate hazards as far

20
 3

section
three
Four steps to CE marking
as practicable and to adequately reduce risks by the BS EN 414
A Type Standards
implementation of protective measures.” BS EN 12100
B1 B2
B Type Standards BS EN 60204 BS EN 13850
To assist manufacturers comply with the Directives BS EN 1088
and to harmonise standards throughout the EEA the
BS EN 12417
European Commission charged CEN (Commission for BS EN 415
European Normalisation) to prepare standards which C Type Standards BS EN 693
BS EN 474
will provide a European wide scope. These Standards BS EN ISO 10218-1
provide two important statements:

1. The level of safety attained in a member state must All standards which have been harmonised for
not be lowered. Machinery Directive 98/37/EC will need to be at least
2. Products or machinery manufactured in conformity rewritten if not fully updated to ensure compliance with
with a specified published European Standard will be the 2006/42/EC Directive.
presumed to comply with the Essential Health and
Safety Requirements covered by those standards.
Step 2: Technical Construction File
Construction of Standards
A Type Standards apply to all machinery and are Under the Supply of Machinery (Safety) Regulations,
essential reading to designers and builders. any manufacturer wishing to supply machinery
within the European Economic Area (EEA) must be
B Type Standards, these are laterally interlinked and are able to assemble a file, often known as the “product
generally divided into B1 and B2 standards. file”, containing technical information relative to the
machinery. The file must remain available for inspection
B1 Standards apply to all machinery and are designed to by a competent national authority, such as the UK
promote the essential factors of safety. Health and Safety Executive, for a period of ten years.
The file, however, does not have to include detailed
B2 Standards apply when used i.e. if a particular safety information such as the sub-assemblies of the machine,
device is used it must be manufactured to the relevant unless a knowledge of them is essential for verification
standard. and compliance with the Essential Health and Safety
Requirements. For machinery it is considered this
C Type Standards, these will inform designers, information is essential and should be provided.
manufacturers and users of specific safety precautions
to be taken, and devices which are required to be used The file should contain the following:
in particular T he Directives applicable for design, manufacture,

21
3
section
three
Four steps to CE marking

installation etc and with which compliance is claimed “the market”. The Declaration is the manufacturer’s
A ny other national standards/guidance/technical assurance to the customer that the product complies
specification as applicable with the applicable directives. The Declaration carries
A n overall drawing of the machinery relevant product information and is signed by a
A list of the Essential Health and Safety Requirements responsible person on behalf of the manufacturer or
C omplete detailed drawings, calculation notes and importer.
test results etc, deemed necessary to endorse the
conformity of the machinery, with the EHSRs Declaration of Incorporation
A n account of the techniques used to reduce or Partly completed machinery means an assembly
eliminate hazards posed by the machinery/product. which is almost machinery but which cannot in itself
D rawings of the operating system/control circuitry perform a specific application. It is only intended to be
with details outlining how it works incorporated into or assembled with other machinery or
T he standards used and any reports/test results partly completed machinery. The manufacturer of partly
required by these standards completed machinery should draw up a declaration of
A copy of all works and site testing and commissioning incorporation which should accompany the assembly
reports instructions and the partly completed machinery when
I f so desired a certificate or technical report obtained it is placed on the market. The declaration and assembly
from a competent body in support of standards instructions will then form part of the technical file for
conformity the final machinery.
A copy of the operator’s instructions and maintenance
manual
Step 4: CE mark
Non-European manufacturers must appoint someone
within Europe to hold their Technical Files and this Affix the CE mark to machines which are issued with
person’s name and address must be included in the a Declaration of Conformity only. CE marking must be
Declaration. affixed in the immediate vicinity of the name of the
manufacturer or Authorised Representative and applied
using the same technique.
Step 3: Declaration
The Declaration of Conformity is a certificate, which Project Management
must accompany every machine placed on what
is termed “the market” (unless a Declaration of When building machines or when combining machines
Incorporation is issued instead). The manufacturer to produce a ‘complex assembly’ of machines it is easy
of a machine automatically places the machine on to get things wrong and end up with a project that

22
 3

section
three
Four steps to CE marking
requires a lot of rework and ends up going over budget Stop! Even by complying with the Standard, errors can
or overtime. To this end, ensure that the CE marking is occur.
considered from the start.
When starting a project, decide who is going to take
Frequently what happens is that equipment is designed the responsibility for the CE marking, and lay down
and installed with no thought as to what happens the ground rules. Decide what Performance Level
either upstream or downstream, or who takes the machine will come under, using EN ISO 13849 and
the responsibility for which parts, and who takes ensure all suppliers are aware of what is required.
responsibility for the final assembly.
Make sure they all understand which EN Standards
This can be exacerbated when equipment is sourced to follow, and make sure they have copies of the
from outside the European Economic Area, or existing Standards. Ask for sample Declarations before deciding
equipment is linked to new equipment. on suppliers, and check to see if they have all the
information on them, and the correct numbers for
Common problems that occur when CE marking example.
is not considered from the start include:
E quipment being installed before a final layout is Issue Purchase Orders, and ensure there is a clause
agreed - leads to machines being moved and rework about CE marking, and whose responsibility it is.
being required. If building a complex assembly, decide how EMC
C onsideration not given to a Safety related control issues are to be tackled if testing is to be carried out,
system at the start, leading to a number of problems all suppliers should be aware of potential failures,
when linking different machines of different especially if using Inverter Drives. Check that these are
performance level the machine under EN ISO 13849. installed using the manufacturers guidelines.
C onsideration not being given to control system
functionality with feed conveyors not being stopped Before accepting and paying for any machines, check
when a process is stopped, leading to damaged that they meet the requirements of the order and also
product at best, and injury at worst. that they conform to the Machinery Directive. If there is
M achinery not being inspected before installation, and any doubt, it should be resolved before final payment.
then when non compliances are found, disagreements
about who pays to put it right, the supplier, the
contractor or the user.
C ontrol colours not being agreed, with different
suppliers using different colours, leading to confusion.
The European Standard allows for Green, White, Black
or Grey for Start, and Red, White, Black or Grey for

23
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 4

section
four
EMC Solution
Section 4 - EMC Solutions

The main objectives of the EMC Directive, introduced in Section Contents

1992 and a mandatory requirement from 1996, are:

T o harmonise technical rules and requirements for ■ EMC Directive

controlling interference emitted by equipment and the
control of immunity of equipment to electromagnetic ■ Mains Filters
noise.
■ Cables

25
4
section
four
EMC Solution

EMC Solutions There can be no doubt about the need for

electromagnetic compatibility. If, for example,
The EMC Directive, 2004/108/EC is due to be superseded the control system of a machine is disturbed by
by the EMC Directive 2014/30/EU in April 2016. In the electromagnetic interference it may randomly
UK the Directive is implemented by the Electromagnetic malfunction, creating a potentially dangerous situation.
Compatibility (EMC) Regulations 2006. Conversely, if the electrical and electronic systems
fitted to a machine generate a high level of interference,
The EMC Directive is concerned with the protection of they may cause other nearby equipment to malfunction.
the radio spectrum to ensure that broadcast radio, TV,
communication and telecommunication systems can
operate without interference. The immunity requirement Higher Immunity
ensures that equipment operates without unacceptable
degradation. What is less well realised is that the EMC The machinery sector Functional Safety standard EN
Directive is not a safety Directive and does not address 62061, based on EN 61508, requires higher levels of
EMC and its impact on Functional Safety. immunity to interference for safety related electronic
equipment. EN ISO 13849-1 requires compliance with
The requirement for equipment to remain safe in relation appropriate EMC standards. EMC immunity testing
to EMC and Functional Safety falls under the Machinery is one of the verification techniques but as IEC/TS
Directive 2006/42/EC itself, specifically under clause 61000-1-2 states, EMC and Functional Safety cannot
1.5.11; External radiation - Machinery must be designed be achieved by testing alone due to the difficulty of
and constructed in such a way that external radiation testing all combinations and permutations of equipment
does not interfere with its operation. and environment, operating conditions and modes
of operation. Conversely testing at higher immunity
However demonstrating EMC and Functional Safety levels can find failures that could not be predicted by
under the Machinery Directive requires compliance with reviewing the design and therefore has a verification
the EMC Directive as a first step but with the addition of role to assess the ‘common’ EMC failure mechanisms.
a risk assessment of the design for EMC and Functional A new draft standard has been issued that provides
Safety and the achievement of higher immunity more specific guidance on the higher immunity levels
performance for safety related elements. required; EN 61000-6-7 Electromagnetic compatibility
(EMC) - Part 6-7: Generic standards - Immunity
Electromagnetic compatibility (EMC) is an issue that requirements for equipment intended to perform
many machine builders find complex and confusing, functions in a safety-related system (functional safety)
but that doesn’t mean that they can ignore their in industrial locations.
legal obligation to ensure their products meet the
requirements of the EMC and Machinery Directive.

26
 4

section
four
EMC Solution
Risk Assessment for EMC and requirements, includes statements that can be
summarised as saying that equipment must be designed
Functional Safety and manufactured so that the electromagnetic
disturbance it creates is not excessive, and so that it
The best practice method of achieving EMC and has a reasonable level of immunity to electromagnetic
Functional Safety is by reference to technical disturbances. In addition, fixed installations – which
specification IEC/TS 61000-1-2; Methodology for the includes the majority of machines - must be installed
achievement of functional safety of electrical and applying good engineering practices and respecting the
electronic systems including equipment with regard to intended use of its components.
electromagnetic phenomena. IEC/TS 61000-1-2 can be
considered the ‘EMC annex’ to EN 61508 and EN 62061. Then comes a very interesting statement, “There are
no conformity assessment or CE marking requirements
Where possible the design should mitigate the EMC for fixed installations”. Does this mean that builders of
immunity hazard by use of e.g. inherently immune machines categorised as fixed installations have no
technology, diverse technology and other design need to concern themselves with the EMC performance
measures such as those set out in the IET guide; of their products? Indeed it does not. The machines
Overview of techniques and measures related to EMC must still be designed and manufactured so that they
for Functional Safety, available on the IET website. meet the essential requirements mentioned earlier – the
Although the tools available for EMC hazard and risk only relaxation of the rules relates to assessment and
assessment are limited, approaches are available such marking, not to performance!
as those specified in IEC/TS 61000-1-2 to construct an
EMC matrix to identify and analyse the safety related But how can machine builders be sure that their
elements of a system and their interaction with internal products really do have satisfactory EMC performance?
and external sources of interference. The key objective It’s very tempting to think that the answer is to use only
is that even if a safety related element becomes components that are themselves compliant with the
susceptible, the overall system remains safe. EMC Regulations. Surely, if all of the components used
in a machine satisfy the regulations, it’s reasonable to
conclude that the whole machine must also meet the
EMC Directive regulations?

Returning to the first step to meet the EMC Directive, Unfortunately, that’s not how it works and it’s relatively
to understand the implications for machine builders, easy to see why. Consider, for example, a variable
a good starting point is to look at the “Guide to the speed drive that, for the sake of argument, produces
Electromagnetic Compatibility (EMC) Regulations a level of electromagnetic interference about half of
2006”. Section 2 of this guide, which covers essential that acceptable under the regulations. Clearly, there’s

27
4
section
four
EMC Solution

no problem in stating that this drive complies with the Directive Regulations. Unfortunately, there is also
regulations. no doubt that EMC testing can be complex and time
consuming, especially for the majority of machine
Now put four of those drives on a machine. Is it builders that lack in-house expertise in this specialist
reasonable to assume that the machine complies with area.
the regulations, simply because each of the drives
is compliant? Probably not. The machine may be For this reason, many machine builders find it preferable
compliant, especially if measures to control EMC have to work with a specialist consultant like TÜV SÜD on
been incorporated in its design, but the point is that it matters relating to EMC. Provided that they are involved
can’t be assumed to be compliant. In fact, since there with a project at an early enough stage, a consultant of
is no proven way of calculating or modelling the EMC this type can provide design guidance that will help to
performance of a machine, it is the opinion of TÜV SÜD optimise the EMC performance of the machine, as well
that the only way compliance with the EMC Directive as giving invaluable advice on compliance and testing.
can be verified is by testing. This opinion may be The consultant’s services may also include arranging for
considered by some as rather controversial, but when and supervising the tests.
the Health & Safety Executive was asked to comment on
this issue, it provided the following statement: The period after testing is often the time when the
knowledge and ability of the consultant engineer really
“Section 6 of the Health & Safety at Work Act (HSW) comes into play. Rather than walk away from a machine
places a duty on manufacturers to carry out or arrange which has issues with EMC and hence has failed some
for the carrying out of such testing and examination or all of the tests carried out, TÜV SÜD engineers
as may be necessary to ensure that the article is will work with the customer to find the source of the
so designed and constructed that it will, as far as is problem and guide the customer to find a solution.
reasonably practicable, be safe and without risks to The following principles can be used to improve the
health. In the context of EMC, in most applications it machines EMC performance and help pass the testing.
is the electromagnetic immunity of equipment that is
of interest in relation to Section 6 of the HSW. If it is 1. Mains Filters
reasonably practicable to carry out testing for immunity To reduce the conducted emissions from the machine
to electromagnetic disturbances, the HSW requires this and improve its immunity to transients, a mains filter is
to be carried out”. required. It is important to ensure that all supply cables
are filtered, i.e. all live supply cables and Neutral. When
This statement leaves no room for doubt about the fitting a mains filter it is important to ensure that it is
necessity for EMC testing of machines in the vast fitted correctly, i.e. it must be mounted at the point
majority of cases – there is simply no shortcut to where the mains incoming cable enters the cabinet, the
achieving compliance with the EMC and Machinery body of the mains filter should be bonded to the metal

28
 4

section
four
EMC Solution
work of the electrical cabinet and the bond should be It is important not to mix the different types of cable
metal to metal. When wiring the rest of the electrical together, however when contact is unavoidable they
cabinet ensure that all cables are routed away from the should run perpendicular to each other. When the
mains input cables. machine consists of a number of sub assemblies, which
require interconnection via long lengths of cables,


Electrical
Electrical
it is recommended that where possible, screened
Mains
Mains
Filter
Filter
Cabinet
Cabinet cables be used. The screens of these cables must be
bonded to their local EMC earth at both ends, and it
is recommended that this bonding exists around all
360 degrees of the cables (i.e. their entire periphery).
Unscreened cables entering and leaving the cabinet
Mains
MainsCable
Cable
should be filtered.


When installing screened cables the screen should not
Electrical
Electrical
Cabinet
Cabinet be used as a signal return path. For unscreened cables
all signal and return cables should be twisted, i.e. Live &
Neutral, 24v and 0v. It is important not to mix signal and
return cables. When bonding other parts of machinery
Mains
Mains
Filter
Filter
such as doors and lids etc. ensure that the earth straps
Mains
MainsCable
Cable
have a large cross section. Braids or thick cables are
normally used for these purposes. These should be kept
2. Cables as short as possible.
When routing cables within a machine it is important to
Unscreened cables are filtered
consider the types of cables concerned.
These can be broken down into the following broad
Mains Mains
areas: Filter Filter

Trunking bonded to
T ype 1: Sensitive analogue cables. (Measuring signals) A
cabinets at both ends B

T ype 2: Ordinary analogue cables and digital cables.

(RS422, RS458, limit switches) Cabinet 1 Cabinet 2

T ype 3: Low voltage AC controls and DC power.

(Relays, contactors, solenoids DOL motors)
T ype 4: Very noisy signals. (Inverter input / output All metal work bonded to earth
cables, DC motors, RF generators)

29
mCom+ Solution
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process. A simple checklist system ensures that no
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 5

section
five
PUWER
Section 5 - PUWER
The Provision and Use of Work Equipment Regulations Section Contents
1998 (PUWER) requires users of work equipment to
carry out risk assessment and provide work equipment
that is suitable for its intended task and can be used ■ PUWER Regulations
without putting persons at risk. The Regulations cover
any machinery, appliance, apparatus, tool or installation ■ Regulation 6
for use at work (whether exclusively or not) - effectively
it is anything used at work. ■ Regulation 10-24

The Regulations introduce requirements to ensure that

health and safety inspections are carried out:

A fter installation and before being put into service

for the first time; or after assembly at a new site or
in a new location to ensure that it has been installed
correctly and is safe to operate.
A fter work equipment has been exposed to any
conditions causing deterioration, which is liable to
cause a dangerous situation.
A t suitable intervals; and
E ach time that exceptional circumstances have
occurred that are liable to jeopardise the safety of
work equipment. The results of these inspections
have to be documented and kept until the subsequent
inspection is recorded.

The Regulations make it an offense to allow work

equipment to leave an employer’s undertaking, or if
obtained from another undertaking, be used, unless
it is accompanied by physical evidence that the last
inspection has been carried out.

31
5
section
five
PUWER

PUWER Regulation 6: Inspection

The primary objective of PUWER is to ensure the Where the safety of work equipment depends on
provision of safe work equipment and its safe use. This installation it must be inspected:
has several components, which are interlinked: (a) After installation and before being put into
service for the first time or
W ork equipment should not give rise to risks to health (b) After assembly at a new site or in a new location
and safety, irrespective of its age or place of origin.
T he Regulations implement European Community (EC) Work equipment that is exposed to conditions causing
Directive 89/655/EEC, amended by the non-lifting deterioration liable to result in a dangerous situation
aspects of the Work Equipment Directive (AUWED). must be inspected:
T he Regulations are made under the Health and Safety (a) At suitable intervals, and
at Work, etc Act 1974 (HSW Act), and apply to all users (b) Each time circumstances liable to jeopardise the
and the self employed covered by that Act in Great safety have occurred
Britain except the crews of sea-going ships.
T hese regulations place a requirement to carry out a Risk The results of any inspection made under this regulation
Assessment on all existing equipment (see section Six). must be recorded and kept until the next inspection.
T he regulations ask that the electrical system, the
guarding and other possible hazards be assessed and Every employer shall ensure that no work equipment:
corrected if required. (a) Leaves their undertaking, or
(b) If obtained from the undertaking of another
The Health And Safety At Work Act 1974 Section 2(2) person, is used in their undertaking unless
Employers must, so far as is reasonably practicable
provide and maintain plant and systems of work that are It is accompanied by physical evidence that the last
safe & without risk to health. required inspection has been carried out:

Risk Assessments are a key part to any PUWER Y ou should ensure that the persons who determine the
assessment and are cross-referenced with the nature of the inspections required and who carry out
appropriate section/question at all times. If a non- the inspections are competent to do so.
compliance does occur and you are asked for your T he competent person should have the necessary
reports you will probably be asked primarily for the knowledge and experience to decide what the
risk assessments carried out against the equipment in inspection should include, how and when it should be
question. In order to fully comply, Risk Assessments carried out.
are carried out and where problems are found they are E very employer must ensure that any work equipment
reported against a particular section/question. complies with any European Directive that applies to it.

32
 5

section
five
PUWER
Regulations 10-24 Reg 17: Controls
C an the operator see all around the machine from the
The following questions highlight the types of hazards operating position
that need to be considered under PUWER: I s there a delayed start and warning system

Reg 10: Conformity with community requirements Reg 18: Control systems
E quipment complies with all applicable Directives I s the control system fail safe
I s it possible to be trapped in a machine
Reg 11: Dangerous parts of machinery
I s there access to dangerous parts of machinery Reg 19: Isolation of energy sources
A re guards positioned correctly and securely held C
 an all sources of energy be isolated and locked
C an the guarding be bypassed or disabled
Reg 20: Stability
Reg 12: Protection against specified hazards I s the machine stable under its own weight or bolted to
I s there any possibility of fire or explosion the floor
I s there a possibility of a discharge of hazardous material
Reg 21: Lighting
Reg 13: High or very low temperatures I s ambient lighting of adequate intensity
A
 re there any hot/cold surfaces I f not is the machine provided with adequate lighting

Reg 14: Controls for starting or making a Reg 22: Maintenance

significant change in operating conditions C
 an safe maintenance be carried out
I s a start control provided A
 re safe working procedures in place
I s there a reset facility provided
W ill the machine restart automatically after a stoppage Reg 23: Markings
A
 re flow directions marked
Reg 15: Stop controls A
 re rotational directions marked
A
 re normal stop controls provided A
 re pipes and vessels marked
D
 oes the machine stop safely A
 re permanently live circuits marked

Reg 16: Emergency stops Reg 24: Warnings

A
 re E -stops located correctly A
 re relevant PPE warnings posted
D
 o they function correctly A
 re electrical safety warnings posted
A
 re hot surface warnings posted
H
 ave audible & visual warnings got a checking function

33
Field Labelling - Your
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field-labelling
 6

section
six
Pre-Purchase Audit
Section 6 - Pre-Purchase Audit
The Pre-Purchase Audit is a system designed to assist Section Contents
their clients to purchase machinery and equipment that
is both safe and correct.
■ Background

■ PUWER Assessment

■ Solution

■ What to look at

35
6
section
six

Section 7 - Pre-Purchase Audit

Pre-Purchase Audit

Background be inspected after installation and before it is put into

use to make sure it is safe. This inspection, if carried out
When the Provision and Use of Work Equipment correctly, will highlight any safety issues, which may
Regulations (PUWER) first came into force in 1992 it have an effect on the CE marking of the equipment. Any
included a very simplistic view on CE marking: the end issues that appear to relate to the CE marking of the
user only has to check that the equipment concerned equipment should be raised with the manufacturer or
carried a CE Mark. If it did, they were able to presume supplier of the equipment. However, as the equipment
conformity. PUWER was updated in 1998 and one of the has been installed it may be more difficult to deal with.
more important, but easily overlooked, changes was
that the onus was now put on the end-user to make sure
that the equipment complies with all relevant legislation The Solution
such as CE marking. These changes were re-enforced
with further changes in June 2002. A solution to this is to use a User Requirement
Specification (URS) when purchasing new equipment.
This point has been further backed up in other guidance This specification will outline your requirements for the
from HSE including “INDG 271 - Buying new machinery”. equipment supplier. A URS should include statements
This document asks the question “Is CE marking a such as:
guarantee of safety?” The answer given is “No. The T he machine must comply with all applicable European
manufacturer is claiming that the machinery complies and UK legislation. (List all applicable Directives)
with the law. You still need to check the machine is safe E uro-Norm Standards should be used to achieve
before it is used”. A list of items to think about (such as do compliance with the Essential Safety Requirements of
any parts look dangerous, are there guards and are they all applicable Directives
in place?) is included along with a brief checklist entitled D ocumentary evidence demonstrating compliance
“What do I do when I have bought new machinery?” The with all applicable Directives will be required
key in all of this is that the emphasis is on the purchaser to A Declaration of Conformity will be required
check that the machine is safe to use. A CE mark will be applied to the machine, preferably on
the makers nameplate
If this is the case, and the end-user should now check A full operation and maintenance manual that complies
more thoroughly regarding the CE marking of new with EHSR 1.7.4 of the Machinery Directive will be
equipment, what is the best way to do this? required

The above is not a complete list, but is indicative of the

PUWER type of information you should be asking for.

To fully comply with PUWER, any new equipment should To ensure compliance with the URS, the equipment may

36
 6

section
six
Pre-Purchase Audit
need to be inspected or audited before it is shipped from Areas to look at include:
the manufacturer or supplier. But this inspection need not D ocumentation, manuals, etc.
be limited to only safety issues. Often a purchaser may D rawings, electrical pneumatic, hydraulic etc.
want to inspect his equipment to ensure the product he is E lectrical wiring and termination checks
receiving is indeed the product he believes he is buying. H ardware checks
These inspections are both engineering and quality E nvironmental checks
based. Often a company may lack the skill or resources to C alibration, machine parameters, control systems
carry out an inspection of this type in one visit. S oftware
S afety CE, PUWER as applicable
Combining the two inspections into one is a cost S afety related control systems, interlocks etc.
effective method of ensuring the machine you receive S afety, manual handling, COSHH, hazards etc
is both safe and meets your specification. Any potential E rgonomic Assessments
issues can be raised with the manufacturer and either M aintenance and cleaning procedures
dealt with before it is shipped or at least be planned T raining requirements
into the installation process once the equipment has
been shipped. Retrofitting is the more difficult method of It may also be beneficial at this stage to collate all the
compliance; it is always advisable to deal with safety as relevant documentation such as manuals, drawings etc
early as possible in the purchasing process, the design so that a file is in place when the equipment arrives on
stage being preferable. site.

So, if as a company, you decide to include such an audit

in your equipment purchasing policy, what would you External Assistance
need to look at and who should carry out the audit?
Dealing with the person first, they should have a good There may be many reasons why a company feels
knowledge of the equipment type itself as well as that a pre-purchasing audit is not feasible. It may be
competent understanding of PUWER and CE marking manpower, time, competence or a mixture of the three.
legislation and have a sound engineering background TÜV SÜD currently carries out this kind of audit for a
to understand the latest developments in machine number of major blue chip companies, both in the UK
manufacture. Whilst the auditor may not go through the and abroad. Following the audit, the client will receive
EHSRs as in-depth as the manufacturer, the same areas a full report highlighting any problem areas with a
need to be covered. It may be beneficial for the auditors recommended corrective action. TÜV SÜD can also
to create a generic checklist that can be used so that all carry out an inspection to enable compliance with
people who are carrying out an audit for the company PUWER.
are looking at the same points.

37
Machinery Safety
Training
Make sure you keep up-to-date with the latest machinery
safety Standards. TÜV SÜD provide a range of Machinery
Safety training courses from a half day ‘refresher
workshop’ on machinery safety through to a five day
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38 38
 7

section
seven
Appendices
Section 7 - Appendices
The following pages consist of forms, charts and Section Contents
checklists that can be used to make-up a machinery
safety inspection. Please feel free to photocopy before
using. ■ Safety Related Control Systems

Please note the use of the checklists does not ■ EN 62061

guarantee compliance, they should be used as aide
memoires as part of an inspection. ■ Risk Assessment Template

■ Technical File Checklist

39
7
section
seven
Appendices

Safety Related Control Systems

EN ISO 13849-1

Severity of injury
S1 - Slight injury
S2 - Severe injury

Frequency of Exposure
F1 - Less frequent or short duration
F2 - Frequent or long duration

Possibility of Avoidance
P1 - Possible
P2 - Less possible

EN 62061

Severity Class CI Frequency, FR Probability of

Consequences Avoidance, Av
SE (duration > 10 min) Hazard. Event, Pr
3-4 5-7 8-10 11-13 14-15
Death, losing an eye or arm 4 SIL 2 SIL 2 SIL 2 SIL 3 SIL 3 <1 hour 5 Common 5

Permanent, losing fingers 3 OM SIL 1 SIL 2 SIL 3 >hr - >1 day 5 Likely 4

Reversible, medical attention 2 OM SIL 1 SIL 1 >1 day - <2 wks 4 Possible 3 Impossible 5

Reversible, first aid 1 OM SIL 1 >2 wks - <1yr 3 Rarely 2 Possible 3

>1 year 2 Negligible 1 Likely 1

Calculate Class first, Cl (Class) = Fr + Pr + Av, then the consequence defines the SIL level.

40
 Risk Assessment

Company: ......................................................................................................................................

Type: .................................................................. Make: ............................................................

Model : ............................................................... Serial Number: ............................................

Location: ........................................................... Power Supply: .............................................

Nature of Hazard:

Risk Assessment:
LO FE DPH NP HRN
Degree of Risk:
Recommended Control Measure:

Risk Assessment:
LO FE DPH NP HRN
Degree of Risk:
Further risk reduction required?
Assessment By:

Date:


41
 FE Frequency of
LO Likelihood of Occurrence
Exposure
0 Impossible cannot happen 0.1 Infrequently
0.1 Almost unlikely possible in extreme circumstances 0.2 Annually
0.5 Highly unlikely though conceivable 1 Monthly
1 Unlikely but could occur 1.5 Weekly
2 Possible but unusual 2.5 Daily
5 Even chance could happen 4 Hourly
8 Probable not surprised 5 Constantly
10 Likely to be expected
15 Certain no doubt

DPH Degree of Possible Harm NP Number of Persons

0.1 Scratch or bruise 1 1-2 persons
0.5 Laceration or mild ill health 2 3-7 persons
1 Break of a minor bone or minor illness (temporary) 4 8-15 persons
2 Break of a major bone or minor illness (permanent) 8 16-50 persons
4 Loss of limb/eye/serious illness of a temporary natury 12 50+ persons
8 Loss of limbs/eyes/serious illness of a permanent nature
15 Fatality

Risk Negligible Very Low Low Significant High Very High Extreme Unacceptable
HRN 0-1 1-5 5-10 10-50 50-100 100-500 500-1000 Over 1000

Comments/Measures Implemented:

Review Dates:


42 42
 Technical File Inclusions

Section One : Risk Assessments Signature

1A Safety related control circuit assessment
1B Risk assessment
1C Support documentation for assessments

Section Two : Essential Requirements

2A Essential health and safety requirements
2B Complete detailed drawings showing conformity with the ESHR
2C Calculation notes, test results showing conformity with EHSR
2D Electrical checklist
2E Pneumatic checklist
2F Hydraulic checklist

Section Three : Standards

3A The Standards used
3B Reports and test results required by the Harmonised Standards

Section Four : Certification and Specifications

4A Any technical specifications
4B Certificates or technical reports obtained from a competent body
supporting conformity (optional)

Section Five : Drawings

5A Overall drawings
5B Drawing of control circuitry
5C Specific drawings

Section Six : Manuals

6A Instruction manual in the language of the country of intended use
6B Maintenance manual
6C Other manuals

Section Seven : Series Manufacture

7A For series manufacture internal measures implemented to ensure
machinery remains in conformity with the Directive

Section Eight : Other Documentation

8A Any other documentation showing support for product

Section Nine : Declarations/Inclusions

9A Declaration of Conformity/Incorporation


43
A practical guide to machinery safety
www.tuv-sud.co.uk/machinery
machinery@tuv-sud.co.uk

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