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Management of Lifting Equipment

lifting equipment

LOLER Lifting Equipment Inspection and Maintenance

Lifting Equipment in Brief

  • Thorough examinations under LOLER 1998 - 12 monthly for equipment, 6 monthly for accessories and equipment lifting people
  • Reports of thorough examination retained and acted on
  • Day-to-day inspections and operator competence in place

Overview of Lifting Equipment Management

Lifting equipment is any work equipment used for lifting or lowering loads, including the attachment points, supporting structures and accessories used in that process. It covers a wide range of machinery - forklifts, vehicle tail lifts, overhead cranes, hoists, pallet trucks, scissor lifts and passenger lifts - as well as lifting accessories such as chains, slings, shackles, hooks and webbing straps. Accessories in particular are frequently overlooked despite presenting the same level of risk as the primary equipment they support.

Poorly managed lifting equipment is a significant cause of serious workplace injuries and fatalities. The consequences of failure - whether mechanical defect, operator error, or inadequate maintenance - can be severe and irreversible. Employers have a clear duty to ensure all lifting equipment is suitable for its intended use, properly maintained, inspected at appropriate intervals, and operated only by competent people.

Most countries have specific legal requirements governing lifting equipment in the workplace. In the UK, this is primarily covered by the Lifting Operations and Lifting Equipment Regulations 1998 (LOLER) and the Provision and Use of Work Equipment Regulations 1998 (PUWER). Similar frameworks exist internationally - for example, OSHA standards in the USA, the Machinery Directive and related EN standards in the EU, and equivalent legislation across Australia, Canada and many other jurisdictions. Regardless of the specific regulations that apply in your location, the core principles of safe management are consistent.

For organisations working towards or maintaining ISO 45001 (Occupational Health & Safety Management), lifting equipment management sits directly within the requirements for hazard identification, risk assessment and operational control. It also connects to ISO 9001 clause 7.1.3, which requires organisations to determine and maintain the infrastructure needed for effective operations - including any equipment critical to the provision of products or services.

Key Requirements for Managing Lifting Equipment

Equipment identification and registration. An effective way to manage lifting equipment is to maintain an equipment register covering all items and accessories. Each entry should capture the item description, a unique identifier, its Safe Working Load (SWL), location, date of last inspection, date next inspection is due, and current status. This provides clear oversight and straightforward evidence for audits or inspections.

Pre-use inspection. Before any lifting operation, the operator should carry out a visual pre-use check to identify obvious defects - damaged components, worn slings, missing safety pins, or illegible SWL markings. Any item found to be defective should be taken out of service immediately and not used until inspected and cleared by a competent person.

Thorough examination by a competent person. Periodic thorough examination by a competent person - in many cases a qualified engineer or accredited specialist - is a legal requirement in most jurisdictions. In the UK under LOLER, lifting equipment used to lift people must be examined at least every six months; other lifting equipment must be examined at least every twelve months; and all lifting accessories must be examined at least every six months. Where examination schemes are in place, the frequency may differ from these defaults. Records of all thorough examinations must be retained and acted upon.

Risk assessment. Lifting operations should be risk assessed, particularly where loads are heavy, awkward, or where lifts take place near other workers or in confined spaces. The risk assessment should identify hazards, assess the likelihood and severity of harm, and set out the controls in place - including competency requirements, PPE and procedural controls. Records should be retained and reviewed whenever circumstances change.

Operator competence. Only competent, trained personnel should operate lifting equipment. What constitutes competence varies by equipment type - operating a forklift truck typically requires a recognised qualification; using a chain hoist may require documented in-house training and assessment. Competence records should be maintained for all operators and reviewed regularly.

Lifting accessories. Chains, slings, shackles and hooks require the same level of management as primary lifting equipment. They should be individually identified, included in the equipment register, inspected before use, and subjected to periodic thorough examination. Many accessories have a maximum working life indicated by the manufacturer or carry colour-coded date markers - these must be respected, documented and acted upon. Accessories showing signs of damage, deformation, corrosion or fraying should be taken out of service immediately.

In our manufacturing business we use a colour-coded tagging system for all lifting equipment and accessories. Every item - including all slings, chains and shackles - gets a tag after each thorough examination showing the date and when the next examination is due. We change the tag colour each examination cycle, so anyone on the shop floor can see at a glance whether something is current without needing to check the register.

Everything is logged on our equipment register with a unique ID, the Safe Working Load, examination dates and current status. Operators do a pre-use visual check before any lift and if something looks wrong they take it out of service immediately and log it as a breakdown. Once the system is set up it takes very little time to maintain - and it means we're always confident going into an audit.

The thing that catches organisations out most consistently with lifting equipment is the accessories. It's easy to have a thorough examination programme in place for the main equipment and then completely overlook the slings, chains and hooks. In the UK, LOLER makes no distinction - accessories are lifting equipment and must be managed to exactly the same standard. The same principle applies under most equivalent legislation internationally.

ISO Standards and Lifting Equipment Management

For organisations certified to or working towards ISO 45001, lifting equipment management is directly relevant to several clauses. Clause 6.1 requires the identification of hazards and assessment of OH&S risks - lifting operations should feature explicitly in your risk assessment process. Clause 8.1 requires operational planning and control of processes that present health and safety risks. Thorough examination programmes, pre-use checks, operator competence records and maintenance schedules are all forms of operational control that an auditor will expect to see documented and evidenced.

Clause 7.1.3 under both ISO 45001 and ISO 9001 requires organisations to determine, provide and maintain the infrastructure needed for their operations, including equipment. This means that equipment maintenance and inspection arrangements should be planned and documented rather than managed on a purely reactive basis.

When I'm auditing an organisation's management of lifting equipment, I'm looking for a clear, complete equipment register that includes all accessories - not just the main items of plant. I want to see thorough examination reports that are current, completed by a competent person, and show the organisation has acted on any recommendations raised. And I want evidence that operators are competent - a certificate or a training record, not just someone's word for it.

The most common finding I raise is incomplete records for accessories. A chain block might have a current examination report but the slings and hooks used with it are nowhere in the register. That's a nonconformance. Keep everything in scope and keep your register complete.

Practical Compliance Guidance

The most effective way to ensure lifting equipment is managed correctly and consistently is to implement a documented management system that covers equipment management as a defined process. The alphaZ IMS1 Integrated Management System Manual includes a dedicated section on management of equipment and premises (section 3.2) which provides the procedural framework for managing all work equipment including lifting equipment. Implementing IMS1 as part of your management system ensures the right processes, records and responsibilities are in place.

The documents listed below are included in any alphaZ toolkit that covers both ISO 9001 and ISO 45001. If you are implementing or maintaining a management system to either of these standards, the relevant toolkit will include all the resources you need to manage lifting equipment effectively and in compliance with both standards.

alphaZ document How to use it
ISO 9001/14001/45001 IMS Toolkit The complete toolkit for implementing an ISO compliant integrated management system. Includes the IMS1 manual, all policies, procedures, registers and audit checklists.
P-75 Lifting Operations Policy Documents your organisation's commitment to safe lifting operations. Approved by top management, communicated to all relevant workers and reviewed periodically.
PP-7-14 Lifting Operations Procedure Step-by-step procedure for carrying out lifting operations safely. Adapt to reflect your specific equipment types, site conditions and any applicable legal requirements in your jurisdiction.
ER4 Equipment Register An effective way to manage all lifting equipment and accessories - log unique IDs, Safe Working Loads, inspection dates, next examination due dates and current status. The primary document for managing and evidencing equipment management within your IMS.
RA-HS31 Lifting Operations Risk Assessment Example risk assessment for lifting operations prepared using the F-HS20 General Risk Assessment form. Adapt to reflect your specific activities, equipment types and working environment.
TT-7-14 Lifting Operations Toolbox Talk Use to brief workers on safe lifting practices. The guidance document GG-7-14 is included with this toolbox talk. Record attendance on F-Q7 Toolbox Talk Attendance to evidence worker awareness training.


Note - all the above files can be downloaded with an alphaZ subscription

Frequently Asked Questions

A thorough examination is a detailed inspection of lifting equipment carried out by a competent person - typically a qualified engineer or accredited inspection specialist acting independently from the organisation's own maintenance team. It goes beyond a visual check or routine service and assesses the structural integrity, condition and fitness for purpose of the equipment. The findings must be recorded in writing and any defects or recommendations acted upon within the timeframes specified. In the UK, the report must meet the requirements of Schedule 1 of LOLER. Thorough examinations are a legal requirement in most jurisdictions and cannot be substituted by a service record or an internal inspection.
There are two levels of inspection to be aware of. Pre-use checks should be carried out by the operator before every lift - these are visual checks, not formal examinations. Periodic thorough examination by a competent person is required at defined intervals: in the UK under LOLER, equipment used to lift people and all lifting accessories must be examined at least every six months; other lifting equipment at least every twelve months. A written examination scheme prepared by a competent person may specify different intervals where justified by the nature and use of the equipment. Check the legislation applicable in your jurisdiction for the specific requirements that apply to you.
It depends on the type. Powered pallet trucks that lift loads - including ride-on and pedestrian-operated powered trucks - are generally considered lifting equipment and fall within the scope of LOLER and PUWER. Manual pump trucks that simply raise a load slightly off the ground to move it are less clear-cut - in the UK the HSE's position is that hand pallet trucks are not normally subject to LOLER thorough examination requirements, though PUWER inspection obligations still apply. If in doubt, treat the equipment as in-scope and apply the same management standards.
No - a service record and a thorough examination are two different things. A service carried out by a dealer or mechanic addresses maintenance and mechanical condition. A thorough examination under LOLER must be carried out by a competent person - typically an independent engineer or inspection specialist - who assesses the equipment's structural integrity and fitness for purpose against the requirements of the regulations. You need both. A forklift with a full service history but no current thorough examination report is not LOLER compliant.
Before any lift, the operator should carry out a visual pre-use check covering: condition of the equipment and any accessories being used, visible damage, deformation, corrosion or wear, legibility of the Safe Working Load markings, and current inspection status. A colour-coded tagging system makes the last point quick to check at a glance. If anything looks wrong, the equipment should be taken out of service and not used until it has been inspected by a competent person. Pre-use checks do not replace periodic thorough examination - both are required.
No. The Safe Working Load is the maximum load the equipment is designed and rated to lift safely under normal operating conditions. Exceeding it risks equipment failure, structural collapse and dropped loads - with potentially fatal consequences. It is also a breach of LOLER in the UK and equivalent legislation in most other jurisdictions. The SWL must be clearly marked on all lifting equipment and accessories, and all operators must know and observe it. If a load exceeds the SWL of your equipment, the answer is different equipment - not a bigger risk.
Yes - lifting accessories such as chains, slings, shackles and hooks must be managed and inspected independently from the equipment they are used with. In the UK under LOLER, accessories require thorough examination at least every six months regardless of the frequency applied to the primary equipment. Each accessory should be individually identified, included in the equipment register, pre-use checked before every lift, and taken out of service immediately if any damage, deformation, corrosion or fraying is found. This is one of the most common compliance gaps found during audits.
At a minimum you should retain: thorough examination reports for all lifting equipment and accessories, records of any defects found and the actions taken, evidence of operator competence such as training records or certificates, and pre-use check records where these are documented. An equipment register covering all items with inspection dates and current status provides a clear overview and makes it much easier to demonstrate compliance during an audit or inspection. Records should be kept for as long as the equipment is in service and for a period afterwards - check the specific retention requirements under the legislation applicable in your jurisdiction.
Take the equipment out of service immediately and make sure it cannot be used - physically segregating it or clearly marking it as not for use. Log the defect on your breakdown register and arrange for assessment by a competent person before the equipment returns to service. If the defect is identified during a thorough examination, act on the examiner's report within the timeframes specified. Do not continue using equipment with a known defect on the basis that the lift will be quick or the load is light - the Safe Working Load and inspection requirements apply regardless.
Only people who are competent to do so. What competence looks like in practice depends on the type of equipment - operating a forklift truck requires a recognised qualification in most countries; operating a chain hoist or similar equipment may require documented in-house training and assessment. The key point is that competence must be demonstrable - a training record, certificate or documented assessment for each operator. Allowing untrained or unassessed personnel to operate lifting equipment is a serious safety risk and a legal breach. Competence records should be kept up to date and reviewed regularly, particularly when equipment changes or when new operators join.
Yes - and this is an area that catches businesses out. Most commercial insurance policies require lifting equipment to be maintained and inspected in accordance with applicable legislation. If equipment that has not been properly examined or maintained is involved in an incident, insurers may decline to pay out on the basis that the policy conditions were not met. Beyond insurance, businesses found to be operating non-compliant lifting equipment face regulatory enforcement, improvement notices, prohibition notices and in serious cases prosecution. Maintaining a current thorough examination programme and keeping complete records is therefore not just a legal requirement - it is basic risk management for the business.

UK Lifting Equipment Legislation

The following UK legislation is directly relevant to the management of lifting equipment.

Further Resources

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