Statutory Instruments 1999 No.2001

PART IV
ENFORCEMENT

Application of Schedule 8
24. - (1) Subject to paragraph (2), Schedule 8 shall have effect for the purposes of providing for the enforcement of these Regulations and for matters incidental thereto.

(2) Except in the case of pressure equipment or an assembly which, in the opinion of an enforcement authority, is liable to endanger the safety of persons and, where appropriate, domestic animals or property, where an enforcement authority has reasonable grounds for suspecting that the CE marking has been affixed to pressure equipment or an assembly and in relation to which any provision of these Regulations has not been complied with it may serve notice in writing on -

(a) the manufacturer of the pressure equipment or assembly or his authorised representative established within the Community; or

(b) in a case where neither the manufacturer of the pressure equipment or assembly nor his authorised representative established within the Community has placed the pressure equipment or assembly on the market, the person who places it on the market in the United Kingdom;

and subject to paragraph (3), no other action pursuant to Schedule 8 may be taken, and no proceedings may be brought pursuant to regulation 25, in respect of that pressure equipment or assembly until such notice has been given and the person to whom it is given has failed to comply with its requirements.

(3) Notwithstanding the provisions of paragraph (2), for the purposes of ascertaining whether or not the CE marking has been correctly affixed, action may be taken pursuant to section 20 of the Health and Safety at Work etc. Act 1974[14] or, in Northern Ireland, pursuant to Article 22 of the Health and Safety at Work (Northern Ireland) Order 1978[15] or section 29 of the Consumer Protection Act 1987[16], as they are applied by Schedule 8.

(4) A notice which is given under paragraph (2) shall -

(a) state that the enforcement authority suspects that the CE marking has not been correctly affixed to the pressure equipment or assembly;

(b) specify the respect in which it is so suspected and give particulars thereof;

(c) require the person to whom the notice is given -

(i) to secure that any pressure equipment or assembly to which the notice relates conforms as regards the provisions concerning the correct affixation of the CE marking within such period as may be specified in the notice; or

(ii) to provide evidence within that period, to the satisfaction of the enforcement authority, that the CE marking has been correctly affixed; and

(d) warn that person that if the non-conformity continues after, or if satisfactory evidence has not been provided within, the period specified in the notice, further action may be taken under these Regulations in respect of that pressure equipment or assembly or pressure equipment or assembly of the same type placed on the market by that person.

Offences
25. Any person who -

(a) contravenes or fails to comply with regulation 7(1), 8(1), 9(1) or 10,

(b) fails to supply or retain a copy of the declaration of conformity as required by regulation 7(4); or

(c) fails to comply with the requirements of regulation 7(5) or 8(5),

shall be guilty of an offence.

Penalties
26. - (1) A person guilty of an offence under regulation 25(a) shall be liable on summary conviction -

(a) to imprisonment for a term not exceeding 3 months; or

(b) to a fine not exceeding level 5 on the standard scale,

or to both.

(2) A person guilty of an offence under regulation 25(b) or (c) shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.

Defence of due diligence
27. - (1) Subject to the following provisions of this regulation, in proceedings against any person for an offence under regulation 25 above it shall be a defence for that person to show that he took all reasonable steps and exercised all due diligence to avoid committing the offence.

(2) Where in any proceedings against any person for such an offence the defence provided by paragraph (1) involves an allegation that the commission of the offence was due -

(a) to the act or default of another; or

(b) to reliance on information given by another,

that person shall not, without the leave of the court, be entitled to rely on the defence unless, not less than seven clear days before the hearing of the proceedings (or, in Scotland, the trial diet), he has served a notice under paragraph (3) on the person bringing the proceedings.

(3) A notice under this paragraph shall give such information identifying or assisting in the identification of the person who committed the act or default or gave the information as is in the possession of the person serving the notice at the time he serves it.

(4) It is hereby declared that a person shall not be entitled to rely on the defence provided by paragraph (1) by reason of his reliance on information supplied by another, unless he shows that it was reasonable in all the circumstances for him to have relied on the information, having regard in particular -

(a) to the steps which he took, and those which might reasonably have been taken, for the purpose of verifying the information; and

(b) to whether he had any reason to disbelieve the information.

Liability of persons other than the principal offender
     28. - (1) Where the commission by any person of an offence under regulation 25 is due to the act or default committed by some other person in the course of any business of his, the other person shall be guilty of the offence and may be proceeded against and punished by virtue of this paragraph whether or not proceedings are taken against the first-mentioned person.

    (2) Where a body corporate is guilty of an offence under these Regulations (including where it is so guilty by virtue of paragraph (1)) in respect of any act or default which is shown to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity he, as well as the body corporate, shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.

    (3) Where the affairs of a body corporate are managed by its members, paragraph (2) shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.

    (4) In this regulation, references to a "body corporate" include references to a partnership in Scotland and, in relation to such partnership, any reference to a director, manager, secretary or other similar officer of a body corporate is a reference to a partner.

Consequential amendments
     29. - (1) In the Provision and Use of Work Equipment Regulations 1998[17], at the end of column (1) of Schedule 1, there shall be added the words "The Pressure Equipment Regulations 1999" and at the end of column (2) the words "S.I. 1999/2001".

    (2) In the Provision and Use of Work Equipment Regulations (Northern Ireland) 1999[18], at the end of column (1) of Schedule 2, there shall be added the words "The Pressure Equipment Regulations 1999" and at the end of column (2) the words "S.I. 1999/2001".

    (3) In regulation 10(1) of the Pressure Vessels (Verification) Regulations 1988[19] there shall be inserted after the words "pressure vessel" the words ", not being one to which the Pressure Equipment Regulations 1999 apply,".

    (4) In regulation 10(1) of the Pressure Vessels (Verification) Regulations (Northern Ireland) 1993[20] there shall be inserted after the words "pressure vessel" the words ", not being one to which the Pressure Equipment Regulations 1999 apply,".

John Battle,
Minister for Energy & Industry, Department of Trade and Industry

15th July 1999

SCHEDULE 1Regulation 4(1)

EXCLUDED PRESSURE EQUIPMENT AND ASSEMBLIES

     1. Pipelines comprising piping or a system of piping designed for the conveyance of any fluid or substance to or from an installation (onshore or offshore) starting from and including the last isolation device located within the confines of the installation, including all the annexed equipment designed specifically for pipelines. This exclusion does not apply to standard pressure equipment such as may be found in pressure reduction stations or compression stations;

     2. Networks for the supply, distribution and discharge of water and associated equipment and headraces such as penstocks, pressure tunnels, pressure shafts for hydroelectric installations and their related specific accessories;

     3. Equipment covered by Directive 87/404/EEC[21] on simple pressure vessels;

     4. Equipment covered by Council Directive 75/324/EEC of 20 May 1975 on the approximation of the laws of the member States relating to aerosol dispensers[22];

     5. Equipment intended for the functioning of vehicles defined by the following Directives and their Annexes:

- Council Directive 70/156/EEC of 6 February 1970 on the approximation of the laws of the member States relating to the type-approval of motor vehicles and their trailers[23];
- Council Directive 74/150/EEC of 4 March 1974 on the approximation of the laws of the member States relating to the type-approval of wheeled agricultural or forestry tractors[24];
- Council Directive 92/61/EEC of 30 June 1992 relating to the type-approval of two or three-wheel motor vehicles[25];

6. Equipment classified as no higher than category I under Article 9 of this Directive and covered by one of the following Directives:

- Council Directive 89/392/EEC of 14 June 1989 on the approximation of the laws of the member States relating to machinery[26];
- European Parliament and Council Directive 95/16/EC of 29 June 1995 on the approximation of the laws of the member States relating to lifts[27];
- Council Directive 73/23/EEC of 19 February 1973 on the harmonisation of the laws of the member States relating to electrical equipment designed for use within certain voltage limits[28];
- Council Directive 93/42/EEC of 14 June 1993 concerning medical devices[29];
- Council Directive 90/396/EEC of 29 June 1990 on the approximation of the laws of the member States relating to appliances burning gaseous fuels[30];
- Directive 94/9/EC of the European Parliament and the Council of 23 March 1994 on the approximation of the laws of the member States concerning equipment and protective systems intended for use in potentially explosive atmospheres[31];

     7. Equipment covered by Article 296(1)(b) of the Treaty;

     8. Items specifically designed for nuclear use, failure of which may cause an emission of radioactivity;

     9. Well-control equipment used in the petroleum, gas or geothermal exploration and extraction industry and in underground storage which is intended to contain and/or control well pressure, that is to say the wellhead (Christmas tree), the blow out preventers (BOP), the piping manifolds and all their equipment upstream;

     10. Equipment comprising casings or machinery where the dimensioning, choice of material and manufacturing rules are based primarily on requirements for sufficient strength, rigidity and stability to meet the static and dynamic operational effects or other operational characteristics and for which pressure is not a significant design factor, such equipment may include:

- engines including turbines and internal combustion engines,
- steam engines, gas/steam turbines, turbo-generators, compressors, pumps and actuating devices;

     11. Blast furnaces including the furnace cooling system, hot-blast recuperators, dust extractors and blast-furnace exhaust-gas scrubbers and direct reducing cupolas, including the furnace cooling, gas converters and pans for melting, re-melting, de-gassing and casting of steel and non-ferrous metals;

     12. Enclosures for high-voltage electrical equipment such as switchgear, control gear, transformers, and rotating machines;

     13. Pressurised pipes for the containment of transmission systems, including for example electrical power and telephone cables;

     14. Ships, rockets, aircraft and mobile off-shore units, as well as equipment specifically intended for installation on board or the propulsion thereof;

     15. Pressure equipment consisting of a flexible casing, including for example tyres, air cushions, balls used for play, inflatable craft, and other similar pressure equipment;

     16. Exhaust and inlet silencers;

     17. Bottles or cans for carbonated drinks for final consumption;

     18. Vessels designed for the transport and distribution of drinks having a PS.V of not more than 500 bar-L and a maximum allowable pressure not exceeding 7 bar;

     19. Equipment covered by the ADR[32], the RID[33], the IMDG[34] and the ICAO Convention[35];

     20. Radiators and pipes in warm water heating systems;

     21. Vessels designed to contain liquids with a gas pressure above the liquid of not more than 0.5 bar.

SCHEDULE 2 Regulations 2(2), 7(5), 8(5), 14, 16(1), 19, 20(7)(a)

(Annex I to the Pressure Equipment Directive)

ESSENTIAL SAFETY REQUIREMENTS

PRELIMINARY OBSERVATIONS
     1. The obligations arising from the essential requirements listed in this Annex for pressure equipment also apply to assemblies where the corresponding hazard exists.

     2. The essential requirements laid down in the Directive are compulsory. The obligations laid down in these essential requirements apply only if the corresponding hazard exists for the pressure equipment in question when it is used under conditions which are reasonably foreseeable by the manufacturer.

     3. The manufacturer is under an obligation to analyse the hazards in order to identify those which apply to his equipment on account of pressure; he must then design and construct it taking account of his analysis.

     4. The essential requirements are to be interpreted and applied in such a way as to take account of the state of the art and current practice at the time of design and manufacture as well as of technical and economic considerations which are consistent with a high degree of health and safety protection.

     1. GENERAL

     1.1. Pressure equipment must be designed, manufactured and checked, and if applicable equipped and installed, in such a way as to ensure its safety when put into service in accordance with the manufacturer's instructions, or in reasonably foreseeable conditions.

     1.2. In choosing the most appropriate solutions, the manufacturer must apply the principles set out below in the following order:

- eliminate or reduce hazards as far as is reasonably practicable,
- apply appropriate protection measures against hazards which cannot be eliminated,
- where appropriate, inform users of residual hazards and indicate whether it is necessary to take appropriate special measures to reduce the risks at the time of installation and/or use.

     1.3. Where the potential for misuse is known or can be clearly foreseen, the pressure equipment must be designed to prevent danger from such misuse or, if that is not possible, adequate warning given that the pressure equipment must not be used in that way.

     2. DESIGN

     2.1. General

The pressure equipment must be properly designed taking all relevant factors into account in order to ensure that the equipment will be safe throughout its intended life.

The design must incorporate appropriate safety coefficients using comprehensive methods which are known to incorporate adequate safety margins against all relevant failure modes in a consistent manner.

2.2. Design for adequate strength

2.2.1 The pressure equipment must be designed for loadings appropriate to its intended use and other reasonably foreseeable operating conditions. In particular, the following factors must be taken into account:

- internal/external pressure,
- ambient and operational temperatures,
- static pressure and mass of contents in operating and test conditions,
- traffic, wind, earthquake loading,
- reaction forces and moments which result from the supports, attachments, piping, etc.,
- corrosion and erosion, fatigue, etc.,
- decomposition of unstable fluids.{t3} Various loadings which can occur at the same time must be considered, taking into account the probability of their simultaneous occurrence.

2.2.2 Design for adequate strength must be based on:

- as a general rule, a calculation method, as described in 2.2.3, and supplemented if necessary by an experimental design method as described in 2.2.4, or
- an experimental design method without calculation, as described in 2.2.4, when the product of the maximum allowable pressure PS and the volume V is less than 6 000 bar-L or the product PS-DN less than 3 000 bar.

2.2.3 Calculation method

(a) Pressure containment and other loading aspects

     The allowable stresses for pressure equipment must be limited having regard to reasonably foreseeable failure modes under operating conditions. To this end, safety factors must be applied to eliminate fully any uncertainty arising out of manufacture, actual operational conditions, stresses, calculation models and properties and behaviour of the material.

     These calculation methods must provide sufficient safety margins consistent, where applicable, with the requirements of section 7.

     The requirements set out above may be met by applying one of the following methods, as appropriate, if necessary as a supplement to or in combination with another method:

- design by formula,
- design by analysis,
- design by fracture mechanics;

(b) Resistance

Appropriate design calculations must be used to establish the resistance of the pressure equipment concerned.

In particular:

- the calculation pressures must not be less than the maximum allowable pressures and take into account static head and dynamic fluid pressures and the decomposition of unstable fluids. Where a vessel is separated into individual pressure-containing chambers, the partition wall must be designed on the basis of the highest possible chamber pressure relative to the lowest pressure possible in the adjoining chamber,
- the calculation temperatures must allow for appropriate safety margins,
- the design must take appropriate account of all possible combinations of temperature and pressure which might arise under reasonably foreseeable operating conditions for the equipment,
- the maximum stresses and peak stress concentrations must be kept within safe limits,
- the calculation for pressure containment must utilise the values appropriate to the properties of the material, based on documented data, having regard to the provisions set out in section 4 together with appropriate safety factors. Material characteristics to be considered, where applicable, include:

- yield strength, 0.2% or 1.0% proof strength as appropriate at calculation temperature,
- tensile strength,
- time-dependent strength, i.e. creep strength,
- fatigue data,
- Young's modulus (modulus of elasticity),
- appropriate amount of plastic strain,
- impact strength,
- fracture toughness,
- appropriate joint factors must be applied to the material properties depending, for example, on the type of non-destructive testing, the materials joined and the operating conditions envisaged,
- the design must take appropriate account of all reasonably foreseeable degradation mechanisms (e.g. corrosion, creep, fatigue) commensurate with the intended use of the equipment. Attention must be drawn, in the instructions referred to in section 3.4, to particular features of the design which are relevant to the life of the equipment, for example:
- for creep: design hours of operation at specified temperatures,
- for fatigue: design under number of cycles at specified stress levels,
- for corrosion: design corrosion allowance;

(c) Stability aspects

Where the calculated thickness does not allow for adequate structural stability, the necessary measures must be taken to remedy the situation taking into account the risks from transport and handling.

2.2.4 Experimental design method

The design of the equipment may be validated, in all or in part, by an appropriate test programme carried out on a sample representative of the equipment or the category of equipment.

The test programme must be clearly defined prior to testing and accepted by the notified body responsible for the design conformity assessment module, where it exists.

This programme must define test conditions and criteria for acceptance or refusal. The actual values of the essential dimensions and characteristics of the materials which constitute the equipment tested shall be measured before the test.

Where appropriate, during tests, it must be possible to observe the critical zones of the pressure equipment with adequate instrumentation capable of registering strains and stresses with sufficient precision.

The test programme must include:

(a) A pressure strength test, the purpose of which is to check that, at a pressure with a defined safety margin in relation to the maximum allowable pressure, the equipment does not exhibit significant leaks or deformation exceeding a determined threshold.

The test pressure must be determined on the basis of the differences between the values of the geometrical and material characteristics measures under test conditions and the values used for design purposes; it must take into account the differences between the test and design temperatures;

(b) where the risk of creep or fatigue exists, appropriate tests determined on the basis of the service conditions laid down for the equipment, for instance hold time at specified temperatures, number of cycles at specified stress-levels, etc;

(c) where necessary, additional tests concerning other factors referred to in 2.2.1 such as corrosion, external damage, etc.

2.3. Provisions to ensure safe handling and operation

The method of operation specified for pressure equipment must be such as to preclude any reasonably foreseeable risk in operation of the equipment. Particular attention must be paid, where appropriate to:

- closures and openings,
- dangerous discharge of pressure relief blow-off,
- devices to prevent physical access whilst pressure or a vacuum exists,
- surface temperature taking into consideration the intended use,
- decomposition of unstable fluids.

In particular, pressure equipment fitted with an access door must be equipped with an automatic or manual device enabling the user easily to ascertain that the opening will not present any hazard.

Furthermore, where the opening can be operated quickly, the pressure equipment must be fitted with a device to prevent it being opened whenever the pressure of temperature of the fluid presents a hazard.

2.4. Means of examination

(a) Pressure equipment must be designed and constructed so that all necessary examinations to ensure safety can be carried out;

(b) Means of determining the internal condition of the equipment must be available, where it is necessary to ensure the continued safety of the equipment, such as access openings, allowing physical access to the inside of the pressure equipment so that appropriate examinations can be carried out safely and ergonomically;

(c) Other means of ensuring the safe condition of the pressure equipment may be applied:

- where it is too small for physical internal access, or
- where opening the pressure equipment would adversely affect the inside, or
- where the substance contained has been shown not to be harmful to the material from which the pressure equipment is made and no other internal degradation mechanisms are reasonably foreseeable.

2.5. Means of draining and venting

Adequate means must be provided for the draining and venting of pressure equipment where necessary:

- to avoid harmful effects such as water hammer, vacuum collapse, corrosion and uncontrolled chemical reactions. All stages of operation and testing, particularly pressure testing, must be considered,
- to permit cleaning, inspection and maintenance in a safe manner.

2.6. Corrosion or other chemical attack

Where necessary, adequate allowance or protection against corrosion or other chemical attack must be provided, taking due account of the intended and reasonably foreseeable use.

2.7. Wear

Where severe conditions of erosion or abrasion may arise, adequate measures must be taken to:

- minimise that effect by appropriate design, e.g. additional material thickness, or by the use of liners or cladding materials,
- permit replacement of parts which are most affected,
- draw attention, in the instructions referred to in 3.4, to measures necessary for continued safe use.

2.8. Assemblies

Assemblies must be so designed that:

- the components to be assembled together are suitable and reliable for their duty,
- all the components are properly integrated and assembled in an appropriate manner.

2.9. Provisions for filling and discharge

Where appropriate, the pressure equipment must be so designed and provided with accessories, or provision made for their fitting, as to ensure safe filling and discharge in particular with respect to hazards such as:

(a) on filling:

- overfilling or overpressurisation having regard in particular to the filling ratio and to vapour pressure at the reference temperature,
- instability of the pressure equipment;

(b) on discharge: the uncontrolled release of the pressurised fluid;

(c) on filling or discharge: unsafe connection and disconnection.

2.10. Protection against exceeding the allowable limits of pressure equipment

Where, under reasonably foreseeable conditions, the allowable limits could be exceeded, the pressure equipment must be fitted with, or provision made for the fitting of, suitable protective devices, unless the equipment is intended to be protected by other protective devices within an assembly.

The suitable device or combination of such devices must be determined on the basis of the particular characteristics of the equipment or assembly.

Suitable protective devices and combinations thereof comprise:

(a) safety accessories as defined in Article 1, section 2.1.3,

(b) where appropriate, adequate monitoring devices such as indicators and/or alarms which enable adequate action to be taken either automatically or manually to keep the pressure equipment within the allowable limits.

2.11. Safety accessories

2.11.1 Safety accessories must:

- be so designed and constructed as to be reliable and suitable for their intended duty and take into account the maintenance and testing requirements of the devices, where applicable,
- be independent of other functions, unless their safety function cannot be affected by such other functions,
- comply with appropriate design principles in order to obtain suitable and reliable protection. These principles include, in particular, fail-safe modes, redundancy, diversity and self-diagnosis.

2.11.2 Pressure limiting devices

These devices must be so designed that the pressure will not permanently exceed the maximum allowable pressure PS; however a short duration pressure surge in keeping with the specifications laid down in 7.3 is allowable, where appropriate.

2.11.3 Temperature monitoring devices

These devices must have an adequate response time on safety grounds, consistent with the measurement function.

2.12. External fire

Where necessary, pressure equipment must be so designed and, where appropriate, fitted with suitable accessories, or provision made for their fitting, to meet damage-limitation requirements in the event of external fire, having particular regard to its intended use.

Notes:

[14] 1974 c.37.back

[15] S.I. 1978/1039 (N.I. 9).back

[16] 1987 c.43.back

[17] S.I. 1998/2306.back

[18] S.R. 1999 No. 305 back

[19] S.I. 1988/896.back

[20] S.R. 1992 No. 79, as amended by S.R. 1999 No. 126.back

[21] OJ No. L220, 8.8.87, p. 48.back

[22] OJ No. L147, 9.6.1975, p. 40. Directive as last amended by Commission Directive 94/1/EC (OJ No. L23, 28.1.1994, p. 28).back

[23] OJ No. L42, 23.2.1970, p. 1. Directive as last amended by Commission Directive 95/54/EC (OJ No. L266, 8.11.1995, p. 1).back

[24] OJ No. L84, 28.3.1974, p. 10. Directive as last amended by the 1994 Act of Accession.back

[25] OJ No. L225, 10.8.1992, p. 72. Directive as last amended by the 1994 Act of Accession.back