Last updated: 24 August 2021
UK Government guidance on UKCA marking – Great Britain (not Northern Ireland) from 1 January 2021
BEIS (the UK Government department for Business, Energy and Industrial Strategy) published a range of guidance on the regulatory arrangements that will apply in the UK at the end of the transition period. BEIS has since published more specific guidance: Lifts Regulations 2016 – As they apply to lifts and components being supplied in or into Great Britain from 1 January 2021. On Tuesday 24 August, the UK Government announced an extension and that all goods which previously required to be CE-marked now do not need to be UKCA-marked until 1 January 2023: https://www.gov.uk/guidance/placing-manufactured-goods-on-the-market-in-great-britain#history
The following is our understanding of the implications for our sector working with the Lifts Regulations (LR) or Supply of Machinery (Safety) Regulations (SMSR). This was first posted on 2 September, updated on 13 November 2020, 7 January, 11 February and last updated on 24 August 2021.
We have set-out our understanding of the principles as they affect our sector followed by specifics of what it means for different parts of the industry below. If any member has any questions or comments on the contents then we would be pleased to hear from you.
We covered this subject in virtual technical seminars on 5 November 2020, 3 and 4 August 2021 and are planning further sessions for Thursday 9 September and Wednesday 13 October (LEIA members only). If you are interested in attending a future session, please email email@example.com We plan to do further sessions open also to non-members.
Key principles for equipment placed onto the GB market (England, Wales and Scotland)
1. The UK left the EU on 31 January 2020 with a transition phase until 31 December 2020.
2. UK Lifts Regulations (LR) and Supply of Machinery (Safety) Regulations (SMSR) are largely unchanged from 1 January 2021 except references to “Notified Bodies” have been replaced by “Approved Bodies”, references to “Harmonised Standards” have become “Designated Standards”, and references to CE marking have become references to UKCA marking. Essential requirements are identical to the essential health and safety requirements (EHSRs) of the Lift Directive and Machinery Directive, and similar conformity assessment procedures apply although now to be carried our by Approved Bodies. We understand that the UK and EU have no immediate plans to change these so we expect these to remain aligned for the period covered by this guidance (to 1 January 2023). The EU Machinery Directive is being revised; when proposed changes become available, the UK will assess these.
3. From January 2021, some firms who bring goods into Great Britain from EU, EEA or Switzerland who have been “distributors” will become “importers” and will have to meet the more stringent requirements for importers in the Regulations.
4. From 1 January 2021, Harmonised standards become UK designated standards. These can be BS EN, EN, EN ISO or EN IEC standards. Initially the list is identical and references the same EN standards and is published here: Designated standards – lift and here for machinery: Designated standards – machinery.
5. From 1 January 2021, Notified Bodies in the UK became “Approved Bodies”:
> The UK Approved Bodies for lifts are listed on a new UK website listing UK Market Conformity Assessment Bodies: lift – UK Market Conformity Assessment Bodies. The same body numbers have been retained as used previously for them as Notified Bodies. With the withdrawal of Lloyds Register, this leaves only the following Approved Bodies listed for lifts and safety components for lifts under the Lifts Regulations (LR) and lifting appliances with lifting height >3m under Annex IV, 17 of the Supply of Machinery (Safety) Regulations (SMSR):
Lift Cert (lifts – LR, safety components for lifts – LR, lifting appliances under Annex IV of SMSR);
GCL international (lifts – LR)
Bureau Veritas UK (lifts – LR, lifting appliances under Annex IV of SMSR);
British Engineering Services (lifts – LR, lifting appliances under Annex IV of SMSR);
BSI Assurance UK (lifts, safety components for lifts – LR).
> UK Approved Bodies will not be able to certify equipment under EU Legislation. Companies wishing to place equipment onto the market in the EU needing the use of a Notified Bodies will need to find a suitable body.
> There is a particular implication in the Republic of Ireland for lift companies which use a UK Notified Body. We understand that arrangements are being made with EU Notified Bodies to take over such certification.
> We understand that some UK Approved Bodies will have arrangements with EU Notified Bodies allowing where the use of the CE mark is required e.g.in Northern Ireland.
6. From 1 January 2021 until the end of 2022, equipment not requiring the use of a Notified Body or Approved Body may continue to be CE marked when placed onto the market or may be UKCA marked. This would apply to equipment under SMSR such as escalators and moving walks, stairlifts, lifting appliances with lifting height < 3 m, and lifting appliances with lifting height > 3m but following a designated standard with internal checks of manufacture.
7. From 1 January 2021 until the end of 2022, equipment requiring the use of a Notified Body or Approved Body (lifts, safety components for lifts and machinery with lifting height > 3m except where following a designated standard with internal checks of manufacture) when placed onto the market must either:
> have a CE mark if an EU Notified Body is used; or
> have a UKCA mark if a UK Approved Body is used (unless it has an agreement with an EU Notified Body). The UKCA mark does not need to be fixed and may be on accompanying documentation.
8. From 1 January 2023, equipment being placed on the GB market must be UKCA marked.
> Where previously a Notified Body was needed, a UK Approved Body must be used for conformity assessment.
> Therefore, type examinations (lifts and safety components for lifts), design examinations and approvals from Notified Bodies need to be transitioned to UK Approved Bodies. Since the regulations and standards will be identical initially, the re-certification by a UK Approved Body should be relatively straightforward but we would advise dialogue as early as possible. We understand that some documentation will need to be provided in English and that the Approved Body will need to assess their requirements for re-certification.
9. From 1 January 2024 the UKCA mark must be permanently attached.
10. Dual marking of CE and UKCA marks will be allowed in the UK as long as UK regulations remain aligned with EU rules.
11. Declarations of Conformity must match the marking fixed. If CE marking is used, declarations can continue as previously. If UKCA marking is used, the declaration of conformity must reference the Lifts Regulations/ SMSR as applicable and the UK designated standards (e.g. EN 81-20:2020 or BS EN 81-20:2020 etc) used. We can see no reason why a dual declaration of conformity cannot be issued as long as the UK and EU requirements remain aligned.
Safety components for lifts incorporated into lifts placed onto the market after 1 January 2023
It is clear that, since safety components for lifts may be CE-marked when placed onto the market until the end of 2022 and that they may then be held in stock or in the supply chain, lifts placed into service from 1 January 2023 with a UKCA mark may contain CE-marked safety components. This may continue for some time until stock is used-up.
What this means for companies installing lifts in GB from 1 January 2021:
1. Check with your Approved Body if they have an arrangement with an EU Notified Body. If so, you may use the CE mark until the end of 2022. If not, then you must use the UKCA mark from 1 January 2021 with your Approved Body’s 4 digit number. This may be on accompanying documentation. Your Declaration of Conformity must match i.e. reference the Lifts Regulations and Designated Standards (e.g. EN 81-20 etc).
2. EU Type Examinations of lifts, design examinations for lifts and approvals for safety components for lifts carried out by EU Notified Bodies will need to be transferred to UK Approved Bodies by the end of 2022. We wrote to members on 5 February 2021 very strongly urging LEIA members involved with the supply and installation of new lifts or the manufacturer/ importing of safety components for lifts to urgently:
> Check the type of body used to approve each model lift and each safety component for lifts. For installers buying in package lifts, they will need to check with their suppliers who in turn will need to check with their safety component suppliers. If any is a Notified Body and not an Approved Body then further action is required to enable lifts and safety components for lifts to continue to be placed on the GB market from 1 January 2023.
> Check with each Notified Body whether they will be applying to become an Approved Body and, if so, whether it will be approved and complete re-certification of their lifts/ safety components for lifts by the end of 2022. If any do not gain approval as an Approved Body and complete re-certifications by the end of 2022 then:
> If you wish to continue to place these model lifts/ safety components for lifts on the market after 31 December 2022 then you will need to move their certification to a UK Approved Body. There are several UK Approved Bodies who can accept requests for type examination of model lifts. There are now two UK Approved Bodies able to certify safety components for lifts – BSI Assurance UK and Lift Cert.
> Where certification needs to be moved to a UK Approved Body, we strongly urge that those responsible have an urgent dialogue with their Approved Body.
3. From 1 January 2023, you must use the UKCA mark with 4 digit Approved Body number and from 1 January 2024 this must be fixed to the lift.
What this means for companies installing lifting appliances with lifting height >3m (except where if a designated standard is followed with internal check of manufacture) in GB from 1 January 2021:
1. Check with your Approved Body if they have an arrangement with an EU Notified Body. If so, you may use the CE mark until the end of 2022. If not, then you must use the UKCA mark from 1 January 2021 with your Approved Body’s 4 digit number. This may be on accompanying documentation. Your Declaration of Conformity must match i.e. reference UK Lifts Regulations and UK Designated Standards (e.g. EN 81-41 etc).
2. EU Type Examinations carried out by Notified Bodies will need to be transferred to Approved Bodies by the end of 2022.
3. From 1 January 2023, you must use the UKCA mark and from the 1 January 2024 this must be fixed to the lifting appliance.
What this means for persons buying products falling under the Supply of Machinery (Safety) Regulations (SMSR) which are manufactured in the EU for installation in GB market (UK excluding Northern Ireland):
1. Where a Notified Body has been used, these may continue to be placed onto the market with CE-marking until 31 December 2022.
2. Where a UK Approved Body has been used, these will need to be UKCA-marked as above – either fixed or, until 31 December 2023, on accompanying documentation.
3. Where a Notified Body or Approved Body is not needed, you can choose whether to carry-on CE-marking but must start to use the UKCA mark by 1 January 2023 – this can be either fixed or, until 31 December 2023, on accompanying documentation.
4. EU Type Examinations of lifting appliances carried out by EU Notified Bodies will need to be transferred to UK Approved Bodies by the end of 2022.
5. Declarations of conformity must match the marking so, if UKCA-marking, these should reference the Lifts Regulations and UK Designated standards (e.g. EN 115-1:2017).
6. From 1 January 2023 persons who import UKCA marked goods will not take on the duties of the manufacturer, whereas persons importing non UKCA marked goods will take on the duties, this includes all the requirements of Article 5 of the regulations… e.g. full instructions, technical file information etc.
What this means for EU manufacturers of safety components for lifts to be placed into the GB market (UK excluding Northern Ireland):
1. Safety components for lifts where a Notified Body has been used may continue to be placed onto the market with CE-marking until 31 December 2022.
2. Safety components for lifts where an Approved Body has been used will need to be UKCA-marked as above – either fixed or, until 31 December 2022, on accompanying documentation.
3. EU Type Examinations of safety components for lifts carried out by Notified Bodies will need to be transferred to Approved Bodies by the end of 2022. If the Notified Body is not applying to become an Approved Body and approved by the end of 2022 then certification will be needed by an Approved Body.
4. At present, there are only two UK Approved Bodies for various conformity assessment procedures for safety components for lifts: BSI Asssurance UK and Lift Cert. Other EU-based bodies might well look to become UK Approved Bodies but they will need to be established in the UK and we understand that the approval process is likely to take several months.
5. Re-certification is expected to be straightforward where the certification was with the same organisation.
6. Where re-certification is from a Notified Body, the Approved Body will need the technical file, test reports etc as required for EU Type Examination. The documentation will need to be submitted in English. Given point 4, we are very concerned about the likely Approved Body resource and urge manufacturers not to delay.
7. Conformity assessment procedures in the Lifts Regulations will initially be as for the EU Lift Directive. So the UK Approved Body will need to undertake similar checks to the manufacturing process as done currently by an EU27 Notified Body including under Module C2 for safety components.
What this means for distributors and importers of safety components for lifts into GB:
1. From 1 January 2021, the manufacturer’s role and responsibilities will not change.
2. From 1 January 2021, companies who have brought goods into Great Britain from the EU, EEA or Switzerland who have been “distributors” will become “importers”. This means new obligations including: requirements to check product compliance; ensuring the conformity assessment requirements have been carried out by the manufacturer; keeping technical documentation; and ensuring your name, registered trade name or mark, and postal address on the safety component or, where this is not possible, on its packaging or in accompanying documentation.
3. Until 31 December 2022, importers into GB may provide their details on the packaging or in an accompanying document as an alternative to placing them on the safety component itself. This applies to goods that are not qualifying Northern Ireland goods.
4. The EU does not have any transitional arrangements as 3. above so safety components sold from GB to NI must be labelled with the NI importers address.
3. Authorised representatives for the GB market must be based in GB or NI. GB-based authorised representatives will also no longer be recognised in the EU. EU legislation coming into force on 16 July 2021 may mean you need to appoint an EU representative if there is no other economic operator in place.
Special situation in Northern Ireland
The Northern Ireland Protocol comes into force from 1 January 2021 and will mean that Northern Ireland will align with all relevant EU rules relating to to the placing on the market of manufactured goods. The UKCA marking alone cannot be used for goods placed on the Northern Ireland market, which require the CE marking or UK(NI) marking. See the guidance on placing goods on the Northern Ireland market and Using the UKNI marking from January 2021. Our understanding of the situation is:
1. All products placed on the market in Northern Ireland must continue to meet EU rules and must continue to be CE-marked. This includes where an EU Notified Body has been used.
2. All products placed on the market in Northern Ireland where a UK Approved Body is used must carry an additional UKNI mark. This will be alongside the product’s CE marking.
3. The UKNI marking will be valid for products placed onto the NI market when used in addition to the CE mark.
4. The UKNI marking will also be valid for products placed onto the GB market by a Northern Ireland company – in addition to CE marking.
5. Products self-certified for the purposes of CE and UKCA marking will not require the additional marking but must comply with EU regulatory requirements when traded in Northern Ireland.
BSI’s membership of European standardisation bodies
1. BSI’s membership of CEN and CENELEC continues at least until the end of 2021. BSI is confident its membership will continue beyond that time and is working with the other CEN and CENELEC members to ensure the best outcome for the UK.
2. From 1 July 2020, BSI has been classed as a non-EEA member of CEN and CENELEC. This affects a few specific voting situations. Weighted voting continues to be applied as before but, in the case that the first stage vote is not passed, the votes of only the EEA countries are counted separately and the UK’s vote would not be counted. If the stage two vote is passed then all EEA members are obliged to implement it, along with any non-EEA members that voted positively. This means that if BSI voted negatively, it would not be obliged to implement the decision. If BSI voted positively, we would be obliged to implement the decision.
3. BSI’s membership of ISO and IEC is unaffected by the UK’s exit from the EU.
Safety components for lifts replaced on a like for like basis
We have been concerned that for lifts placed onto the market before 1 January 2021, a future replacement safety component might not necessarily be UKCA-marked if no longer in serial production and would unlikely to be UKCA-marked if legacy equipment. We are pleased that BEIS have confirmed the following:
For safety components replaced like for like, if they were placed on the market before 31 December 2020 then no action is required. CE marked products can continue to be placed on the market until 31 December 2021. But if a safety component was modified then it might be regarded as a new product and would need to meet the new requirements depending on when it was placed on the market.
Market surveillance and the HSE
1. HSE conducts “market surveillance” including inspections on sites.
2. In relation to issues related to CE/UKCA marking, HSE has indicted that it will take a risk-based approach to its work i.e. prioritising safety-related issues.
3. HSE is strengthening its field operations capacity to meet the need for more market surveillance of goods being brought into the GB after 1 January 2021.
The following are links to the UK Government guidance.
Conformity assessment bodies: change of status from 1 January 2021
Using the UKCA mark from 1 January 2021
Placing manufactured goods on the EU market from 1 January 2021
Placing manufactured goods on the market in Great Britain from 1 January 2021