Health and Safety

Executive

Safety in docks
Docks Regulations 1988 and Guidance
Approved Code of Practice

This is a free-to-download, web-friendly version of COP 25, (First edition,

published 1988). This version has been adapted for online use from HSEs
current printed version.
You can buy the book at www.hsebooks.co.uk and bookshops.
ISBN 978 0 7176 1408 0
Price 8.50
This guidance covers safety in dock operations and is aimed at those who have
a duty to comply with provisions of the Docks Regulations 1988. This includes
people who control dock premises, suppliers of plant and equipment, dock
employers, managers, safety officers and safety representatives.
Since this Approved Code of Practice (ACOP) and guidance was published:
regulation 7(4) and (5) have been revoked by the Work at Height Regulations
2005 (SI 2005/735);
regulation 7(6)(c) and the word omitted immediately preceding it has been
revoked by the Work at Height Regulations 2005 (SI 2005/735);
regulation 13(4) has been amended by the Lifting Operations and Lifting
Equipment Regulations 1998 (SI 1998/2307);
regulations 14, 15, 16(3)-(5), 16(7)-(8) and 17 have been revoked by the Lifting
Operations and Lifting Equipment Regulations 1998 (SI 1998/2307);
regulation 18 has been revoked by the Confined Spaces Regulations 1997
(SI 1997/1713).
The ACOP has not yet been reviewed following these changes. All existing HSE
guidance for the ports sector is under review and will be updated as necessary.
HSE is revising its website to reflect the current legislation and standards
(www.hse.gov.uk/ports) and has published A quick guide to health and safety in
ports (INDG446).
HSE is revising its website to reflect current legislation and standards. HSE is also
supporting the development of comprehensive guidance for the industry on the
Port Skills and Safety (PSS) website (www.portskillsandsafety.co.uk). The HSE
quick guide and the PSS industry guidance will constitute current good practice
and will be used as a benchmark for health and safety by both industry and HSE.
HSE is currently consulting on the future of the Docks Regulations and COP25.
Once this consultation is complete and the new guidance has been assessed, a
decision will be made on the ACOP and how best to reflect current legislation as
it applies in ports.

HSE Books

Page 1 of 103

Health and Safety

Executive

Crown copyright 1988

First published 1988
Reprinted 2012
ISBN 978 0 7176 1408 0
You may reuse this information (excluding logos) free of charge in any format or
medium, under the terms of the Open Government Licence. To view the licence
visitwww.nationalarchives.gov.uk/doc/open-government-licence/, write to the
Information Policy Team, The National Archives, Kew, London TW9 4DU, or email
psi@nationalarchives.gsi.gov.uk.

Some images and illustrations may not be owned by the Crown so cannot be
reproduced without permission of the copyright owner. Enquiries should be sent to
copyright@hse.gsi.gov.uk.
This Code has been approved by the Health and Safety Executive and gives advice
on how to comply with the law. This Code has a special legal status. If you are
prosecuted for breach of health and safety law, and it is proved that you have not
followed the relevant provisions of the Code, a court will find you at fault, unless
you can show that you have complied with the law in some other way.

Note
1 Throughout this document, paragraphs are marked to indicate whether they are
Regulations in italics), Approved Code of Practice (ACOP) or Guidance. In addition
the paragraphs are colour coded as follows:

Regulation
Approved Code of Practice
Guidance

2 Cross references in the Approved Code of Practice and Guidance which

quote a paragraph number and no Regulation number refer to a paragraph under
the same Regulation. In cases where a paragraph under a different Regulation is
quoted, the cross reference also gives the number of the Regulation.

Page 2 of 103

Health and Safety

Executive

Contents
Notice of Approval 4
Approved Code of Practice, Regulations and Guidance

Foreword to the Approved Code of Practice 5

Introduction to the Guidance 6
Provision of information 6
Regulation 1 Citation and commencement 7
Regulation 2 Interpretation 7
Regulation 3 Application of the Regulations 14
Regulation 4 Persons upon whom duties are imposed 14
Regulation 5 Planning and execution of work 16
Regulation 6 Lighting 22
Regulation 7 Access 25
Regulation 8 Transport by water 33
Regulation 9 Rescue, life-saving and fire-fighting equipment, and means of
escape 35
Regulation 10 Hatches, ramps and car-decks 39
Regulation 11 Drivers of vehicles and operators of lifting appliances 41
Regulation 12 Use of vehicles 48
Regulation 13 Use of lifting plant 56
Regulation 14 Testing of lifting plant 63
Regulation 15 Examination of lifting plant 65
Regulation 16 Markings and indicators on lifting plant 66
Regulation 17 Certificates and reports 69
Regulation 18 Confined spaces 71
Regulation 19 Welfare amenities and protective clothing 77
Regulation 20 Duty to report defective plant 79
Regulation 21 Exemption certificates 79
Regulation 22 Enforcement 80
Regulation 23 Modifications to the Factories Act 1961 80
Regulation 24 Revocations and transitional provisions 82

Appendices to the Guidance

Appendix 1: Legislation relevant to health and safety in dock operations 83
Appendix 2: HSE Guidance Notes and booklets relevant to health and safety in
Appendix 3:
Appendix 4:
Appendix 5:
Appendix 6:
Appendix 7:
Appendix 8:
Appendix 9:
Appendix 10:
Appendix 11:
Appendix 12:
Appendix 13:

Safety in docks

dock operations 85
British Standards relevant to health and safety in dock
operations 86
Non-HSE literature relevant to health and safety in dock
operations 88
HSE Area Offices responsible for enforcement of the Docks
Regulations 1988 90
Offices of Department of Transport Marine Directorate 91
Guidance on measurement of lighting levels - Regulation 6(1) 92
Guidance for medical practitioners on standards of fitness 94
Construction (Lifting Operations) Regulations 1961 Regulation 30(2) 96
Welfare Amenities. Example of suitable arrangements 98
Welfare Amenities. Guidelines for the provision of sanitary
conveniences, washing and shower facilities 101
Particulars approved by HSE for vessels under
Regulation 8(2)(f) 101
Particulars approved by HSE for testing and thorough examination
of lifting plant under Regulation 17(l) 102
Page 3 of 103

Health and Safety

Executive

Notice of Approval
By virtue of section 16(1) of the Health and Safety at Work etc Act 1974, and
with the consent of the Secretary of State for Employment, the Health and Safety
Commission has on 29 September 1988 approved the Code of Practice entitled
Safety in Docks.
The Code of Practice is approved for the purposes of providing practical guidance
with respect to the Docks Regulations 1988 (SI 1988 No 1655), and sections 2-4,
6 and 7 of the Health and Safety at Work etc Act 1974.
The Code of Practice comes into effect on 1 January 1989, except that the
guidance in the Code relevant to Regulation 16(7) shall take effect from 1
September 1990.
Signed
A J LORD
Secretary to the Health and Safety Commission
29 September 1988

Safety in docks

Page 4 of 103

Health and Safety

Executive

Foreword to the Approved Code

of Practice
This Code of Practice has been prepared in joint discussion between the
Confederation of British Industry, the Trades Union Congress, other Government
Departments and the Health and Safety Executive (HSE).
The Code has been approved by the Health and Safety Commission, with the
consent of the Secretary of State, under Section 16(1) of the Health and Safety at
Work etc Act 1974 (the HSW Act) for the purpose of providing practical guidance
with respect to certain provisions of the Docks Regulations 1988 (SI 1988 No 1655)
and Sections 2-4, 6 and 7 of the HSW Act. Any reference in this Code to another
document does not imply the like approval of that document, except to the extent
necessary to give effect to this Code.
Although failure to observe any provision of this Code is not in itself an offence,
that failure may be taken by a Court in criminal proceedings as proof that a person
has contravened the Regulation or Section of the HSW Act to which the provision
relates. In such a case, however, it will be open to that person to satisfy the Court
that he has complied with the Regulation or Section of the Act in some other way.
Words and expressions which are defined in the Docks Regulations or in the HSW
Act have the same meaning in this Code unless the context requires otherwise.
References are made in the Code of Practice to certain duties under the HSW Act
where this is appropriate. In summary, the main duties are:
Section 2 - employers (duties to their employees)
Section 3 - employers and self-employed persons (duties to persons other than
employees)
Section 4 - persons in control of premises (duties to persons other than their
employees)
Section 6 - suppliers of articles and substances for use at work (duties to those
who use such articles and substances)
Section 7 - employees (duties to take reasonable care and cooperate)
Section 8 - any person (duties not to interfere with or misuse anything provided in
the interests of health and safety)

Safety in docks

Page 5 of 103

Health and Safety

Executive

Guidance

Introduction to the Guidance

1 This Guidance is intended for persons concerned with dock operations,
and in particular those who have a duty to comply with provisions of the Docks
Regulations 1988. It includes interpretation of both the requirements of the
Regulations and also the provisions of the Approved Code of Practice (ACOP). It
is therefore addressed particularly to persons who control dock premises or dock
operations, to suppliers of plant and equipment, to employers, managers, safety
officers, safety representatives, safety committee members, employees and the
self-employed and all whose work involves or is incidental to dock operations. It is
not the purpose of these notes to attempt to provide an authoritative interpretation
of the law - which is a matter for the Courts - and they in no way modify or remove
obligations imposed by Parliament or the Common Law.
2 The Regulations are complemented by and should be read in conjunction
with the Loading and Unloading of Fishing Vessels Regulations 1988, and safety
regulations made by the Department of Transport under merchant shipping
legislation. These latter regulations place duties on ship owners, and masters and
crews of vessels involved in dock operations and their employers, in relation to
a variety of matters including ship construction, fire fighting, means of access on
to and about ship, and ships equipment including cranes, lifts, ramps and other
process machinery. Other sets of regulations dealing with particular health and
safety issues will apply on dock premises. A list of relevant legislation is contained
in Appendix 1. The carriage, handling and storage of dangerous substances in
harbours and harbour areas are dealt with in the Dangerous Substances in Harbour
Areas Regulations 1987, and also in the Dangerous Substances (Conveyance by
Road in Road Tankers and Tank Containers) Regulations 1981 and the Road Traffic
(Carriage of Dangerous Substances in Packages etc) Regulations 1986. Guidance
on merchant shipping legislation is contained in Merchant Shipping Notices and in
the Code of Safe Working Practices for Merchant Seamen.
3 Further guidance on a wide range of topics which may be relevant to dock
operations has been produced by HSE, and a list of such publications appears in
Appendix 2. Appendix 3 lists a number of relevant British Standards, and Appendix
4 lists guidance produced by other bodies. Neither these lists, nor the Guidance
herein should be regarded as exhaustive. The wide range of activities undertaken at
dock premises will from time to time result in hazards specific to particular premises
or operations, and those responsible should, where necessary, seek advice.
Appendix 5 lists HSE Area Offices, where inspectors will be available to provide
such advice. Similarly, a list of the offices of the Department of Transport Marine
Directorate is given in Appendix 6.

Introduction

4 It should be noted that there is no connection between the Regulations and

the Dock Labour Scheme.

ACOP

Provision of information
1 Employers should take steps to bring the requirements of the Docks
Regulations 1988, and the contents of this ACOP, to the attention of their
employees as appropriate. These duties arise under Section 2 of the HSW
Act. Compliance may be achieved by making copies of the Regulations and
the ACOP readily available for such persons to consult.
2

HSW Act
Safety in docks

The following parts of Section 2 are relevant:

2.- (1) It shall be the duty of every employer to ensure, so far as is

reasonably practicable, the health, safety and welfare at work of all his
employees.
Page 6 of 103

Health and Safety

Executive

ACOP

HSW Act

Regulation

(2) Without prejudice to the generality of an employers duty under the

preceding subsection, the matters to which that duty extends include in
particular (c) The provision of such information, instruction, training and
supervision as is necessary to ensure, so far as is reasonably
practicable, the health and safety at work of his employees.

Regulation 1 - Citation and commencement

These Regulations may be cited as the Docks Regulations 1988 and shall come
into force on 1st January 1989, except that regulation 14(2) shall come into force
on 1st January 1993, and regulation 16(7) shall come into force on 1st September
1990.

Regulation 2

Regulation 2 - Interpretation

Guidance

1 Regulation 2 defines certain terms used in the Regulations. The following

paragraphs give guidance on these.

2
Regulation

2 The term reasonably practicable is not defined but appears in certain

Regulations. It has however been interpreted (Edwards v National Coal Board
(1949)) as a narrower term than physically possible and requires that the
quantum of risk involved should be weighed against the remedial measures
required, whether in terms of money, time or trouble. If the risk is insignificant when
compared with the measures required to rectify the problem, then compliance
will not be reasonably practicable. Correspondingly, where rectification requires or
costs little in comparison with the risk involved, then action will need to be taken.
For situations intermediate between these two extremes, the degree of action
necessary to discharge the legal duty will need to be considered in each case. The
term practicable imposes a stricter standard and is generally taken to refer to
measures which are possible in the light of current knowledge and invention (Adsett
v K and L Steelfounders and Engineers Ltd (1953) and other High Court decisions).
(1) In these Regulations, unless the context otherwise requires the 1974 Act means the Health and Safety at Work etc. Act 1974;
access to includes egress from;
dock gate means any lock gate or other gate which can close off the entrance to
the dock or part of the dock from the sea or other waterway but does not include
any gate on land which controls access by vehicles or pedestrians:
dock operations means (a) the loading or unloading of goods on or from a ship at dock premises;
(b) the embarking or disembarking of passengers on or from a ship at dock
premises;
(c) any activity incidental to the activities in sub-paragraphs (a) and (b) of
this definition which takes place on dock premises, including any of the
following activities specified in this sub-paragraph if they are so incidental
and take place on dock premises -

2(1)

Safety in docks

(i) the fuelling and provisioning of a ship,

Page 7 of 103

Health and Safety

Executive

Regulation

(ii) the mooring of a ship,

(iii) the storing, sorting, inspecting, checking, weighing or handling of
goods,
(iv) the movement of goods, passengers or vehicles,
(v) the use of welfare amenities in relation to the carrying out of
activities referred to in sub-paragraphs (a), (b) and (c)(i) to (iv)
above,
(vi) attending dock premises for the purposes of the activities referred
to in sub-paragraphs (a), (b) and (c)(i) to (v) above; or
(d) the embarking or disembarking on or from a ship of its crew at dock
premises;
but does not include -

2(1)
Guidance

(e) a fish loading process within the meaning of the Loading and Unloading
of Fishing Vessels Regulations 1988;
(f) the loading or unloading of goods, or embarking or disembarking of
persons, from a pleasure craft or any activity incidental to those activities;
or
(g) beach landing operations wholly carried out by serving members of Her
Majestys Forces or visiting forces within the meaning of the provisions of
Part 1 of the Visiting Forces Act 1952 or a combination of both;
3 The Docks Regulations 1988 apply to dock operations as defined. Dock
operations include incidental work such as operational maintenance and repair
of plant and equipment, store-keeping, on-site training involving actual dock
operations and any operations incidental to the handling and accommodation of
passengers and their baggage and cars. Dock operations do not include such
work as quay construction and repair. This will be subject to the four codes of
Construction Regulations listed in Appendix 1, and not the Docks Regulations
unless dock operations are otherwise involved. Where such work is carried out
in a clearly delineated area where no dock operations are proceeding, the Docks
Regulations should not be regarded as applying within that area. Incidental
activities do not include the normal operational activities of harbour craft such as
fireboats, or salvage, hydrographic and conservancy vessels.
4 The definition of dock operations includes not only the loading of
conventional cargo but also provisions which may be used by the passengers or
crew eg equipment, laundry and toiletries (see also paragraph 14). Fuelling of ships
involved in dock operations is also included.
5 The embarking and disembarking of a ships crew at dock premises are
included in the definition of dock operations. The Regulations would therefore apply
to a situation where crew were passing from their ship on to a quay that forms part
of dock premises, but not to a situation where crew leave their ship, having tied up
at a place not being used or intended to be used at that time by ships for loading
or unloading goods or for embarking or disembarking passengers.

2(1)
Regulation
2(1)

Safety in docks

6 Dock operations includes loading or unloading from one ship to another

where one or both are moored at a buoy.
dock premises means any dock, wharf, quay, jetty or other place at which
ships load or unload goods or embark or disembark passengers, together with
neighbouring land or water which is used or occupied, or intended to be used or
occupied, for those or incidental activities, and any part of a ship when used for
those or incidental activities;

Page 8 of 103

Health and Safety

Executive

Guidance

7 The term dock premises is wider that the term docks, wharves, quays and
ships used in the Docks Regulations 1934, now revoked, and refers to places
where certain matters covered under the definition of dock operations are carried
out. It includes neighbouring land and water, and buildings thereon, used for
landing, storage, sorting, inspection, checking, weighing or handling of goods,
such as container parks associated with a dock and rail-head container terminals
at ports. The expression neighbouring should be given its normal meaning ie
adjoining, next to or nearby. Such land may be part of an enclosed dock area; or it
may be unenclosed and used at times, when dock operations are not being carried
out, for other purposes; or it may be open to the public. Dock premises does not
include buoys where ships are moored. Because the Regulations deal with loading
and unloading of passengers, many ferry terminals previously excluded because
goods were not involved will now be included.
8 Parts of dock premises used neither as a working place nor as a means of
access are excluded from the definition of dock premises (and therefore are not
subject to the Regulations). Piers, breakwaters and similar installations not used for
either goods or passenger handling or access for the purposes of dock operations
are similarly excluded.
9 While the Regulations apply to incidental activities such as the packing of
containers at a dock, they will not apply if the same operation is carried out at a
factory or an inland clearance depot remote from the dock. These latter premises
should not be regarded as dock premises.
10 Dock roads well away from areas where dock operations are carried on may
be considered too remote to be covered by the definition of dock premises and
in that case would not be subject to the Docks Regulations. Public roads carrying
general traffic unconnected with dock operations, which abut on to a working
area or quayside but which are not part of the dock premises, will be subject to
the Road Traffic Acts only and not the Docks Regulations, even where there is no
physical separation.

2(1)
Safety in docks

11 Factories, as defined in Section 175 of the Factories Act 1961, are frequently
located within dock areas or have their own dock, quay, jetty or wharf which will
be subject to the Regulations. However, the part of the factory other than the dock
itself should not be regarded as dock premises provided dock operations are not
taking place there. In the normal course of events, dock operations will not be
carried on in such a part of a factory. The movement of goods landed across a
quay and then transferred into such a factory will not be subject to the Regulations
once in that factory since this will not be dock premises. Factory should be
taken to include conveyors, grabs, cranes and other plant used for transferring
goods from the quayside direct into the factory. The term incidental activities
is used in the definition of both dock premises and dock operations but it is not
intended that it should be extended to cover factory premises nor processing or
other work subject to the Factories Act carried out therein. For example, dock
workshops should be regarded as subject to the requirements of the Factories
Act rather than the Docks Regulations 1988. A non-factory process, such as
storage (eg storage silos, ore stock piles and oil tanks) in a dock area should be
regarded as subject to the Regulations, if it involves dock operations. Storage on
an adjacent factory site in connection with the processes carried out thereon will
not be on dock premises and will therefore be subject to the Factories Act, not the
Docks Regulations. In short, a factory would not be involved in loading or unloading
goods or the embarking or disembarking of passengers, or any activity incidental
to these operations, and so will not be dock premises. At other places of work eg
certain distribution depots, which may not be subject to the Factories Act, a similar
demarcation will apply between other legislation and the Docks Regulations.

Page 9 of 103

Health and Safety

Executive

Guidance

2(1)
Regulation

12 Premises subject to the Offices, Shops and Railway Premises Act 1963,
clearly defined construction sites subject to the four Codes of Construction
Regulations (see Appendix 1) and electrical substations should similarly not be
regarded as dock premises and therefore are not subject to the Docks Regulations.
13 Railway installations at dock premises may in some cases be involved in
incidental activities and therefore subject to the Docks Regulations and in some
cases, railway legislation, but this will depend on the circumstances. Because of
the wide range of situations met it is only possible to give general guidance and
the advice of HSE should be sought on specific cases. Where railways terminate
in dock premises as railhead depots and are used substantially for the movement
of goods entering or leaving the docks eg where freight containers are lifted from
railway wagons on to trailers for movement to loading quays, they are subject
to the Docks Regulations. On the other hand, railway stations at docks are not
subject to the Docks Regulations even if they are used substantially by passengers
who subsequently travel onward by boat as passengers or crew. Marshalling yards
and locomotive exchange sidings which primarily serve non-dock installations eg
factories within dock areas, and similar yards and sidings used for dock rail traffic
and where no cargo handling takes place, are not dock premises and therefore
not subject to the Docks Regulations. The Docks Regulations will apply to railway
lines running across dock premises unless those lines are used exclusively for nondocks traffic, but in these cases the HSW Act will apply.
freight container means a container as defined in regulation 2 of the Freight
Containers (Safety Convention) Regulations 1984;
goods includes -

2(1)
Guidance

2(1)
Regulation

2(1)
Guidance

2(1)
Safety in docks

(a)
(b)
(c)
(d)
(e)

animals,
pallets and freight containers,
waste,
solid ballast, and
vehicles which are being transported as cargo;

14 The term goods has its natural meaning, but also includes, in particular, the
items listed in the definition. Freight containers are included in the term whether
empty or loaded. Goods also includes ships stores and equipment which may
be loaded on to or unloaded from a ship. This includes parts of a ships engine,
cables, and other spare parts.
hatch means a ships hatch;
hatch covering includes hatch covers, beams and attached fixtures and fittings;
lifting appliance means any stationary or mobile appliance (and every part thereof
including attachments used for anchoring, fixing or supporting that appliance but
not including vehicle coupling arrangements) which is used on dock premises for
the purpose of suspending, raising or lowering loads or moving them from one
position to another whilst suspended and includes lift trucks; it does not include (a) pipes, roadways or gangways, or
(b) screw, belt, bucket or other conveyors,
used for the continuous movement of goods or people, but does include the lifting
appliance used to suspend, raise, lower or move any of those items;
15 The term lifting appliance covers a wide range of appliances used for lifting
and includes a chain block, lifting cradle, crane, straddle carrier, any type of lift
truck (including a fork lift truck, a front end loader and a side lift truck) and an
access lifting platform. There is an express exclusion in the Regulations for goose
necks and fifth wheels which are used to attach trailers to tractor units, even
though these devices may to a limited extent perform a lifting function.
Page 10 of 103

Health and Safety

Executive

Guidance

16 The term loads includes goods, materials and people. The exclusions
mean that plant such as suction pipes, conveyors, passenger escalators,
gangways, adjustable bridges and lighting galleries should not be regarded as
lifting appliances. Ropes and other plant that raise, lower or suspend any of these,
including those parts of the equipment which lift power-operated link spans,
passenger gangways and link bridges and associated anchoring arrangements,
should be regarded as lifting appliances. The safety of the plant thus excluded
and its subsequent maintenance fall within the scope of Sections 2 and 3 of the
HSW Act, of Regulation 7(1) of the Docks Regulations in the case of a gangway,
and of Regulation 12(2) in the case of a roadway. Ramps located on ships, and
retractable car decks are covered by the Merchant Shipping (Hatches and Lifting
Plant) Regulations, although Regulation 10(6) of the Docks Regulations deals with
the operation of such equipment during dock operations. The Merchant Shipping
Regulations also deal with other shipboard lifting plant.
17 Where lifting attachment points are provided on lifting appliances they should
be regarded as part of the appliance eg lugs fitted to the buckets of mobile
excavators, and spreader frames. Where such points are provided on the load itself
they should be regarded as part of the load and not the lifting appliance eg lifting
points on intermediate bulk containers (IBCs) and work vehicles.
18 A winch which is used for a vertical or inclined lift should be regarded as
a lifting appliance but a winch which is limited to horizontal movement of loads
should not.

2(1)
Regulation
2(1)
Guidance

19 The phrase stationary or mobile appliance used in the definition of lifting

appliance includes the supporting rails of an overhead travelling crane.
lifting gear means any gear by means of which a load can be attached to a
lifting appliance and which does not form an integral part of that appliance or load
but does not include pallets, one-trip slings, pre-slung cargo slings and freight
containers;
20 Lifting gear covers the whole range of gear used for attaching loads to lifting
appliances with the exception of pallets, one-trip slings, pre-slung cargo slings and
freight containers. Pallets, one-trip slings and pre-slung cargo slings are separately
dealt with in these Regulations. The design, construction and approval of freight
containers are dealt with in the Freight Containers (Safety Convention) Regulations
1984. Other aspects of the handling and use of containers are dealt with in other
parts of the Guidance under Regulations 7, 12 and 13.

2(1)

21 Where lifting attachment points are provided on lifting gear they should be
regarded as part of the gear. Lifting attachment points provided on the load itself,
eg on IBCs and work vehicles (see also paragraph 17), should be regarded as part
of the load and not the lifting gear.

Regulation

lifting plant means any lifting appliance or lifting gear;

maintained means maintained in an efficient state, in efficient working order and in
good repair;

2(1)

Safety in docks

one-trip sling means a sling which has not previously been used for lifting any
other load and is fitted to the load at the commencement of the journey and
intended to be disposed of at the destination of that journey;

Page 11 of 103

Health and Safety

Executive

Guidance

2(1)

22 One-trip sling includes banding and securing wire designed and intended to
be used for lifting purposes. A sling intended for disposal at the destination of its
first journey but in fact retained and re-used must cease to be regarded as a onetrip sling and will be subject to all the Regulations relating to lifting gear. If a sling
is to be treated as a one-trip sling (for instance on import cargo) dock operators
should consider whether its condition supports that claim before regarding it
as coming within the definition of a one-trip sling and thereby subject only to
Regulation 13(2). Journey means the period for which the load and sling are
together in combination.

Regulation 2(1)

pleasure craft means any description of vessel when used solely for sport or
recreation, other than for carrying fare paying passengers;

Guidance

23 Pleasure craft as defined are not subject to the Docks Regulations. It should
however be noted that the definition of pleasure craft does not include vessels
such as cruise liners and passenger steamers, which are used by passengers for
pleasure but which are run as a commercial operation with fare paying passengers.
These vessels are therefore subject to the Regulations.

2(1)
Regulation

pre-slung cargo sling means a sling which was in position round the goods before
they were handled in the course of dock operations;
safe working load in relation to lifting plant means -

2(1)
Guidance

2(1)

(a) the safe working load for that plant specified in the latest certificate or
report of examination obtained pursuant to regulation 17, except that
where the safe working load so specified is restricted to one particular
operation, then for the purposes of regulation 16(1) to (5) only (which
relates to markings and indicators on lifting plant), the safe working load
shall be that appropriate to the plant under normal use; or
(b) where no certificate or report has been obtained pursuant to regulation
17 but a certificate of examination of the plant has been obtained
pursuant to the Docks Regulations 1925 or the Docks Regulations 1934
which specifies the safe working load, the safe working load specified in
the latest certificate so obtained; or
(c) where neither sub-paragraph (a) nor (b) above applies, the safe working
load specified by the manufacturer of the plant in any written information
supplied with the plant;
24 The safe working load of an item of lifting plant is that specified in the latest
certificate or report of thorough examination issued under Regulation 17, or, in the
first year of operation of the Regulations where such a report or certificate has not
been issued, the corresponding provisions of the 1934 Docks Regulations. Where
a suitable report or certificate cannot be found, then the safe working load is that
specified in any appropriate manufacturers information which is available.
25 The purpose of the exception in paragraph (a) of the definition is that if the
safe working load is varied temporarily for a particular lifting operation then the
normal marking of the safe working load required under Regulation 16 does not
need to be changed for that operation.

Regulation 2(1)

ship (except in regulation 4(4)) includes all vessels and hovercraft which operate
on water or land and water;

Guidance

26 The term ship is wider than in merchant shipping legislation. It will include
warships, chain ferries, non-powered craft and other vessels which are not capable
of independent navigation.

2(1)
Safety in docks

Page 12 of 103

Health and Safety

Executive

Regulation 2(1)

vehicle includes all lift trucks, locomotives and rolling-stock, and trailers and semitrailers and other mechanical plant which moves on wheels, tracks, skids or any
combination thereof;

Guidance

27 Vehicle includes the full range of plant moved on wheels or skids or by track
laying together with hovercraft which only operate on land. Mobile lifting plant is
included in the term when being driven from one point to another. Locomotives,
wagons and carriages used in dock operations are also included. These
Regulations do not modify the railway regulatory Acts, which apply to statutory
railways. Vehicular cargo which is being driven is included in the definition.

2(1)
Regulation

vessel means any description of craft used for the transport of goods or
passengers or the storage of goods or the accommodation of passengers on
water, whether used in navigation or not;
welfare amenities means -

2(1)
Guidance

(a) sanitary conveniences;

(b) baths and shower baths;
(c) washing facilities (including wash basins, hot and cold running water and
soap and clean towels or other suitable means of cleaning and drying);
(d) a supply of wholesome drinking water;
(e) a supply of protective clothing, that is to say, clothing suitable for the
protection of the wearer in refrigerated spaces or against dirt from
handling dirty goods or against inclement weather;
(f) accommodation and facilities for changing into clothing worn during
working hours and for storing and drying clothing so worn and clothing
not so worn;
(g) canteens or accommodation and facilities (including facilities for heating
food and boiling water) for workers employed at dock premises to
partake of meals provided by themselves;
(h) shelters for use during inclement weather.
28 With the exception of the reference to refrigerated spaces in paragraph (e),
the definition of welfare amenities in Regulation 2 is almost exactly that used in
the Docks and Harbours Act 1966. Compliance with that Act will therefore assure
compliance with Regulation 19(1) of the Docks Regulations. An example of a
suitable scheme is given in Appendix 10.

2(1)

29 The expression refrigerated spaces refers to cold stores, refrigerated holds

and other places where similar temperatures may be encountered.

Regulation

(2) Unless the context otherwise requires, any reference in these Regulations to -

2(2)
Regulation

2(3)
Safety in docks

(a) a numbered regulation is a reference to the regulation of these

Regulations so numbered;
(b) a numbered paragraph is a reference to that paragraph so numbered in
the regulation in which the reference appears.
(3) Where a person supplies plant to another (the customer) under a hire
purchase agreement, conditional sale agreement or lease and (a) he carries on the business of financing the acquisition of goods by others
by means of such agreements, or, if financing by means of leases, the
use of goods by others, and
(b) in the course of that business he acquired an interest in the plant
supplied to the customer as a means of financing its acquisition by that
customer (or, in the case of a lease, its provision to that customer), and
Page 13 of 103

Health and Safety

Executive

Regulation

(c) in the case of a lease he or his agent either has not had physical
possession of that plant, or has had physical possession of it only for the
purpose of passing it on to the customer;

2(3)

the customer and not the person who provided the finance shall be treated for the
purposes of these Regulations as being the owner of the plant, and duties placed
on owners in these Regulations shall accordingly fall on the customer and not on
the person providing the finance.

Regulation

Regulation 3 - Application of the Regulations

These Regulations shall apply to and in relation to all dock operations -

3
Guidance

Regulation

(a) in Great Britain; and

(b) outside Great Britain within territorial waters to and in relation to the
loading, unloading, fuelling or provisioning of a vessel, as sections 1 to
59 and 80 to 82 of the 1974 Act apply by virtue of Article 7(b) of the
Health and Safety at Work etc. Act 1974 (Application outside Great
Britain) Order 1977.
1 Regulation 3 specifies the scope of the Regulations. They will apply to any
dock operation in Great Britain (not Northern Ireland) including those carried out
in inland waterways and those within bays, estuaries, and elsewhere within the
baseline from which territorial waters are measured. They also apply in cases where
shore based workers are involved in any dock operation carried out in territorial
waters, which extend a further 12 miles beyond the baseline by virtue of the
Territorial Sea Act 1987. The baseline is defined in the Territorial Waters Order in
Council of 25 September 1964.

Persons upon whom duties are imposed

(1) Subject to paragraphs (3) and (4), it shall be the duty of every (a) employer;
(b) self-employed person; and
(c) other person on whom a duty is imposed by section 4 of the 1974 Act,

4(1)
Guidance

4(1)
Safety in docks

to comply with all provisions of these Regulations, but such a duty shall
extend only to matters within his control.
1 Regulation 4(1) places duties on employers, self-employed persons and
persons with duties under Section 4 of the HSW Act, which imposes duties on
persons controlling premises in relation to others who are not their employees but
who use those premises as a place of work or as a place where they may use plant
or substances provided for their use there. In the dock context this would therefore
mean that duties are placed on owners or controllers of dock premises (even if they
employ no one) in relation to any person whether employed or not who uses their
premises. Duties also fall on persons who rent premises. The precise distribution
of duties in a particular case will depend on the control actually exercised. The
terms of any contract may therefore be relevant in determining the degree of
control that exists. This will be in addition to duties imposed on employers and
the self-employed. Guidance on the duties placed by the Docks Regulations on
the masters and crew of ships is given in paragraphs 1 to 4 of the Guidance to
Regulation 4(4). These paragraphs also refer to duties placed on masters and crew
under corresponding merchant shipping legislation.
Page 14 of 103

Health and Safety

Executive

Guidance

2 The duties under Regulation 4(1) only extend to matters within the persons
control. Therefore if an employer hires, contracts or loans employees to another
employer, the respective responsibilities of the two employers will depend upon the
control they effectively exercise over the employees activities. Matters of training
and fitness may continue to be under the control of the first employer. However,
safe systems of work and work planning as well as matters relating to the place of
work may be under the control of the employer who actually carries out the work
and the duties under these Regulations should be construed accordingly.
3 Duties under Regulation 4(1) extend to employers whose employees visit
docks to carry out work which is incidental to the main dock process. For example,
the employer of a lorry driver who delivers goods to a dock will have duties
associated with the safety of the lorry and its cargo. Some employers will have
responsibilities even if neither they nor their employees visit dock premises. For
example, the employer packing an export container at an inland clearance depot
can be held legally responsible for a breach of the Regulations by virtue of Section
36 of the HSW Act if he overloads or unsafely packs that container, or does not
make adequate arrangements for securing the container to the vehicle which
transports it to dock premises.

4(1)

4 As a further example of the application of Regulation 4(1), consider the

requirement of Regulation 15 that no lifting plant shall be used unless it has been
thoroughly examined by a competent person. If the owner of a berth hires out
the berth together with a crane to various stevedoring firms he must either take
responsibility for arranging for a thorough examination of the crane to be carried
out or advise the individual firms that this has not been done. The stevedoring firm
wishing to use the crane must ensure that their employees do not use it unless it
has been so examined and found to be safe for use.

Regulation
4(2)

(2) Subject to paragraphs (3) and (4), it shall be the duty of every employee
to comply with such of these Regulations as relate to the performance of or the
refraining from an act by him in the course of a dock operation.

Guidance

1 Regulation 4(2) places duties on employees, including certain peripatetic

workers who visit dock premises from time to time eg lorry drivers. It covers a
number of different situations - for example, a crane driver instructed not to lift a
particular load because it would overload a crane would be in breach of Regulation
13 by virtue of Regulation 4(2) if he did so. The duty on employees does not
affect the duty of employers in relation to the same matter, within the limits of their
control. Thus, while an employee has a duty to wear a safety helmet when it is
issued, in situations covered by Regulation 19, an employer also has a duty, within
the limits of his control, to require the employee to wear it.

4(2)
Regulation 4(3)

(3) Paragraphs (1) and (2) shall not apply to regulations 8(4), 17, 19(2) to (5), and
20, which expressly say on whom the duties are imposed.

Guidance 4(3)

1 Regulation 4(3) disapplies Regulations 4(1) and 4(2) from Regulations 8(4), 17,
19(2)-(5) and 20 because these themselves impose duties.

Regulation

(4) No duty imposed by these Regulations shall be placed upon (a) the master or crew of a ship; or
(b) any person employing the persons in sub-paragraph (a),

4(4)
Safety in docks

in relation to plant which remains on board the ship and any dock operation carried
out on the ship solely by the master or crew of the ship; and in this paragraph
master and ship have the meanings assigned to them by section 742 of the
Merchant Shipping Act 1894.
Page 15 of 103

Health and Safety

Executive

Guidance

1 The first objective of Regulation 4(4) is to exclude the master and crew of
ships as defined in the Merchant Shipping Act 1894, and any person employing
them, from duties imposed by the Docks Regulations 1988 in relation to the
provision of safe plant on a ship which forms part of the ships equipment. This
is because similar duties are placed on such persons by Merchant Shipping
legislation and this exclusion minimises overlap with the Docks Regulations.
Masters however do have duties under the Docks Regulations in relation to an item
of ships plant, for example a fork lift truck, if it is also used ashore. Any duty which
may fall on a master is also limited by Regulation 4(1) to matters within his control.
Duties placed on persons regarding stevedoring plant brought aboard the ship are
dealt with in Regulation 4(1) rather than Regulation 4(4).
2 The term master does not include a watchman or similar person who may
be the only person on board, and could therefore be considered to be in charge
of a ship.
3 The second objective of this Regulation is to exclude duties falling on the
master or crew of a ship in respect of dock operations carried out exclusively
by them aboard that ship; for instance where the crew of a barge-carrying ship
unloads the cargo of barges directly into the water without shoreside involvement
and the barges are subsequently towed away to be individually discharged at
a riverside berth. A further example where the Regulations do not create duties
concerns the transfer at sea in territorial waters of cargoes, ships stores or fuel
where only ships crew are involved. The Docks Regulations would however create
duties in a case where the crew of a ship were employed ashore to carry out a
dock operation eg loading ships stores, or where shore-based employees of a
shipping company carry out a dock operation.

4(4)

4 Where a loading or unloading operation involves a ships crew and shoreside

workers working together aboard ship eg ro-ro operations, the provisions of the
Docks Regulations will apply, thereby imposing duties, by virtue of Regulation 4(4),
on masters, crew and their employers, as well as the shoreside workers involved
and their employers.

Regulation

Regulation 5 - Planning and execution of work

Dock operations shall be planned and executed in such a manner as to ensure so

far as is reasonably practicable that no person will be exposed to danger.

ACOP

General

1 Systems of work directed at securing the health and safety of persons at

work should be developed and implemented for the handling of all goods as
defined in Regulation 2. They should be suitably modified to take account of any
new facilities which are introduced including plant, buildings and working areas.

Guidance

5
Safety in docks

2 Paragraph 1 of the ACOP deals with the development of systems. With few
exceptions, each dock will deal with a variety of types of cargo and ship but over
a period of time operations involving specific cargoes or ships will be repeated. It
is therefore desirable that records be maintained, perhaps computerised, so that
historical data can be used to analyse health and safety problems. These may
have been previously identified either with a view to avoiding accidents, dangerous
occurrences and near misses, or after such an event. Solutions found should also
be recorded, so that future operations can be carried out with a greater degree
of safety. Such records could include matters such as access problems, types of
plant needed, protective clothing requirements and any special hazards likely to be
found.
Page 16 of 103

Health and Safety

Executive

Guidance

5
ACOP
5
Guidance

5
ACOP
5
Guidance

Safety in docks

3 The interpretation of the term reasonably practicable is discussed at

paragraph 2 of the Guidance to Regulation 2. The general duty required under
Regulation 5(1) is for dock operations to be planned and executed so as to ensure
so far as is reasonably practicable that no person will be exposed to danger. This
means that those having control and therefore duties under Regulation 4(1) have to
take account of persons acting in a reasonably foreseeable way in circumstances
that may reasonably be expected to occur, so far as is reasonably practicable. This
will include amongst other things taking account of foreseeable vagaries in human
behaviour, for example carelessness, which could result in a person exposing
himself or others to danger. It does not include unforeseeably perverse behaviour. It
should also be remembered that Regulation 4(2) of the Docks Regulations imposes
certain duties on employees, as do sections 7 and 8 of the HSW Act.
4 Where two or more persons or corporate bodies exercise control over
matters subject to these Regulations, they should collaborate so as to ensure
that their duties in relation to those matters are discharged.
5 Paragraph 4 of the ACOP deals with collaboration in situations where two
or more persons exercise control over matters subject to the Regulations. A
typical example concerns ro-ro working where a ships crew, stevedores and lorry
drivers may be involved together. Strict procedures will need to be set up by the
participants and agreed by all concerned. Other examples are the operation of
exchange grids at container berths and heavy lifting operations where two or more
cranes may be involved in tandem lifting. In these cases it is necessary to establish
who is in control of each group and who is in overall control.
6 Where employees other than crew go aboard ships, each employer
should collaborate with the ships master and each other to ensure that their
respective duties are discharged. Throughout this Code of Practice, the term
master should be taken to include any ships officer in charge of the ship
during the absence of the master.
7 Paragraph 6 of the ACOP deals with collaboration between the ships master
and the employers of other persons who go aboard ship to ensure that their
respective duties to their employees are discharged. The persons concerned will
be those whose activities are linked with the dock operation and may include
those engaged in rigging, sampling or inspecting cargo or carrying out customs
and excise work as well as those directly involved in moving cargo. Matters on
which collaboration is necessary include access to the ship, access to the cargo,
prevention of persons falling from cargo, methods of working and selection of lifting
plant. In cases where a ship is a regular visitor to a port eg a cross channel ferry, it
may be possible for arrangements to cover all future visits. In cases where a vessel
makes a single visit, one-off arrangements for that visit will be necessary. Where
employees of one party operate plant belonging to another, those parties should
establish clear arrangements for the authorisation of drivers and operators required
by Regulation 11.
8 Collaboration will also be necessary during mooring and berthing operations.
This work is frequently carried out by boatmen who will handle the mooring
ropes from their own vessels and on shore. Matters to be considered include
the provision of adequate lighting (Regulation 6), safe access (Regulation 7) and
protective clothing (Regulation 19). Safe systems of work should be laid down to
cover mooring operations, and should include consideration of, for example, safe
construction and use of mooring equipment such as capstans and quick release
mooring hooks, clear identification of mooring points, and adequate means for
communicating with the vessel being serviced.

Page 17 of 103

Health and Safety

Executive

ACOP

5
Guidance

5
ACOP
5
Guidance

5
ACOP
5

9 Employers should make arrangements for dealing with any reports

of defects made to them by employees under Regulation 20. They should
modify the planning and execution of dock operations as may be necessary
in the light of reports of defects. If such a report relates to plant owned or
used by some other person, the employer should advise that other person of
the defect.
10 During the normal course of work it must be expected that defects will arise
and that employees are likely to be the first to spot these. Each employer will
need to set up an effective system to channel such reports to the appropriate
repair section and make the system known to his employees. He will also need
to plan for monitoring arrangements to ensure that the system remains effective.
In all but the most simple cases it will be necessary to employ a written system of
processing reports. The use of coloured decals on defect report forms may assist
in channelling the forms to the correct person or department.
11 There should be appropriate arrangements for dealing with emergencies
or other unexpected situations which may arise. Those concerned should be
appropriately instructed in advance.
12 The arrangements should include procedures for summoning emergency
services, details on the location and use of rescue equipment and sources of
information about dangerous chemicals. In most cases it will be appropriate for
the instructions to be in writing and so placed that necessary action can be taken
without delay. The Dangerous Substances in Harbour Areas Regulations 1987
and the Control of Industrial Major Accident Hazards Regulations 1984 contain
provisions relating to emergencies and may apply in dock premises.
13 Operational procedures should cater for lifting operations and should
include provisions to ensure that lifting and other necessary plant used
conforms to the requirements of these Regulations.

14 Paragraph 13 of the ACOP refers to the provision of suitable lifting plant.

Much useful advice is contained in BS 3010 (and BS 5744) about the selection
and use of appropriate cranes. The provision of appropriate lifting gear is no less
important.

ACOP

15 Operational procedures should be such as to minimise -

(a) the lifting of loads over persons;

(b) the lifting of loads over means of access, particularly means of access
to ships.

Guidance

Guidance

Safety in docks

16 Paragraph 15 of the ACOP draws attention to two practices presenting

particular dangers which should be avoided wherever reasonably practicable.
First, every effort should be made in planning and organising the work, and in
siting and rigging lifting appliances to avoid situations in which loads must pass
over areas where people are likely to be working or passing. This is particularly
important where loose material is being lifted in buckets or grabs. Where no
other arrangement is reasonably practicable, it will be necessary for the signaller
to ensure that all persons are clear before giving the signal to start. Second, it is
important to plan the siting of lifting plant and of a ships access in conjunction, so
that wherever reasonably practicable loads do not have to pass over the means of
access; and to arrange other access routes so that they pass clear of the area of
lifting operations wherever reasonably practicable. In particular, access about the
deck of a ship being worked should wherever reasonably practicable follow the
side of the ship remote from the operations.

Page 18 of 103

Health and Safety

Executive

ACOP 5

17 No hold should be left open for dock operations longer than is required.

Guidance

18 Paragraph 17 of the ACOP deals with the risk of falling into an open hatch.
While a suitable hatch coaming will prevent the fall of a person working at deck
level, it obviously cannot cope with the risk to a person performing tasks such as
rigging work on deck cargo, eg freight containers, above deck level. No person
should work above an open hatch in a position where he could fall through the
hatch, unless effective measures exist or steps are taken to prevent him falling eg
by means of a purpose-built rigging platform provided with suitable guard rails.

5
ACOP

5
Guidance

19 Operational procedures should include adequate arrangements for

landing cargo and for short and longer-term storage of goods including safe
stacking. Goods should be stowed on board ship in such a way that they
do not obstruct any regular means of access unless an alternative means of
access is provided.
20 Paragraph 19 of the ACOP deals with safe stacking and storage of goods.
Where freight containers are concerned these should be carefully stacked to ensure
that adjacent containers have compatible contents or are adequately separated.
They should be in line with one another and without overhang. Due consideration
should be given to the effect of wind, particularly where empty containers are
concerned, and where necessary they should be effectively locked together. Care
should be taken not to stack containers more than one high within 20 ft (6 m) of
an occupied building. Further guidance on container stacking is contained in HSE
Guidance Booklet HS(G)7 Container Terminals.
21 Special attention should be given to operations involving the handling of tank
containers and in particular, where they are only part full, to ensure that surge within
the liquid cargo does not bring about a dangerously unstable condition while they
are being moved. Lift trucks should only be involved in such operations when fitted
with top lift spreaders. A tank container should not be lifted directly by fork lift truck
using the fork arms because in addition to the stability problem, there is a risk that
the forks may damage the shell of the tank.
22 Where necessary, the safe level of floor loading of warehouses where
goods are stored should be established. Notices stating these levels should
be conspicuously posted and arrangements taken to ensure that they are not
exceeded. Such arrangements should include suitable stacking of goods and the
use of specific types of lift trucks which, when in the loaded condition, do not
cause excessive point loading of the floor.
23 When timber, particularly softwood, is required to be stacked on shore,
individual setts and stacks should be constructed to remain stable even in windy
weather. Care should be taken when removing setts from a stack to ensure that the
stability of the stack is not reduced. During such operations persons should not be
permitted to remain in or move into areas where they may be struck by a falling sett
or other objects dislodged for example by a lift truck.
24 Where materials are handled on overhead conveyors, steps should be taken
to prevent falling material striking people working or passing below. Any material
which falls to the ground and which could cause a hazard should be cleared up as
soon as reasonably practicable.

5
Safety in docks

25 Special care should be taken to minimise the risk to persons working in

confined areas where they may be trapped by the load of an adjacent lifting
operation. In particular, special care is needed where loading and unloading of open
topped freight containers and open back goods vehicles are concerned.

Page 19 of 103

Health and Safety

Executive

Guidance

5
ACOP

5
Guidance

5
ACOP
5
Guidance
5
ACOP

26 Where the temporary movement of cargo, for example during the restowing of
goods in a ships hold has led to the blocking of normal access ways, new access
routes may have to be created, and special attention should be given to ensuring
that these are safe, to meet the conditions laid down in the ACOP paragraph 19.
Collaboration may be necessary between the employers of shoreside employees
and the ships master to achieve this.
27 Operational procedures should include means for establishing the
correct gross weight of each load to be lifted. Where reasonably practicable
this information should be marked on the load together with any other
information necessary for its safe handling. Items, for instance machinery,
whether crated or not, with centres of gravity significantly away from their
apparent centres in any plane should be appropriately marked to facilitate
safe slinging, lifting and securing.
28 Paragraph 27 of the ACOP indicates that to enable adequate planning
and execution of cargo handling operations, each load to be lifted should where
reasonably practicable be marked with its correct gross weight and any other
information necessary for its safe handling. Such additional information should
include advice about the handling of end heavy or top heavy loads, about parts
of the load which should not be used as lifting points and about the method of
slinging to be used. Whenever possible, such markings should be of a pictorial
nature: advice on such symbols can be obtained from BS 2770. Persons providing
eyebolts on loads for lifting purposes and persons carrying out such lifting should
refer to BS 4278 Eyebolts for lifting purposes to assess suitability.
29 Where loads of significant weight are not marked with their weight,
and the weight is not easy to estimate, the loads should be check-weighed,
unless accurate information is available to determine their weight by
reference to the cargo manifest or otherwise.
30 Those undertaking dock operations may accept the declared weight on
the cargo manifest or shipping note as correct unless sighting of the load clearly
indicates that an error has been made in such a declaration or there is some other
reason to doubt its validity.
31 Operational procedures should be established to ensure that the floors
of containers or road vehicles are not dangerously overloaded when fork
lift or other trucks are operated inside them. These should include clearly
marking trucks and detachable accessories such as clamps with their
unladen weight.
32 Freight containers, lorries and trailers should be safely and securely
packed at the point of packing and should not be overloaded. In addition
vehicles carried as cargo and which are to be driven on or off a ship should
be safe to drive.

5
Guidance

5
Safety in docks

33 The safe system of work should include adequate arrangements for

any necessary checking, inspection or examination of goods that may be
required, including arrangements to ensure that the movement of the goods,
or any plant carrying them, does not put any person performing such an
operation in a position of danger.
34 Paragraph 32 of the ACOP specifies that freight containers should be safely
and securely packed. Advice on the safe and secure packing of freight containers
is given in BS 5073 Guide to stowage of goods in freight containers and in IMO/
ILO Guidelines for packing cargo in freight containers or vehicles (see Appendix 4).
The term safely includes compatibility. The safe packing of dangerous substances
Page 20 of 103

Health and Safety

Executive

Guidance

in freight containers is discussed in paragraph 87 of the Approved Code of Practice

Dangerous Substances in Harbour Areas which has been issued to give practical
guidance on the Dangerous Substances in Harbour Areas Regulations 1987.
35 The weight of the total load packed into the freight container together with the
tare weight of the container should not exceed the maximum gross weight given
on the Safety Approval Plate required to be affixed to the container by the Freight
Containers (Safety Convention) Regulations 1984.

36 The requirement to pack safely and securely each freight container, lorry and
trailer and to ensure it is not overloaded extends beyond the dock premises by
virtue of Section 36 of the HSW Act to those who carry out the packing operation.
In general it is not expected that the stowage in each container, lorry and trailer
should be physically checked by those handling it at dock premises. However
where there is reason to suspect that the stowage is not safe or secure or if there
is reason to suspect overloading, physical checks should be made.

ACOP

Deck cargo
37 The plan for the safe handling of deck cargo should be such as to
minimise the need for walking across or climbing on to that cargo, if this
involves an approach to the edge of a dangerous drop.
38 Work that does involve approach to an unprotected edge should be
so organised as to minimise the hazard of falling over the edge. Suitable
slip-resistant footwear should always be provided and used for such work,
which should not be permitted when weather conditions are unsuitable, such
as in strong winds or icy conditions. Where outriggers and safety nets are
provided, they should be used.
39 Except where adequate precautions have been taken to prevent injury,
no work should be performed on deck cargo adjacent to an open hatchway if
the work involves a person being in a position where he would be liable to fall
down the hatchway.

5
Guidance

Safety in docks

40 When cargo is built up in sections in the hold and there is a risk of

persons falling more than 2 m, suitable safety measures should be taken to
protect persons against such a fall.
41 Paragraphs 37 to 40 of the ACOP deal with work on top of deck cargo.
Where containers are involved, the system of work should be designed to limit
the need to work on container tops to the minimum possible. Where access
to the tops of containers is necessary, advice may be found in paragraph 5 of
the Guidance to Regulation 7(3), and paragraphs 3 and 4 of the Guidance to
Regulation 7(5).
42 Where deck stowage of timber setts and work at its open edges is involved,
the system of work should be such that work at the open edges is minimised. Preslinging of key setts located at the centre of each tier allows these to be removed
first so that discharge starts from the centre and progresses outward. Employees
are thus protected from falling by the edge setts. Removal of edge setts on each
tier should be left till last and removal can be achieved with minimum risk if they are
pre-slung. Where pre-slinging of these setts is not possible, the edge sett should
where necessary be dragged or moved inboard to eliminate the need for work at
extreme edges.

Page 21 of 103

Health and Safety

Executive

ACOP

Ships equipment

43 Regulation 23(a) provides that the requirements of the Factories

Act 1961 relating to machinery and hoists and lifts do not apply to ships
equipment. Nevertheless, without prejudice to the generality of Regulation
5, persons with duties under these Regulations must ensure that operations
which include the use of such machinery or plant are planned and executed
safely. It follows that the duty holders should make checks concerning the
safety of the plant, so far as it is within their control. In particular, before any
employer of shore workers authorises his employees to use ships gear, he
should arrange for it to be checked together with any associated certificates
of test or thorough examination. It should be noted that Regulation 14(2)
makes specific requirements concerning the safety of lifting appliances on
ships.

Guidance

44 Paragraph 43 of the ACOP relates to work with ships plant not subject to the
requirements of the Factories Act 1961. Examples of plant in this category include
cargo lifts and dangerous parts of machinery forming parts of deck-mounted
travelling cranes, ramps and other ships equipment. The planning should ensure
that the appropriate machinery or plant is safe to be used or operated before
permitting it to be so used or operated. Guarding should be in full compliance
with the standards of the Merchant Shipping (Guarding of Machinery and Safety of
Electrical Equipment) Regulations. Employers of shore-based employees should not
permit them to work in the vicinity of plant where guarding is below this standard.
Further advice about guarding of dangerous parts of machinery is contained in BS
5304 Code of practice for safety of machinery.

Regulation

Regulation 6 - Lighting

6(1)

(1) Each part of dock premises which is being used for dock operations shall be
suitably and adequately lighted.

ACOP

1 An average illuminance of at least 20 lux should be provided wherever

people are working, except in positions such as the cabs of cranes or
vehicles. In these cases a lower level of lighting would be acceptable and in
particular at night, artificial lighting inside the cab may be inappropriate since
this could interfere with the drivers vision. In certain places not normally used
for working such as culverts and other locations with restricted space, the
use of torches may be the only practicable means of lighting. Consequently it
may not be possible to achieve a lighting level of 20 lux in these situations.
2 An average illuminance of at least 5 lux should be provided at any
means of access to a place where work is going on or is to be done or
has recently finished, being a means of access which is not adequately
lit naturally and which is normally used by pedestrians. Means of access
normally used only by vehicles do not need lighting if the vehicles are fitted
with lights to vehicle construction standards.

6(1)

Safety in docks

3 The requirements of Regulation 6(1) will also be met, for access between
ship and shore and approaches thereto on board ship, by compliance with
the Merchant Shipping (Means of Access) Regulations (20 lux). For areas on
the ship, compliance with the Merchant Shipping (Safe Movement on Board
Ship) Regulations (20 lux for working areas, 8 lux for transit areas) will meet
the necessary standards.

Page 22 of 103

Health and Safety

Executive

ACOP

4 The lighting should be reasonably constant and uniform, minimising

sharp contrasts so far as is practicable. Lights, work and storage should be
arranged wherever practicable so that it is not necessary to work in deep
shadow.
5 The lighting should be adequate for accurate and safe movement and
working, and make any warning signs clear.
6 Lighting should be such as to enable obvious damage to or leakage
from packages to be seen.
7 Where there is a need to read labels or container plates or carry out
other work of short duration, either the general level of lighting should be
adequate and suitable to allow this, or other means should be provided such
as a torch or other portable lighting.
8 The lighting should enable colours to be distinguished, particularly
where colour is used as a means of conveying warnings. Examples include
coloured decals on containers, and pictorial signs.
9 The lighting should be so arranged as to minimise glare to persons
including those navigating ships and others working on the water.
10 Lighting should be properly maintained.

6(1)
Guidance

6(1)

Safety in docks

11 In addition to the examples given in paragraph 1 above, portable lighting

may be acceptable in other cases. These include places which are visited
infrequently for short periods such as remote parts of dock premises.
12 Regulation 6(1) requires that each place where employees go in the course
of their employment should be suitably lighted while dock operations are in
progress. The ACOP specifies average illuminances for both workplaces and
means of access and requires that the lighting should be reasonably constant
and uniform, minimising sharp contrasts. The levels of lighting specified were first
published in the ILO Code of Practice on Health and Safety in Dockwork in 1958
and were repeated in the 1977 edition. Particular hazards may need higher levels
of illumination and in some instances, where for example tables may have to be
read, supplementary means such as torches may be necessary. Road lighting
installations which comply with BS 5489 part 3 are likely to provide an adequate
standard of lighting for access on dock roads but additional lighting may be
necessary at danger points such as road junctions (but see also paragraph 2 of the
ACOP and paragraph 16 below).
13 Paragraph 3 of the ACOP refers to standards for lighting laid down in
Merchant Shipping Regulations. It should also be noted in the context of the
Docks Regulations that dock operations includes the embarking or disembarking
of a ships crew at dock premises as defined, even if at that particular time their
ship is not being loaded or unloaded. In this connection, the immediate shoreside
approaches to the means of access on to the ship should be lit as required by
Regulation 6(1) and to the standards set out in the ACOP. Ship-shore access and
areas on board ship should be lit according to the requirements of the Merchant
Shipping Regulations described above in paragraph 3 of the ACOP. The movement
of ships crew about dock premises generally, other than for the purposes of dock
operations, whilst not covered by the Docks Regulations, is subject to the general
requirements of the HSW Act.

Page 23 of 103

Health and Safety

Executive

Guidance

14 The standard of 20 lux referred to in paragraph 1 of the ACOP is applicable

wherever people are working, including designated trailer and lorry parking areas
where vehicle numbers need to be read or trailer landing gear operated.
15 Railway premises should be lit to a standard equivalent to that which would
apply if they were operated entirely by British Rail. In cases of doubt reference
should be made to HM Factory Inspectorate.
16 Means of access not normally used by pedestrians need not be provided with
permanent lighting arrangements, but where necessary, alternative arrangements,
such as the provision of torches, should be made by the employer. Where vehicles
are required to have lights to the standards demanded on public roads, it will not
be necessary to provide permanent road lighting where a road is used only by
vehicles so lit.
17 Another exception to the general guidance set out in paragraph 1 of the
ACOP applies in the case of gig boatmen and others working on the water, where
an average illuminance of 20 lux may be impossible to achieve, and might also
impair necessary night vision.
18 Paragraph 2 of the ACOP specifies that an average illuminance of at least 5
lux should be provided at any means of access. When the means of access is a
vertical ladder or a staircase, eg a ladder or staircase leading to a crane cab, the
lighting should be such that the illumination of all parts of the ladder or staircase
is not less than an average illuminance of 5 lux. In the case of certain quayside
and other outside ladders, it may not be practicable to achieve this. Under these
circumstances, the best lighting which is practicable should be provided. It is not
expected that quayside ladders will be equipped with their own shoreside lighting.
Where these are used for access to vessels, however, lighting will be required, but
this will generally be provided by the ship.
19 Paragraph 3 of the ACOP and paragraph 13 above explain the requirements
in merchant shipping legislation which will apply on board ship. Compliance with
these is particularly important in the case of hatchways and holds.

6(1)

20 Guidance on instrumentation and techniques for measuring lighting levels in

dock premises is given in Appendix 7.

Regulation
6(2)

(2) Every obstacle or hazard in dock premises which is likely to be dangerous

when vehicles, lifting appliances or people move shall be made conspicuous by
means of colouring, marking, lighting, or any combination thereof.

ACOP

1 The phrase likely to be dangerous applies to obstacles of whose

presence the driver, operator or pedestrian is unlikely to be aware, or which
may be encountered unexpectedly. It would not be expected to refer to
commonplace items such as buildings, bollards, kerbs and so forth which are
routinely found on dock premises.
2 Hazard includes only matters which, while not strictly obstacles, cause
danger when vehicles, lifting appliances or persons move, such as, for
example, a spillage of oil on a roadway. It does not apply to other matters
such as the use of a defective lifting appliance.

6(2)

Safety in docks

3 Where signs are used, these should comply with the Safety Signs
Regulations 1980.

Page 24 of 103

Health and Safety

Executive

6(2)

4 Regulation 6(2) requires that obstacles or hazards in dock premises which

are likely to be dangerous to pedestrians or the drivers of vehicles should be
made conspicuous. Obstacles or hazards include road crossings, excavations,
blind bends in roadways, lamp standards and lighting towers, and rubbish skips
which are sited in such positions on the access route that they are liable to cause
accidents. Where obstacles need to be marked and lit for drivers, consideration
should be given to the position of the driver in relation to the ground, his vehicle,
and the background to ensure the effectiveness of the measures taken. In certain
cases, barriers may also be required, for example, to clearly mark and protect
excavations. Except where cargo is so located that it might cause an accident
unless made conspicuous, this Regulation does not apply to cargo in cargo
handling and storage areas set aside for the purpose.

Regulation

Regulation 7 - Access

Guidance

7(1)
ACOP

7(1)
Guidance

7(1)
Safety in docks

(1) Subject to paragraph (2), there shall be provided and properly maintained
safe means of access to every part of dock premises which any person has to
visit for the purpose of dock operations, and in particular floors, decks, surfaces,
stairs, steps, passages and gangways comprised in dock premises shall not be
used unless they are of adequate strength for the purpose required, of sound
construction and properly maintained.
1 Regulation 7(1) requires safe means of access to workplaces and
working positions. This includes access on to plant on shore (including hired
plant) by operators or for maintenance, and to other places employees may
need to visit such as canteens and other welfare facilities, offices, etc. It
also covers safe means of access for crew, passengers, and other persons
who have business in connection with dock operations, to any place that
their business may take them, including ships, ships holds, waiting rooms,
refreshment and toilet facilities.
2 The requirements of Regulation 7(1) will also be met in the case of
access on board ship by compliance with the Merchant Shipping (Safe
Movement on Board Ship) Regulations, and access to ship or ship to ship by
the Merchant Shipping (Means of Access) Regulations.
3 Safe means of access is required under Regulation 7 not merely for employees
who are in the course of their employment as judicially defined, but for all employees
who are properly proceeding about the dock premises, and for all other persons,
including members of the public, whose presence is connected with the dock
operations whether they are passengers or crew, relatives of passengers or crew
visiting them, policemen, firemen, inspectors, chandlers or any other person. Means
of access provided by one employer for the use of another are included (see also
paragraph 3 of the Guidance to Regulation 7(5)). Members of the public whose
presence is unconnected with the operations are not covered by these Regulations.
Section 3 of the HSW Act would apply however. The provision of safe means of
access on to and about ship is dealt with in the Merchant Shipping (Means of Access)
Regulations and the Merchant Shipping (Safe Movement on Board Ship) Regulations
respectively. Shoreside employers have a duty to ensure that such accesses provided
for use by dock workers are in fact safe. BS 4211 and BS 5395 are appropriate
standards for access by plant operators, or maintenance staff, to plant on shore.
4 It is recognised that in certain emergency situations where immediate action is
essential it may not be possible to provide access to the highest standards which might
normally be expected. The access should however be safe within the constraints of the
situation and the employer should be able to demonstrate this.
Page 25 of 103

Health and Safety

Executive

ACOP

Pedestrian walkways on shore

5 Pedestrian walkways should where necessary and possible be separate
from roadways and other established routes used by vehicles, and from other
moving plant.

7(1)
Guidance

7(1)
ACOP
7(1)
Guidance

6 Pavements should be provided alongside busy roads on at least

one side. Where walkways are provided in working areas, they should be
delineated by painted lines or otherwise.
7 Whenever possible, walkways which are not totally separate from roads as
specified in paragraph 5 of the ACOP should be at a higher level than the roadway
to reduce the risk of contact between traffic and pedestrians. At dock premises
where this cannot be achieved, walkways should where possible be provided,
conspicuously marked and routed to minimise the risk to pedestrians.
8 When considering the provision of separate walkways, an assessment should
be made taking into account the following factors; vehicle size, driver vision, volume
of road and pedestrian traffic, restricted nature of the site and width of route and
the possibility of exclusion of people from the route. All busy roads should have a
pavement on at least one side unless pedestrian traffic is minimal. It is not normally
expected that separate pedestrian footpaths would be required in working areas
where of necessity the pattern of vehicle movement and cargo storing varies and
prevents the marking of fixed routes, eg cargo transit sheds and quays where
break bulk cargoes are handled. It is, however, normally expected that provision
would be required on linkspans and similar routes shared by pedestrians and
vehicles. Vessel loading points adjacent to linkspans and similar routes should be
designed to reduce, so far as is reasonably practicable, the risk of pedestrians from
traffic movement, as required by Regulation 12(2).
9 Pictorial signs should, where necessary, be used to indicate walkways.
The Safety Signs Regulations 1980 contain requirements relating to such
signs.
10 Paragraph 9 of the ACOP refers to the need to mark walkways with pictorial
signs. The Safety Signs Regulations 1980 impose requirements concerning the
colour and shape of such signs. A suitable formula which can be used to determine
the size of the sign in relation to distance is:
A is the area of the sign in square metres
L is the greatest distance in metres from which the sign
must be understood
This can be used for distances up to about 50 m.
11 Safety information is best conveyed by standard pictorial signs, but where it is
necessary to use a written instruction on such signs, consideration should be given
as to how the information is to be transmitted to non-English-speaking persons.
This may be achieved by making available to the master of each visiting ship a
sketch of the port or terminal showing the main access route(s) and translations of
written guidance in appropriate selected languages.

7(1)
Safety in docks

12 In certain circumstances the requirements concerning means of access may

conflict with established rights of way. Where difficulties arise, guidance should be
sought from the local HSE Area Office (see Appendix 5). Where such rights of way
are sited so that they could place members of the public who use them in danger,
the Local Authority should be asked to consider a realignment of the right of way.
Page 26 of 103

Health and Safety

Executive

ACOP 7(1)

13 Where walkways cross roadways used regularly by vehicles, suitable

markings should be used.

Guidance

14 Paragraph 13 of the ACOP deals with situations requiring the use of suitable
markings where walkways cross roadways. The objective of such markings can
be either to indicate preferred routes and to convey a warning rather than to
give precedence to either pedestrians or vehicles; or, alternatively, such markings
may take the form of zebra crossings giving precedence to pedestrians. The
approaches to such crossings should also be marked to warn vehicles of danger
ahead. Where zebra crossings and other road markings are provided in pursuance
of this Regulation, road users including both drivers and pedestrians have a legal
duty to cooperate in their observance. Where the Road Traffic Acts also apply, such
markings may have specific statutory force under that legislation.

7(1)
ACOP 7(1)

15 At blind corners or entrances where there is a danger that pedestrians

may step straight on to a roadway into the path of oncoming vehicles,
suitable barriers should be installed.
16 Walkways should if possible be so laid out that they do not cross freight
container handling areas. If it is necessary that they do, then they should be
carefully designed and laid out so as to provide safe access.
17 Walkways leading to ships should wherever practicable reach the ships
access without passing beneath overhead operations.

7(1)

18 Paragraph 16 of the ACOP deals with the provision of walkways in relation

to container handling areas. Advice on how this can be achieved safely is given
in Guidance Booklet HS(G)7 Container Terminals. Alternative means of access
include the use of internal buses.

ACOP 7(1)

Access to ships

Guidance

19 Access should generally be provided by the ships accommodation

ladder or by the ships gangway in accordance with the Merchant Shipping
(Means of Access) Regulations. The use of shore-based equipment may be
appropriate in certain cases (see paragraph 21 below). In some situations,
where no more suitable means of access is reasonably practicable, ladders
may be used, in accordance with Regulations 7(3), 7(4) and 7(5).
20 Accommodation ladders or gangways should be properly rigged and
secured, and deployed at a safe angle as specified in the Merchant Shipping
(Means of Access) Regulations. All necessary facilities and arrangements
should be provided on shore to enable this to be done.
21 Shore-based equipment which provides a standard at least as safe as
a properly rigged and secured ships accommodation ladder or gangway
should be provided and used if necessary, where the use of ships equipment
is impossible or unsafe, especially where ships decks are significantly below
or above the level of the quay, wharf, dock or jetty.
22 Each end of a gangway or accommodation or other ladder should
provide safe access to a safe place, or to an auxiliary safe access. Where
necessary, bulwark ladders should be provided, securely rigged and used.
23 Where no safer means of access can be provided, a system of fixed
ladders should be provided on shore where there is regular need for them.
Any such ladders should be adequately protected from damage by ships, by
recessing, fendering or otherwise.
Safety in docks

Page 27 of 103

Health and Safety

Executive

ACOP 7(1)

24 Where means of access passes over water and there is a significant risk
of a person falling into the water and drowning from or at either end of the
means of access, or from the quayside or ships deck immediately adjacent
to the means of access, suitable safety nets should be securely rigged so as
to minimise this risk. Suitable and sufficient attachment points for nets should
be provided.
25 Ramps which are used by vehicles should not be used also for
pedestrian access unless there is suitable segregation of vehicles and
pedestrians, whether by providing a suitable protected walkway or by
ensuring that pedestrians and vehicles do not use the ramp at the same time.

Access between ships

26 Where access between ships is necessary, the access should generally
be provided by the ship lying outboard, except that where there is a great
disparity in freeboard, access should be provided by the ship with the higher
freeboard. Such access should be to the standard set out in paragraphs 17
and 19 to 24 above.
27 Rope ladders should only be used for the purpose of providing access
between a ship with high freeboard and a barge or similar ship with low
freeboard. They should be fitted with sound treads which provide a slipresistant foothold of not less than 115 mm by 400 mm, and which are so
secured that they are firmly held against twist, turnover or tilt. They should
be fitted with spreaders which are properly secured, at least 1.8 m long, and
spaced at intervals of not more than nine treads.

Guidance

7(1)
Safety in docks

28 Paragraphs 19 to 27 of the ACOP should be read in conjunction with the

provisions of the Merchant Shipping (Means of Access) Regulations. The obligation to
provide, rig, secure and maintain in position ships gangways, accommodation ladders,
and other ladders falls on the master and his employer under those Regulations. Where
access is provided by the ship, the duties of other (shore-based) persons are limited
under the Docks Regulations to checking that the access as provided is in conformity
with these paragraphs and is safe to use; and where it is not safe, ensuring that
persons to whom a duty is owed under the Docks Regulations do not in fact use it.
Where access is provided by the shore, however - whether by agreement or because
the ships access is inadequate or unavailable - the duty to rig and maintain in position
that access, so that it meets these standards and is safe, falls on the person providing
it. This does not however include the situation where a gangway or other physical
means of access is simply lent or loaned by a shoreside employer to the master for use
as ships equipment so long as the ship is moored. In this case access will be deemed
to have been provided by the ship, and the rigging and maintenance in position of that
access will fall to the master, although the shoreside employer will have a duty under
Section 6 of the HSW Act to supply the equipment in a safe condition. Gangways and
accommodation ladders should, where it is appropriate, be marked with the maximum
design angle of use and the maximum safe loading both by number of persons and by
total weight.
29 Paragraph 25 of the ACOP deals with suitable segregation of vehicles and
pedestrians on ramps used as access to ships. Such segregation can be achieved
by a separate walkway which may be either a pavement or protected by a suitable
barrier, or by ensuring that pedestrians and vehicles do not use the ramp at the same
time. This could be achieved by not allowing any vehicle to move until the passengers
have all disembarked, a temporary halt to vehicle movements to allow pedestrians safe
passage, or moving passengers through the area by vehicle. Whenever possible, the
use of such ramps for pedestrian access should be avoided, and such access should
be routed via a separate gangway or accommodation ladder.
Page 28 of 103

Health and Safety

Executive

Guidance

7(1)

30 Paragraph 27 of the ACOP gives details of the use and construction of rope
ladders. Each spreader should be of one piece and secured to the back of the
tread by means of countersunk brass screws, or other equally safe and suitable
fixings, in such a way that it extends for an equal length on either side of the
ladder. The ladder should be so rigged that the treads are horizontal and the two
suspension ropes are properly secured to the ship and are of equal tension. Further
information on this matter is contained in the ILO Code of Practice Safety and
Health in Dockwork.

ACOP

Access to ships holds

7(1)

31 The Merchant Shipping (Safe Movement on Board Ship) Regulations lay

down suitable standards for access to ships holds, compliance with which
will meet the requirements of this Regulation.

Guidance

7(1)

32 The Merchant Shipping (Safe Movement on Board Ship) Regulations also lay
down standards for access to ships plant and impose duties on the owner and
master of the ship accordingly. The duty of the shoreside employer will be limited to
ensuring that such accesses to ships holds and plant are safe for his employees to
use. Where shoreside employers elect to provide their own access, they accept all
the duties to provide safe means of access in accordance with Regulation 7(1) and
paragraph 31 of the ACOP.

ACOP

Access across cargo

7(1)

33 Cargo is not part of dock premises, and so not subject to the

requirements in Regulation 7(1). Nevertheless any access required across
cargo should be as safe as possible in order to comply with Section 2 of the
HSW Act and with Regulation 5. See paragraphs 37 to 40 of the ACOP to
Regulation 5.

Guidance

7(1)
Regulation
7(2)
ACOP

7(2)

Safety in docks

34 Paragraph 33 of the ACOP deals with the risk of persons falling where they
need access across cargo stows within ships holds. Where such situations are
encountered an assessment should be made to determine the best practicable
means of preventing falls. It is not possible to generalise, but some examples are
given as follows. In break bulk cargo ships, suitable means could include nets, lines
or fencing. In certain cases it may be possible to equalise the levels of the stow. In
other cases, it may be possible to adjust the method of work to avoid danger. The
use of safely anchored fall arrest equipment may be appropriate in some situations.
A further alternative would be to construct a walkway across the cargo.
(2) So far as is reasonably practicable, all floors, decks, surfaces, stairs, steps,
passages and gangways in dock premises shall be kept free from any substance or
obstacle likely to cause persons to slip or fall or vehicles to skid.
1 Where reasonably practicable, those parts of dock premises which have
been used for working ships should be cleared of loose material. In addition
such materials should be cleared at appropriate intervals in the course of
working each ship.
2 Suitable measures should be taken to prevent any surface used by
vehicles from becoming slippery. Slopes and ramps should have a suitable
surface which should where necessary be ribbed or coated so as to be slipresistant. Where surfaces nevertheless become slippery, they should be
salted, sanded, or otherwise suitably treated so as to ensure that vehicles
can move safely and be adequately controlled.

Page 29 of 103

Health and Safety

Executive

ACOP

7(2)

3 Suitable arrangements so far as reasonably practicable should

also be made to deal with slippery surfaces on pedestrian walkways by
salting, sanding, the use of absorbent material, sweeping and cleaning as
appropriate, depending on the nature of the problem such as ice, oil spillage,
etc. Where leaks of slippery substances are likely to occur, suitable drip-trays
should be provided in safe positions, or other safe arrangements made, so
that any leak does not endanger persons on foot.

7(2)

4 Paragraph 2 of the ACOP details measures to be taken to prevent roadways

and ramps used by vehicles from becoming slippery. Where such surfaces
nevertheless do become so slippery as to be dangerous, or when salting or some
other method is used to deal with ice, vehicles should be kept off the surface
concerned until the ice has melted, or any other method has taken effect. Where
steps are subject to regular tidal cover, they should be kept as slip-resistant as
reasonably practicable.

Regulation

(3) Portable ladders shall not be used as a means of access to -

Guidance

(a)
(b)
(c)
(d)

7(3)
ACOP

ships;
holds;
freight container stacks on board ships; or
a vertical stack of three or more freight containers on dock premises
which are not part of a ship,

except where no other safer means of access is reasonably practicable.

1 Portable ladders may be used to gain access to the tops of container
stacks one or two high on the shore, provided that they are safely deployed
and secured. For access to the tops of container stacks three or more high,
suitable special equipment should be used rather than portable ladders
wherever reasonably practicable. On board ship, portable ladders should
not be used for access to the tops of container stacks of any height except
where no safer means is reasonably practicable.
2 Suitable access platforms or cages which can be lifted on to container
stacks by crane should be provided for access to container tops where
reasonably practicable. Where this is not reasonably practicable, portable
ladders may be used.

7(3)
Guidance

7(3)
Safety in docks

3 When container ships are not equipped with suitable rigging platforms,
suitable platforms or cages, lifted by crane and designed for use between
container aisles, should where reasonably practicable be provided and used
for rigging work.
4 Regulation 7(3) requires that in certain cases notwithstanding the requirement
to provide a safe means of access to places of work, portable ladders should be
used only where no more secure means of access is reasonably practicable.
5 Where access to the tops of containers is required portable ladders which
are safely deployed and secured are equally as acceptable as other means for
access to stacks on the shore no more than two high. Alternative means may
consist of the use of a purpose designed access platform or cage raised by a
suitably adapted lifting appliance (eg a crane), platform steps, or personnel or
work platforms or cages lifted by fork lift truck (see HSE Guidance Note PM 28).
On board ship, especially purpose built container ships, it may be difficult or
impossible to deploy and secure a portable ladder as discussed in paragraph 4
of the Guidance to Regulation 7(5), especially from deck to cargo. Where this is
the case, and where it is reasonably practicable to do so, shipboard lashing and
Page 30 of 103

Health and Safety

Executive

Guidance

7(3)

securing arrangements should be such that the personnel concerned with the work
of lashing or securing do not need to use portable ladders. This could be achieved
by the provision of lashing platforms forming part of the ships superstructure or
by use of personnel cages or platforms on or suspended from the lifting appliance
serving the ship. Ideally, the best securing arrangement is one which requires no
manipulation after the containers have been stowed, such as a deck cell guide
system.

Regulation
7(4)

(4) All ladders (whether portable or not) shall be of good construction, sound
material, of adequate strength for the purpose for which they are used, free from
patent defect and properly maintained.

ACOP

7(4)

2 Every rung of a ladder should be properly fixed to the stiles or sides. No

ladder should be used in which any rung depends for its support solely on
nails, spikes or similar means of fixing.

Regulation

(5) A ladder shall not be used unless -,

7(5)
ACOP

7(5)
Guidance

7(5)

Safety in docks

No ladder should be used in which a rung is missing or defective.

(a) effective measures are taken to prevent it from slipping or falling; and
(b) it extends to at least 1 metre above the place of landing to which it
provides access, or there is other adequate handhold.
1 In all cases where a ladder is used as a means of access to a working
position, or for work, the ladder should be of such a kind and so used as to
provide a means of access that is safe in the particular circumstances of its
use.
2 Where a portable ladder has to be used for access to containers for
rigging or other work, arrangements should be made for such use to be at a
safe angle only, and to prevent ladder movement.
3 Where portable ladders are used, effective measures should be taken to
prevent slipping. Paragraph 1 of the ACOP states that they should be of a kind
and so used as to conform to sound practice and provide a safe means of access.
The responsibility for complying with Regulation 7(5) rests with the individual using
the ladder, for example, a lorry driver sheeting a load, and his employer. Where
a means of access is provided by one employer for the use of another, then
both employers have a duty to ensure that the access meets the requirements
of Regulation 7 although the primary duty to provide safe access in this type of
situation eg a portable ladder for access to loads on lorries, rests with the employer
of the person needing to gain access.
4 Where there is a regular need for a portable ladder it may be possible to
devise a particular design to suit the circumstances. In some instances, splayed
stiles at the base of the ladder can be beneficial, equally in other situations,
opening out the stiles at the top can enable the individuals to walk through more
easily to get to the site of work. Slip-resistant feet should normally be fitted to the
ladder. For safe use, the ladder should be standing on a secure base equally and
properly supported on each stile. The ladder can be prevented from slipping either
by securing it or by another person stationed at the base holding it or footing it.
The ideal angle of use of a ladder is at an approximate inclination of 4 vertical to 1
horizontal. Where portable ladders are used for access to ships holds, they should
be so placed as to minimise the risk of damage to them from cargo handling
operations.

Page 31 of 103

Health and Safety

Executive

Regulation

(6) There shall be secure and adequate fencing at the following places where
persons are engaged in dock operations, that is to say (a) every break, dangerous corner and other dangerous part or edge of a
dock, wharf, quay or jetty;
(b) every open side of a gangway, footway over a bridge, caisson or dock
gate; and
(c) any other place not being a quay or jetty where any person working or
passing might fall a distance of more than 2 metres,

7(6)

except in so far as such fencing is impracticable because of the nature of work

carried out there and either the work is in progress or there is a short interruption
for a meal or other purpose.

ACOP

Fencing should be provided in three cases -

(a) at all dock, wharf, quay or jetty edges from which persons may fall into
water, and (i) they must pass within 1 m of the edge, or
(ii) the configuration of the quay or the arrangement of walkways is
such that they are more than ordinarily liable to fall over such an
edge.
(b) throughout every open side of narrow access ways, whether the fall
would be into water or not.
(c) at every edge, other than those specified in sub-paragraphs (a) and (b)
above where a person might fall more than 2 m. This requirement will
apply to edges on ship and shore. In particular, it applies to ships holds
down which a person might fall. However, in the latter case, where the
nature of the work prevents such fencing, it need not be provided or
erected while the work is being done, or during a short interruption in
that work. It should however be replaced once the work is completed.
Fencing under (a) is not required at straight and level quaysides.

7(6)
Guidance

7(6)
Safety in docks

The provisions of this paragraph do not apply to areas not used for dock
operations where persons do not work nor have access to their work.
2 Regulation 7(6) deals with the fencing of open sides from which there is a risk of
falling. In the case where the possible fall would be more than 2 m onto a hard surface
on land, the traditional approach set out in other safety legislation, of requiring every
such open side to be fenced, is adopted. Where the possible fall would be into water
and where there is a straight and level quayside then fencing is not required. However,
where a person is required to be close to the edge (eg where a footway crosses a lockgate), or is directed to be close to the edge (eg where a footway is close to the edge
of a quay), or where the configuration of the quay is not straight (eg where there are
breaks or corners), the risk is considered to be such that a higher standard is adopted
and fencing must be provided. It should be noted that the legislation as a whole will not
apply to docks or parts of docks which are no longer used for dock operations and
fencing will not therefore be required for those parts. In this connection, berths or docks
used exclusively for laying up vessels should not be considered as dock premises.
3 Paragraph 1(c) of the ACOP explains that the provisions do not apply to edges
which by virtue of the nature of the work in progress must remain unfenced during that
work. This will extend to short breaks in the work including mealtimes; but after work
has totally ceased for the day, the fencing should be replaced.

Page 32 of 103

Health and Safety

Executive

ACOP
7(6)
Guidance

4 Secure fencing should consist of an upper rail at a height of 1 m and

an intermediate rail at a height of 0.5 m. The rails may where necessary
consist of taut wire, taut chain or other taut material. Where existing fencing
complying with the Docks Regulations 1934 has been provided, this need not
be replaced while it remains secure and adequate.
5 Paragraph 4 of the ACOP specifies what constitutes secure fencing. In
particular, this should comprise an upper and an intermediate rail. When it is not
possible to provide such rails (eg on cargo stowage in a ships hold), other fencing
such as netting or wire should be erected so as to achieve the same purpose.
Advice on the provision of edge barriers to prevent vehicles running over edges is
contained in paragraph 32 of the Guidance to Regulation 12(2).
6 Maintenance may need to be carried out in places where edge fencing is
always impracticable (for instance on the roof of a drivers cab of a container crane).
In such cases other precautions, such as the use of safety harnesses, should be
taken to ensure safe working and compliance with the HSW Act.
7 Paragraph 4 of the ACOP also refers to existing standards of fencing under
the Docks Regulations 1934. In summary, these were

7(6)

(a) All breaks, dangerous corners and other dangerous parts or edges of a dock,
wharf or quay, and both sides of footways over bridges, caissons and dock
gates, to a height of not less than 2 feet 6 inches (760 mm) (Regulation 1) and
(b) At hatches where the coaming was less than 2 feet 6 inches (760 mm) high,
and the hatch was not securely covered, to a height of 3 feet (920 mm)
(Regulation 37).

ACOP 7(6)

8 Fencing should be securely constructed so that it can sustain the weight

of persons falling against it, and should be maintained.

Regulation

Regulation 8 - Transport by water

8(1)

(1) No vessel shall be used to transport a person at work to or from any working
place unless the vessel is safe.

ACOP

1 This Regulation applies only to vessels used to carry persons from

one part of dock premises to another (including ships loading or unloading)
specifically to enable them to take part directly in dock operations, or to
return them from undertaking such work. It does not include vessels not used
for such purposes, such as tugs, conservancy launches and vessels carrying
pilots.

8(1)
Regulation

(2) Without prejudice to the generality of paragraph (1) vessels used for this
purpose shall be (a)
(b)
(c)
(d)
(e)
(f)

8(2)

Safety in docks

of a sound and suitable construction;

properly equipped;
properly maintained;
in the charge of a competent person;
neither overcrowded nor overloaded; and
subject to paragraph (3), currently certified as suitable by a competent
person in a certificate containing such particulars as are approved in
writing for the time being by the Health and Safety Executive for the
purposes of this regulation.

Page 33 of 103

Health and Safety

Executive

ACOP

1 Vessels used should provide adequate and sufficient shelter, should

have seating, heating and ventilation sufficient for safety, appropriate
navigational equipment according to the conditions prevailing and the length
of the journey, and should always be equipped with adequate life-saving
appliances.
2 Vessels used should be subject to a system of thorough examination
and certification by a competent person (often but not always a marine
surveyor) who should determine the period of validity of the certificate. The
certificate should contain particulars approved by HSE.
3 Vessels should not carry more persons than the number specified in the
certificate, nor should they carry materials or equipment in such quantities as
to affect the safety of the vessel.
4

8(2)
Guidance

8(2)

All limitations in a certificate should be observed.

5 Vessels should be in the charge of a competent person, who should hold

a Boatmans Licence issued by the Department of Transport as described in
Merchant Shipping Notice M1036, or any succeeding notice which replaces
it, or other licence or certificate appropriate to the circumstances.
6 Persons in charge of smaller vessels such as inflatable craft and dinghies
may have written authorisation based on proven knowledge, competence and
experience. Where they have been authorised to operate such a class of vessel for
a period of at least 2 years before the coming into operation of these Regulations
they may be regarded as having satisfied the requirement for competency, unless
there is reason to believe otherwise.
7 Smaller vessels of the type mentioned in paragraph 6 will probably not be
licenced by the Department of Transport, but Harbour Authorities, for example, may
issue licences which meet the requirements of this Regulation. Whatever form the
certification takes, it should contain the approved particulars required by Regulation
8(2)(f) and set out in a Certificate of Approval (see Appendix 12), unless a certificate
has been issued under section 271 of the Merchant Shipping Act 1894 as set out
in Regulation 8(3). The degree of competency required will be related to the size
and type of vessel involved.

Regulation
8(3)

(3) Paragraph 2(f) shall not apply to a vessel in respect of which there is in force
a certificate as to a survey carried out pursuant to section 271 of the Merchant
Shipping Act 1894.

Regulation 8(4)

(4) The current certificate referred to in paragraph 2(f) shall be kept by the owner
of the vessel.

ACOP

1 Certificates should be kept available for inspection. Inspectors have

powers to require the production of such documents, and in addition safety
representatives are entitled to see relevant documents under Regulation 7(1)
of the Safety Representatives and Safety Committees Regulations 1977. If
possible certificates should be posted on the vessels to which they refer.

8(4)

Safety in docks

Page 34 of 103

Health and Safety

Executive

Regulation

Regulation 9 - Rescue, life-saving and fire-fighting

equipment, and means of escape
All dock premises shall be provided with adequate and suitable (a) rescue and life-saving equipment;
(b) means to effect escape from danger; and
(c) fire-fighting equipment,

which shall be spaced at intervals that are reasonable in all the circumstances and
be properly maintained.

ACOP

Rescue from isolated positions

1 Where a person works in an isolated position such as a crane cab or
deep bulk cargo hold consideration should be given to (a) means of rescue should that person be injured or collapse while at
work;
(b) the possibility of that person being trapped.

9
Guidance

Where necessary a plan to effect his rescue should be prepared, published,

and practices should be arranged from time to time. Any equipment needed
to implement the plan should be kept readily available and maintained in
good condition. Such arrangements should form part of the planning required
by Regulation 5.
2 Paragraph 1 of the ACOP refers to rescue from isolated places. Examples of
isolated places include deep holds of bulk carriers, cabs of ship - and large shore
-cranes where there is only one access/egress route, lighting pylons etc. Rescue
plans should give consideration to how this can be achieved in the most extreme
cases ie where the person to be rescued is injured and perhaps unconscious or
unable to help himself.

3 Where special equipment is needed for rescue, this should be located in a

prominent position or stored in an appropriate place so as to be readily available for
use. In the latter case, persons responsible for rescue should be made aware of the
storage location. Training in the use of the equipment should be given to those who
may need to use it for rescue. Rescue systems should be rehearsed at appropriate
intervals.

ACOP

Rescue from drowning

4 The Regulation requires the provision of means to assist persons to
rescue themselves from drowning, and also provision for other persons to
rescue those in danger without endangering themselves. The means should
include (a) handholds on the quayside at water level (at any state of the tide),
(b) ladders on quay walls,
(c) life-saving appliances.

9
Safety in docks

At jetties or quays the edges of which are fenced throughout to the standard
required by Regulation 7(6), the provision of life-saving appliances will
generally suffice, unless the general public has access to them or there are
particular reasons to anticipate a risk of persons falling over these edges
which is comparable with the risk at unfenced edges.
Page 35 of 103

Health and Safety

Executive

ACOP
9
Guidance
9
ACOP

9
Guidance

9
ACOP

9
Guidance

9
ACOP
9

Safety in docks

5 Where a fixed quay is not involved, eg in a ship-to-ship operation, the

provision of fixed ladders or handholds is not reasonable because it is not
technically possible. However, it is important that adequate and suitable lifesaving appliances are available.
6 Regulation 9 requires that appropriate measures for the rescue of persons in
danger shall be provided and maintained. It should be noted that the Regulations
do not apply to disused or redundant docks but in these cases, where persons
need to approach the waters edge, Sections 2, 3 and 4 of the HSW Act will apply.
7 Some quays may be so constructed that the actual structure provides
handholds. In deciding whether these are adequate, account should be taken
of the fact that a person supporting himself in the water by them is likely
to be cold, shocked, exhausted and possibly injured. Handholds should
therefore be suitable for use in such a situation. They may take the form of
chains, fibre ropes, rubber tyres, fenders or other suitable material hung from
the quayside. They should be protected if possible to avoid damage both to
and from ships.
8 Handholds can be provided in a variety of ways. Ropes can be strung
between ship mooring bollards so as to reach the water, but if there is a substantial
tidal range these may not provide an adequate handhold at all states of the tide. In
this case, the handholds afforded by quayside ladders may be adequate at extreme
states of the tide. Ropes, chains or old tyres can be suspended vertically from
bollards and other suitable suspension points. Where smooth ropes are used, the
addition of regular large knots will assist a person in the water. Equally, chains with
rings inserted at regular intervals will also provide a better grip. Baulks of timber
can be fixed to float at the waters edge. Where there are false quays in enclosed
docks, ropes or chains should be strung across horizontally at water level so as to
prevent a person being taken under the quay. In many cases it may be possible to
use fenders.
9 Each ladder should be suitably protected against accidental damage,
and should enable a person who reaches it to climb from the water to the
quay. It should extend to 1 metre below the water line at any foreseeable
state of the tide (or to the sea/river bed where there is less than 1 metre of
water at the foot of the quay at low water). Suitable hand-grips will need to
be provided on the quayside, which should be so designed that they are not
readily obstructed by ice or dirt. They should also be recessed or positioned
so as to prevent tripping hazards.
10 Ladders should be provided on any structure at the waters edge from which
persons may fall into deep water. This includes quays, jetties, and dolphins. Some
large mooring buoys may need similar provision. Ideally, the ladders should form
part of the original construction, and be fitted in a suitable recess in the face of the
quay, to protect them from damage by ships and small boats. Alternatively, they
may be protected by timber baulks. The protected recess thus formed should be
between 0.5 m and 1 m wide. A handhold is needed on the quayside in front of
the ladder. This handhold should be so designed that it does not form a tripping
hazard, and such that it does not collect water or dirt. Access is improved if the top
rung of the ladder is slightly stepped in. The lowest foreseeable state of the tide
may be the Lowest Astronomical Tide (LAT).
11 At all new quays ie those constructed or reconstructed after 1 January
1989, handholds and ladders should each be at intervals not exceeding 30 m,
with handholds approximately midway between each pair of ladders, so that
there is either a handhold or ladder at least every 15 m.

Page 36 of 103

Health and Safety

Executive

ACOP

12 At existing quays, the following may be considered reasonable intervals

for the provision of ladders and handholds (a) Where the design of the quay is such as to provide convenient protected
positions for the installation of ladders, they should be installed at
intervals which do not exceed 50 m and intermediate handholds should
provide a means of support at intervals not exceeding 25 m; or
(b) Where the quay is not so designed, ladders should be installed at
intervals not exceeding 85 m and intermediate handholds should provide
a means of support at intervals of approximately 30 m; or
(c) Where dock operations are not normally carried out, or only very
infrequently, and the quay is not equipped with ladders to the above
standards, suitable portable ladders should be provided and securely
placed fore and aft of each ship when it has moored to work.
13 Life-saving appliances should be conspicuous. They should be provided
at intervals no greater than 100 m. A suitable life-line of a length adequate
for the circumstances of the dock should be attached to each life-buoy or
a separate throwing line should be provided. All such appliances should
be kept readily accessible. Draglines should not be considered as rescue
equipment.
14 Where life-buoys are provided they should meet either of the standards
set out in Schedule 11 to the Merchant Shipping (Life-Saving Appliances)
Regulations.

9
Guidance

15 The requirements of Regulation 9 will also be met in the case of ships

by life-saving appliances provided in accordance with the Merchant Shipping
(Life-Saving Appliances) Regulations.
16 What is a suitable life-saving appliance will depend on the circumstances. In
some situations, particularly where there is a strong tide or current, a throwing line
and appliance may be appropriate either in addition to or in place of a conventional
life-buoy. Instructions for the use of each life-saving appliance should be given or
displayed.

17 Paragraph 13 of the ACOP refers to the siting of life-saving appliances at

intervals no greater than 100 m. On some quays, eg container berths, there is no
alternative to having the appliances positioned on the quayside cranes. If in the
normal course of events this means that the intervals between appliances is less
than 100 m, additional precautions will not be required if, on occasion, cranes
bunch together on the quay and create gaps greater than 100 m. Where there are
no quayside cranes, use should be made of suitably placed permanent fixtures
such as lighting standards. If no such possibilities exist, each appliance should be
sited on an upright pole suitably designed and protected from damage and marked
in an appropriate colour. In some circumstances, it may be necessary to have
portable equipment which can be sited as the work dictates.

ACOP

Means of escape

18 The Dangerous Substances in Harbour Areas Regulations 1987 and the

Fire Certificates (Special Premises) Regulations 1976 govern the provision of
means of escape in specified situations where the process creates a special
hazard by the presence of significant quantities of highly flammable and other
hazardous materials. The Fire Precautions Act 1971 governs the provision
of means of escape in and from buildings subject to the Act, to a place of
safety.

Safety in docks

Page 37 of 103

Health and Safety

Executive

ACOP

9
Guidance

19 At all other parts of dock premises adequate and suitable means of

escape from fire, including means for ensuring that the means of escape can
be safely used, should be provided. Such means of escape should be kept
free from obstruction and be properly maintained. Account should be taken
particularly of any ship repair work which may be taking place while dock
operations are being carried out.
20 Means of escape should be planned to offer a clear choice of escape
route in substantially different directions in order that a person can walk away
from the fire or other danger during his escape. Each such alternative route
should lead to safety and should be separated by position from other routes,
so that a fire which is preventing escape along one route does not impede
progress along another.
21 Paragraphs 18 to 20 of the ACOP deal with means of escape in case of
fire. Specific advice in cases where bulk flammable liquids and gases are handled
is contained in HSE Guidance Note GS 40 The loading and unloading of bulk
flammable liquids and gases at harbours and inland waterways. In these and all
other cases it is important to involve the local fire authority in discussion aimed at
ensuring that adequate fire-fighting provision is made and that the dock layout is
such that people do not become trapped by fire. Wherever practicable at least two
alternative routes should be provided.

22 Liaison with the emergency services is also desirable to ensure that they
are aware of the likely problems which they may encounter in the event of a fire
or other emergency occurring. The need for clear access for emergency service
vehicles is one such consideration.

ACOP

Fire fighting
23 The Dangerous Substances in Harbour Areas Regulations 1987 and the Fire
Certificate (Special Premises) Regulations 1976 govern, in specified situations,
the provision of fire-fighting appliances where the process creates a special
risk by the presence of significant quantities of highly flammable, oxidising or
explosive materials. The Fire Precautions Act 1971 governs the provision of such
appliances in buildings subject to that Act. Equipment provided in accordance
with the requirements of the relevant legislation referred to earlier in this paragraph
will meet the terms of this Regulation. At parts of dock premises not covered by
these particular provisions, first-aid fire-fighting equipment only need be provided
to the extent necessary to ensure safe escape from danger. The requirements of
Regulation 9(c) will be met, in the case of ships, by the provision of fire-fighting
equipment in accordance with the Merchant Shipping (Fire Appliances) Regulations,
and/or the Merchant Shipping (Fire Protection) Regulations.
24 The equipment should be suitable for fighting a fire involving the sort of
combustible material commonly stored, or in transit, or waste material, and should
be marked to indicate its type and the correct method of application.

9
Guidance
9

Safety in docks

25 The equipment should be capable of being brought rapidly into use and be
adequate to enable a fire in its early stages to be extinguished or controlled until
the arrival of the fire brigade.
26 Paragraphs 23 to 25 of the ACOP deal with the provision of suitable firefighting equipment. This should be marked to indicate its type and proper
application. An appropriate colour scheme for fire extinguishers is shown in the
following table:

Page 38 of 103

Health and Safety

Executive

Guidance

Identification colour

Extinguishing medium

Red

Water

Black

CO2

Blue

Dry powder

Cream

Foam

Green

Vaporising liquids

27 When fire-fighting equipment is left in the open air it should be physically

protected from the effects of the weather and where necessary against frost.

28 The emergency plans referred to in paragraph 11 of the ACOP to

Regulation 5 which have been prepared by port authorities should take
account of potential fire risks on board vessels, particularly those associated
with hazardous cargoes.

Regulation

Regulation 10 - Hatches, ramps and car-decks

10(1)

(1) A hatch covering shall not be used unless it is of sound construction and
material, of adequate strength for the purpose for which it is used, free from patent
defect and properly maintained.

ACOP

1 Broken, split, or otherwise defective hatch covers and beams should not
be used.

ACOP

2 All hatch covers and beams should only be used if they are a good
fit, and overlap their end supports to an extent which is adequate but not
excessive.

10(1)
Guidance
10(1)
Regulation

10(2)
ACOP

10(2)

Safety in docks

3 The requirements of Regulation 10 regarding the provision of suitable

hatch coverings on ships will also be met by compliance with the Merchant
Shipping (Hatches and Lifting Plant) Regulations.
4 The shoreside employers duties under Regulation 10(1) are limited by
Regulation 4(1) to those matters within his control, ie an assessment of the
condition of a hatch covering based on what can be seen and examined, and any
appropriate enquiries of the master.
(2) A hatch covering shall not be used unless (a) it can be removed and replaced, whether manually or with mechanical
power, without endangering any person; and
(b) information showing the correct replacement position is clearly marked,
except in so far as hatch coverings are interchangeable or incapable of
being incorrectly replaced.
1 Where possible and appropriate, hatch covers should be mechanically
handled.
2 Lifting appliances should be capable of being attached to hatch covers
from a safe position and without a person being exposed to the dangers of
either falling or being trapped.

Page 39 of 103

Health and Safety

Executive

ACOP
10(1)

3 It should be possible to handle hatch covers in a safe manner and from

a safe position if they are to be removed by hand. Such covers should be
provided with adequate hand grips which should be properly maintained.

Regulation 10(3)

(3) A hatch shall not be used unless either the hatch covering has been
completely removed or, if not completely removed, it is secure.

ACOP 10(3)

1 All beams that remain over hatches while work proceeds below should
be securely pinned, lashed, bolted or otherwise properly secured.

Guidance

2 Regulations 10(2) and 10(3) set down conditions which must be met before
a hatch is used. It is essential that both the ships crew and the shore gang
responsible for working the hatch are clear as to who controls the hatch at any
particular time. In particularly complex cases, it may be appropriate, in order to
ensure effective collaboration, for a system of written handover procedures to be
introduced.

10(3)

3 Paragraph 1 of the ACOP refers to the need to ensure that beams remaining
in place are secured before work starts under them. Where a beam may appear to
be tightly wedged in place, this should not be construed as secure. Such beams
have been known to come out of their socket when hit and they should still be
pinned, lashed etc as applicable.

Regulation 10(4)

(4) A hatch covering shall not be replaced contrary to information showing the
correct replacement position.

Regulation 10(5)

(5) A load shall not be placed on a hatch covering if it is likely to affect the safety
of the hatch covering or endanger any person.

ACOP

1 Hatch coverings should not be used in the construction of deck or cargo

stages, or have loads placed upon them for any other purpose which would
be liable to damage them.

10(5)

2 Loads should not be placed on hatch coverings without the authority of

a ships officer who is competent to make such a decision.

Regulation

(6) Except in the event of an emergency endangering health or safety, no

(a)
(b)
(c)
(d)

10(6)
ACOP
10(6)
Guidance

10(6)
Safety in docks

ships ramp or door associated with a ships ramp;

power-operated hatch covering;
retractable car-deck; or
shore-based ramp,

shall be operated in the course of a dock operation except by a person authorised

to do so by the person in control of that operation.
1 No mechanical hatch cover, ships ramp (including any internal movable
ships ramp) or retractable car-deck should be operated for the purpose of
opening it, closing it, or adjusting it, other than by or under the direction of a
ships officer who is competent to carry out such an operation.
2 Paragraph 1 of the ACOP refers to the need for certain equipment to be
operated by or under the direction of a ships officer. The ships officer may
delegate this duty to another person provided that he is satisfied that the other
person is competent in that respect. The term competent may be interpreted as
meaning that the person concerned has the necessary theoretical and practical
knowledge and experience to understand, and take action to avoid, dangers which
might arise in the use of such equipment.
Page 40 of 103

Health and Safety

Executive

Guidance
10(6)

3 Where a dock worker is involved in operating equipment under the direction

of a ships officer, he has a duty to cooperate in following instructions regarding the
use of such plant.

Regulation

Regulation 11 - Drivers of vehicles and operators of

lifting appliances

11(1)
ACOP

11(1)
Guidance

(1) Subject to paragraph (6), no powered vehicle shall be driven, or powered

lifting appliance operated, by an employee in the course of dock operations unless
he is authorised to do so by his employer.
1 Regulation 4(1) puts a duty on employers and others having control to
comply with Regulation 11 (1) by preventing unauthorised employees from
driving any powered vehicle or operating any powered lifting appliance.
Similarly, Regulation 4(2) puts a duty on each employee not to drive a
powered vehicle nor to operate a powered lifting appliance unless he has
been so authorised.
2 Regulation 11 deals with the authorisation, competence, training and fitness
of drivers of powered vehicles and operators of powered lifting appliances which
are being used for dock operations. Authorisation is therefore required not only
for cargo handling but incidental matters such as operational maintenance (see
paragraph 3 of the Guidance to Regulation 2(1)). The requirement does not apply to
wheelbarrows, hand barrows, manual lifting appliances etc.
3 Regulation 11(1) requires that no person should drive or operate plant of the
type covered by this Regulation unless his employer has authorised him to do so.

11(1)
ACOP

11(1)
Guidance

11(1)
Safety in docks

4 The authorisation should be for a specific type or class of vehicle or lifting

appliance. For example, with lift trucks, there could be separate authorisations
for basic trucks (say up to 5 tons in rated capacity), heavy duty trucks, container
handling trucks, sideloaders and for special applications such as clamp trucks.
Where specific makes of a type or class are substantially different, there may be a
need to authorise separately for each make.
5 Where an employee drives a vehicle on dock premises and he holds an
appropriate valid licence for driving that class of vehicle on a public highway,
his employer may take this as sufficient evidence of training and fitness. This
is subject to the provisos that simple enquiries do not reveal any reason to
believe that the employee should not be so authorised, and that he remains
fit and competent to drive the vehicle concerned. Vehicles used in the course
of a dock operation include vehicles carried as cargo.
6 Any person driving a vehicle on dock premises only to visit or pass
through the premises, or to travel on board ship with that vehicle, does not,
by virtue of Regulation 11(6), need to be authorised for the purposes of this
Regulation.
7 Paragraphs 5 and 6 of the ACOP deal with two situations where a person
drives a vehicle and holds a valid driving licence. Where a dock worker is driving
import/export vehicles on and off ships, for example, authorisation is required. His
employer may however take the fact that the dock worker holds an appropriate
valid driving licence as sufficient evidence of his training and fitness to authorise
him, provided that he remains fit and competent. Where however a driver is at work
but is merely visiting dock premises eg delivering or removing goods in the course
of his work, calling at offices as a company representative for a shipping agent or
Page 41 of 103

Health and Safety

Executive

Guidance

11(1)
ACOP

11(1)
Guidance
11(1)

other organisation, or as the driver of a commercial road vehicle which is to be

carried as cargo on a ship, authorisation is not required. Vehicles on dock premises
not being driven in the course of a dock operation are of course not subject to the
Regulations and the question of authorisation does not arise, although other legal
provisions may be relevant. Drivers who are not at work are not covered by this
Regulation at all - see paragraph 1 of the Guidance to Regulation 11(6).
8 The performance of drivers and operators who are authorised should
be monitored to ensure that they remain fit (paragraph 4 of the ACOP to
Regulation 11(2)) and competent (paragraph 12 of the ACOP to Regulation
11(4)) for continued authorisation.
9 Where persons have been regularly authorised to drive a type of
vehicle or operate a class of lifting plant in dock premises for a period of
at least 2 years before the coming into operation of these Regulations,
the authorisation may be continued under this Regulation and considered
to satisfy the requirements for fitness (Regulation 11(2)), and training and
competence (Regulation 11(4)). Before doing so, however, a brief assessment
should be made to ensure that there are no significant gaps or deficiencies
in training which require action. Where persons are not actually engaged in
driving vehicles or operating lifting appliances at the time these Regulations
come into force (1 January 1989), authorisations based partly or wholly on
previous experience should be made at the latest within one year of this date,
or before they are required to carry out such work, whichever is the sooner.
10 Paragraph 9 of the ACOP deals with the authorisation of persons who have
driven vehicles or operated lifting plant before the Regulations came into force.
An appropriate assessment would normally comprise a brief appraisal of an
individuals records as they relate to his fitness, competence and training.

Regulation 11(2)

(2) A person shall not be authorised under paragraph (1) to drive a vehicle or
operate a lifting appliance unless he is fit to do so.

ACOP

1 Persons selected to drive vehicles or operate lifting appliances in docks

should be free from physical defects that might pose a threat to (a) their own health or safety; or
(b) the safety of others who might be affected by their involvement with
such plant.
2 In considering fitness, employers or dock operators should take account
of general health, vision, hearing, and any specific disorders which might
affect a persons ability to operate the plant safely, whether temporarily or in
the long term.
3 Before any person is authorised under Regulation 11(1), the physical
requirements of the particular task or the range of tasks concerned should be
analysed, so that his fitness for the work can be properly assessed.

11(2)
Guidance
11(2)
Safety in docks

4 Employers and terminal operators should ensure that supervisors are

alert to observe any obvious signs which may indicate a deterioration in the
fitness of an individual to operate such plant.
5 Regulation 11(2) deals with the fitness of persons authorised to drive vehicles
or operate lifting appliances. Employers should assess the fitness of persons they
propose to authorise in relation to the work to be carried out, and should have
arrangements for regular monitoring of that fitness. Therefore, before making
any such authorisation, employers should, where necessary, arrange a medical
Page 42 of 103

Health and Safety

Executive

Guidance

examination in accordance with the recommendations below. The degree of fitness

required will vary considerably with the type of plant eg the standard of fitness
required for an individual driving a straddle carrier is likely to be considerably higher
than for operating a link span which may only require the operation of a simple
control to cause either upward or downward motion of a piece of plant. This may
lead to the conclusion in certain cases that a medical examination is not required in
order to authorise a person to carry out a particular function. Equally, the degree of
competency and training required will vary according to the particular task. These
matters are discussed in more detail in the paragraphs which follow.
6 The examination should be performed by a qualified medical practitioner with
suitable occupational health experience and should take account of Appendix 8
and any other current medical guidance issued by HSE. Following the examination
the medical practitioner should be in a position to advise the employer of the
employees fitness to drive a vehicle or operate a lifting appliance for the purposes
of dock operations.
7 In broad terms the examination should be directed at general health, vision,
hearing and any specific medical disorders which might affect a persons ability
to operate the plant safely. Detailed standards of fitness will, however, vary with
different types of plant because of increased risks to safety with some equipment
and extra physical demands on the operator with others. The medical practitioner
should be aware of the physical requirements of the particular task or range of
tasks on which the individual is to be engaged. An analysis of these physical
requirements should be undertaken by the employer, preferably in consultation with
the medical practitioner, who can relate the assessment of fitness to the work to be
undertaken.
8 The fitness of drivers and operators to control vehicles and lifting appliances
should always be judged on an individual basis. However, as indicated in paragraph
6, in assessing an individuals fitness, medical practitioners should pay particular
attention to the advisory standards set out in Appendix 8. This should be regarded
as updating guidance published in HSE booklet HS(G)7 Container Terminals.
Fitness should relate to the ability of drivers and operators to operate particular
plant safely. The assessment should take into account any temporary impairment
eg the effects on the driver or operator of a virus infection. On the other hand, an
obvious defect such as the absence of a limb may not in itself render an operator
unfit.
9 An initial screening such as by a confidential health questionnaire should be
undertaken. At the discretion of the medical practitioner, this and other routine
tests, eg vision, hearing, respiratory function, can be carried out by a nurse who will
report the findings to the medical practitioner. The report, however, should be made
by the medical practitioner who may need to carry out a fuller examination to reach
a decision.
10 The reason for applying the medical criteria should be made clear to the
individual at the outset. The medical practitioner should report his opinion to the
individuals employer. In most cases a statement as to the fitness or unfitness of
the person will suffice. Details of any medical condition should remain confidential,
but if it is deemed necessary that such information should be disclosed, this should
only be done with the informed agreement of the individual, unless a Court orders
otherwise. All medical records relating to assessments of fitness should be retained
under the charge of the medical practitioner, and appropriate measures taken to
guard the confidentiality of these records.

11(2)
Safety in docks

11 Where persons continue to be employed in driving or operating plant they

should be re-examined at appropriate intervals. These intervals will depend on
Page 43 of 103

Health and Safety

Executive

Guidance

individual circumstances, but should not be more than five years. Re-examination
should also be undertaken following serious/significant illness or injury. A
system should be adopted whereby prolonged or repeated absences from
work attributable to illness or injury are brought to the attention of the medical
practitioner. In addition, all reasonable requests by the individual concerned for
re-examination should be met. Re-examination should also be undertaken if the
employer has any doubt as to the continuing fitness of the individual to drive or
operate plant.
12 Where there is disagreement between an employer and an employee
about the employers assessment of the employees fitness following a medical
examination, a second opinion should be obtained. In case of difficulty, reference
may be made to the Employment Medical Advisory Service.

11(2)
ACOP
11(2)
Guidance

11(2)

13 Although there is no duty to provide occupational health services in the

docks industry the existing occupational health services will greatly facilitate the
application of the guidance detailed above and in Appendix 8.
14 Employees should report to their employers any serious illness, accident
or other circumstance which is clearly liable to affect their fitness, and any
medically certified unfitness, in order to comply with their duty to co-operate
with their employers under section 7(b) of the HSW Act.
15 Section 7(b) of the HSW Act requires every employee while at work, as
regards any duty or requirement imposed on his employer or other person, to cooperate with him to enable those obligations to be met. An employee who has
been authorised under Regulation 11(1) should report to his employer matters
which may affect his driving even if this is a short term problem. This will include
complete unfitness to drive as well as unfitness to do certain work. A visit to an
optician which results in a new prescription for spectacles may not need to be
reported to the employer if the new spectacles are successful in rectifying a sight
defect when worn. On the other hand an employee who needs to wear spectacles
for driving and attends work without them or loses them at work may be regarded
as unfit until he recovers them and wears them. Many medicines including those
prescribed for minor ailments cause drowsiness in some cases. If so affected, a
driver should report the matter to his employer.

ACOP
11(2)

16 Any employee whose ability to drive a vehicle or operate a lifting

appliance appears to be temporarily impaired by alcohol or other drugs
should be considered unfit while that impairment lasts.

Guidance

17 Such impairment should similarly be reported by the employee to his

employer. Employers or HM Inspectors of Factories are not expected to undertake
tests of the type carried out by the police as part of their procedures under the
Road Traffic Acts. The employer is responsible for authorising drivers and where
necessary withdrawing that authorisation when available evidence supports
this action. It is expected that unions, whose members could be at risk from
drivers who are temporarily impaired, will work together with management to
set up agreed local procedures to deal with individual cases where withdrawal
of authorisation is considered necessary. Supervisors and local managers would
be expected to use their judgement and experience in determining whether an
individual driver or operator was impaired by alcohol or drugs. It is not expected
that medical examinations or instruments will need to be used in this situation,
although an opinion from a second person may sometimes be useful. However, it
remains for management to make the decision whether the individual should be
permitted to continue.

11(2)

Safety in docks

Page 44 of 103

Health and Safety

Executive

ACOP 11(2)

18 Paragraph 9 of the ACOP to Regulation 11(1) gives guidance where a

person was authorised before these Regulations came into force.

Regulation

(3) Without prejudice to the generality of the preceding paragraph, a person shall
be deemed to be unfit for the purpose specified in that paragraph if he is certified
as so unfit by a registered medical practitioner.

11(3)
Regulation

(4) A person shall not be authorised under paragraph (1) to drive a vehicle or
operate a lifting appliance unless (a) he is competent to do so;
(b) he has been appropriately trained; and
(c) in the case of a lifting appliance, he is over 18 years of age or is a
serving member of Her Majestys Forces,

11(4)

except where he is undergoing a suitable course of training under the proper

supervision of a competent instructor.

ACOP

1 Training should be directed at the particular category of vehicle to be

driven or lifting appliance to be operated.

11(4)
Guidance

11(4)
Safety in docks

2 Training should consist of theoretical instruction to the extent necessary

to enable the trainee to appreciate the factors affecting the stability and
safe operation of the plant, and their relative importance; and of practical
work with appropriate plant under supervision. In general, each operation
should be introduced stage by stage, demonstrated by the instructor and
practised by the trainee before progressing to the next stage. Where there
is a nationally or locally recognised training course for the category of plant
concerned, the driver should if practicable attend that course.
3 Regulation 11(4) and the ACOP to this Regulation deal with the skills necessary
for driving. It calls for training directed at particular categories of vehicle or plant (see
paragraph 4 of the Guidance to Regulation 11(1)) and covers the situation where a
person has been selected for training but is as yet not fully trained. The initial stages
of training should be carried out on open ground to minimise risk in the event of a
trainee losing control of his machine. The training system should ensure that, where
an instructor can safely ride with a trainee and take over in a case of emergency,
this is done. Close control of training by an instructor should not be removed until
the instructor is satisfied that the trainee has demonstrated his ability to operate
the machine safely including emergency stop procedures. Trainees operating or
controlling machines during initial training must not at any time be unsupervised.
When supervision at a distance is appropriate in the latter stages of training, an
efficient system of communication by audible or visual signals between the instructor
and trainee must be properly established before this stage of training is commenced.
4 Situations may arise where an item of mobile plant or a vehicle arrives at the
port or terminal, either as an import or an export cargo and where it is not reasonably
practicable for the stevedores to have a fully trained driver of the appropriate category
immediately available. To anticipate these circumstances, prior arrangement should
be made for one or more experienced and competent drivers at the port or terminal
to be additionally trained in plant appreciation for the purpose of moving such
appliances. Where it is necessary for such an appliance to be driven, sufficient time
and where practicable sufficient space around the appliance should be allowed for
the driver to assimilate the action of the controls and carry out limited manoeuvres
before he is required to engage in full scale driving of the appliance. Where necessary
during such operations, there should be adequate arrangements to exclude
pedestrians from the area directly adjacent to the appliance to be moved.

Page 45 of 103

Health and Safety

Executive

Guidance

5 Training courses are available in most parts of the country and those operated
by the NDLB are tailored to suit the needs of the docks industry. Other training
courses may suffice but their content should be in line with that contained in the
appropriate NDLB course. Where there is no nationally or locally recognised training
course available it is expected that in most cases the employer will set up his own
training arrangements. The last sentence of paragraph 2 of the ACOP should not
be construed as meaning that the absence of a recognised course permits the
employer to apply lower standards of training.
6 A nationally recognised fork truck driver training scheme is contained in the
booklet Selection and basic training of fork truck operators prepared by the
Joint Committee of Industrial Training Boards (JCITB) and published by the Road
Transport Industry Training Board (RTlTB) (This booklet is currently being updated
and will be reissued as Recommendations for the training of lift truck operators
and instructors by the JCITB).
7 HSE Guidance Note GS 39 Training of crane drivers and slingers includes
advice on the selection and basic training of crane drivers.

11(4)
ACOP

11(4)
Guidance

11(4)
ACOP
11(4)
Guidance
11(4)
Safety in docks

8 An employer who proposes to send an employee who has no current

driving licence to a driver training course should consider the application of the
Road Traffic Acts to the dock premises concerned. If the Road Traffic Acts apply,
the employer will need to know whether that employee will be able to obtain a
licence for driving the vehicle for which he is to be trained on a public highway. For
example, a driver who remains disqualified for a road traffic offence or offences
cannot be authorised to drive a vehicle as defined in the Regulations on parts
of dock premises which are subject to the Road Traffic Acts. On parts of dock
premises not subject to the Road Traffic Acts, such drivers may be authorised
to drive but the employer will need to take full account of the disqualification. An
employee who drives dock vehicles should inform his employer of any relevant
disqualification.
9 After training, each person should undergo a test, and should be given a
certificate if he passes that test (whether or not he also receives a certificate
of attendance). The certificate should specify the type of vehicle or appliance
on which the test was carried out.
10 The arrangements made for selection, training and authorisation of
persons to drive vehicles or operate lifting appliances should take account of
the fact that some persons may not be able to absorb the training given and
therefore may not become competent.
11 The need referred to in paragraph 9 of the ACOP for undergoing a test after
taking the training course is designed to ensure that those who do not complete
the course and those who are unable to assimilate the training do not pass out as
drivers. Employers may wish to consider some form of pre-course test to ensure
that resources are not wasted on employees who are unlikely to qualify as drivers
or who are patently unsuitable.
12 The requirement for competence further implies that employers should
have a system for assessing and routinely monitoring the competence of
persons so employed. Supervisors and managers should maintain a general
overview of their drivers capabilities.
13 It is expected that supervisors and local managers will regularly monitor driver
and operator performance. This should include periodical checks on driver and
operator competence which may lead to refresher courses and further tests in
certain cases.
Page 46 of 103

Health and Safety

Executive

ACOP

11(4)
Guidance

11(4)
ACOP
11(4)
Regulation
11(5)
ACOP

14 For a person under 18 years of age undergoing an apprenticeship

or course of training to operate a lifting appliance, the degree of direct
supervision required should be related to the trainees experience, perceived
competence and the nature of the appliance on which he is being trained.
Any work he carries out should be part of his training. A course of training is
not suitable if it contains work which is assessed for payment on the basis of
piece rates or contains incentives or other bonuses which are related to the
amount of work done.
15 Regulation 11(4) requires that no person should be authorised to operate
a lifting appliance whilst under the age of 18 years but there is an exemption for
serving members of HM Forces. The ban is limited to lifting appliances and does
not extend to vehicles. This is to take account of the fact that young personnel can
obtain a driving licence under the Road Traffic Acts at an earlier age and may drive
certain classes of vehicle as part of their work within docks.
16 Engineering apprentices under the age of 18 years may be required as part of
their training to work on and subsequently test small lifting appliances such as fork
lift trucks. Where the apprentice is under supervision such work should be regarded
as subject to the exception in Regulation 11(4).
17 Paragraph 9 of the ACOP to Regulation 11(1) gives guidance on
assessing training and competence where a person was authorised before
these Regulations came into force.
(5) Every employer shall keep a record of the names of his employees who drive
powered vehicles or operate powered lifting appliances in the course of dock
operations, and such a record shall contain particulars of any relevant training
provided by that employer.
1 Employers should keep records of training and testing of drivers and
operators.
2 Employers who authorise their employees to drive vehicles or operate
lifting appliances should keep written records, which should take the form of
a list of employees and the plant each is authorised to drive or operate. Each
authorisation should generally be for a set period, until the driver or operator
is reassessed, rather than for a particular occasion.

11(5)
Guidance
11(5)
Regulation
11(6)

Safety in docks

3 Authorisations should either be individually issued in writing to drivers

and operators, or kept as clear written records as in paragraph 2 above.
In the latter case, the written records should be readily accessible to the
appropriate supervisors so that they can readily confirm whether or not a
particular individual is authorised.
4 One of the objects of the requirement in Regulation 11(5) to keep written
records of authorisations is to prevent a person without specific authorisation
subsequently claiming implied authorisation. It is in the interests of both employer
and employee that the system agreed for authorisation leaves no possible doubt in
the minds of the persons concerned.
(6) This regulation shall not apply to employees who drive vehicles on dock
premises only in the course of visiting or passing through the premises or for the
purpose of travelling on board a ship with that vehicle.

Page 47 of 103

Health and Safety

Executive

Guidance

11(6)

1 Regulation 11 does not apply to drivers who are not at work, but who may
be on dock premises either to travel on ferries or similar ships with their vehicles,
the dock premises forming a link between the ship and the public highway, or to
meet persons so travelling. Regulation 11(6) excludes from the requirement for
authorisation drivers who are employees but not dock workers and are merely
visiting or passing through dock premises. See also paragraph 6 of the ACOP to
Regulation 11(1).

Regulation

Regulation 12 - Use of vehicles

12(1)

(1) Vehicles used by employees or self-employed persons in the course of dock

operations shall be properly maintained.

Guidance

1 Regulation 12 is concerned with the use of vehicles. This includes both the
condition of the vehicle and the surface on which it operates. A mobile crane
being driven on dock premises is regarded as a vehicle for the purposes of these
Regulations. Regulations 12(1) and 12(3) do not apply to vehicles in a non-work
situation eg private cars being driven by their owners and going on board a ro-ro
vessel, although where it comes to the port operators attention that an unsafe
vehicle is being driven in dock premises, he should, as the person in control, take
appropriate measures to prevent this. Also, they do not apply to vehicles which are
not being driven eg vehicles being carried on break-down trailers.

12(1)
ACOP

12(1)
Guidance
12(1)
ACOP

12(1)
Guidance

12(1)

Safety in docks

2 The requirement for maintenance means that each vehicle must be

kept in good working order, in an efficient state and in good repair. This
implies more than merely repairing defects as they become apparent
through malfunction. The vehicle owner or user should undertake systematic
preventive maintenance in accordance with the manufacturers instructions.
This should include regular routine inspection by a person competent to
assess whether the vehicle is safe for continued use. The inspections should
be at intervals related to the character and usage of the vehicle.
3 Such a person should have sufficient practical and theoretical knowledge,
and actual experience, of the vehicles involved to enable him to detect defects or
weaknesses and to assess their importance in relation to the purposes for which
the vehicle is to be used.
4 For certain categories of vehicle, for example, import/export trade
vehicles, the person in control of the supply of the vehicles, whether the
manufacturer, shipping agent or other person, has a duty to ensure that any
vehicle which is intended to be driven in dock premises is maintained in a
safe condition. The duty of the port operator is limited by Regulation 4 to
matters within his control as regards whether any particular vehicle is safe to
move.
5 For vehicles being carried as cargo, the primary responsibility for their
maintenance in a safe condition rests with the supplier, whether this is the
manufacturer, shipping agent or other person. Where the supplier is not located
within the dock premises concerned the requirement concerning maintenance
of such vehicles will still apply to the supplier by virtue of Section 36 of the HSW
Act. Port operators should instruct their employees to be alert to obvious matters
which might cause problems. If it is known that vehicles are being delivered to dock
premises with a recurring problem, such as defective brakes, and the vehicles are
to be driven, it is expected that action would be taken to approach the supplier,
who should be required to take the necessary action.

Page 48 of 103

Health and Safety

Executive

Guidance
12(1)

6 Where provisions of the Road Traffic Acts apply in dock premises, and are
complied with, these will take precedence, and the corresponding provisions of the
Docks Regulations and the HSW Act will be met thereby.

ACOP

7 Road vehicles which remain within docks, but are of a type which are
used on public highways, should be maintained to a standard that would
meet the requirements for use on a public highway, except to the extent that
this is clearly unnecessary or inappropriate for securing the safety of persons,
and the vehicle concerned is never used on the public highway. Other
vehicles should be no less thoroughly maintained.

12(1)
Guidance

12(1)
ACOP

12(1)
Guidance

12(1)
ACOP

12(1)
Safety in docks

8 A vehicle should generally be maintained to the same standard as that

required for a similar vehicle operating on a public highway. Any deviation from this
standard should be permitted only when the maintenance is clearly not appropriate.
For example, a vehicle which operates only in broad daylight may not need to
have its driving lights maintained, but any such vehicle should not be permitted
to operate in conditions of poor visibility and should be marked to show this. The
limitations of use should be clearly communicated to all employees and other
persons who may be affected by the decision not to maintain parts of the vehicle to
standards applicable on the public highway.
9 Special attention should be paid to the braking and lighting systems,
tyres, steering and mirrors. Also, particularly in the case of vehicles working on
board ship, maintenance should aim to minimise noise levels and exhaust fume
emissions. Warning signals, including those used when reversing, should be
properly maintained.
10 Certain purpose built vehicles eg lift trucks and two-way vehicles such
as straddle carriers, may be designed to be provided with particular lighting
arrangements to suit the circumstances of their use. Such vehicles will remain
in the dock operational area, and should be maintained to the standard
recommended by the manufacturer.
11 Some roll trailers used in dock premises are not fitted with brakes by
the manufacturer and are not designed to be so fitted. Maintenance of such
trailers does not therefore require the fitting of brakes but in other respects the
manufacturers instructions should be followed. It is essential in this situation
that tractor units used to haul such trailers have sufficient braking capacity to
brake both the haulage unit and the trailer in any foreseeable situation which
may arise and with the trailer carrying the maximum permitted load.
12 Some roll trailers used on dock premises are not fitted with lights and some
unaccompanied trailers have their lights removed by the road haulier on arrival at
the port. Equally some internal movement vehicles (IMVs) are not fitted with light
connections for trailers. In these circumstances, providing that the movement is
confined to an adequately lit operational area, it will be sufficient compliance if the
IMV is properly fitted with road lights and has an operating yellow flashing light on
the roof or some other similar indication.
13 The means for securing the tractor unit to a trailer or semi-trailer, in
particular those which do not have independent braking systems, should be
properly maintained.
14 Vehicles on dock premises not being used for or incidental to dock
operations, for example vehicles visiting factories within the curtilage of dock
premises but which have no connection with the dock activities, are not
covered by the Docks Regulations. Either the Road Traffic Acts and/or the
HSW Act will apply, however.
Page 49 of 103

Health and Safety

Executive

Regulation

(2) Danger from use and movement of all vehicles on dock premises shall so far as
is reasonably practicable be prevented and the means of preventing such danger
shall where applicable include (a) safe and adequate railways, roadways and parking facilities;
(b) adequate arrangements for traffic control which shall include proper
signs and markings informing and warning drivers;
(c) safe arrangements for operating and moving vehicles where the drivers
field of view is not sufficient to carry out the required operation or
movement without risk of danger to any person;
(d) safe arrangements for refuelling vehicles;
(e) suitable barriers;
(f) safe arrangements for the movement and stacking of freight containers;
and
(g) safe arrangements for coupling of vehicles.

12(2)
ACOP

1 For safe vehicle movement, roadways and passageways adequate in

size and number should be provided and kept clear of obstructions. They
should also be properly maintained.
2 No vehicle should be moved on such a roadway or passageway unless
adequate clearance in height and width is provided for that vehicle.

12(2)
Guidance

All such roadways and passageways should be clearly delineated.

4 Regulation 12(2) applies to all vehicles including those carried on car

transporters. By virtue of Regulations 4(1) and 4(2), duties are placed not only on
employers and others having control, but also vehicle drivers (where the drivers are
at work), both employees and self-employed. Regulation 4(2) does not put duties
on the drivers of private vehicles who are not at work. Vehicles which are incidental
to dock operations and therefore subject to any controls imposed by Regulation
12(2) could include those used by harbour police, customs and immigration
officials, victuallers, catering staff, shipping agents, taxis used for taking crews to
their ships, and others.
5 Regulation 12(2) requires the provision of suitable roadways and parking
facilities for all vehicles whether used for dock operations or carried as cargo. A
system of monitoring should be introduced to ensure that defects in roadways are
identified as soon as practicable and effectively dealt with. The extent of parking
facilities to be provided will depend on the need. Parking on roadways should be
permitted only when it clearly does not present a hazard to pedestrians and other
road users. Roadways should be clearly marked to show where parking is not
permitted and signs should indicate where suitable parking areas are provided.
Road markings used to show no-parking areas and all road signs should be similar
to those used on public highways. Guidance on the layout of container terminals
may be found in HSE booklet HS(G)7 Container Terminals. Requirements
concerning the safe parking of vehicles are also to be found in the Dangerous
Substances in Harbour Areas Regulations 1987, the Dangerous Substances
(Conveyance by Road Tankers and Tank Containers) Regulations 1981, and the
Road Traffic (Carriage of Dangerous Substances in Packages etc) Regulations
1986.

12(2)

Safety in docks

6 Roadways and passageways may be delineated by the marking of lines on

the road surface, by the presence of buildings, by other fixed structures or by other
means.

Page 50 of 103

Health and Safety

Executive

ACOP

Roads, rails and other surfaces used for vehicle movements should be -

12(2)

(a) properly constructed and maintained; and

(b) of adequate strength for any load or load concentration arising from the
use; and
(c) as level as practicable, subject to any drainage gradient or camber that
may be needed.

12(2)

8 Where lift trucks need to be used on board ship, unless the operating surface
is sufficiently strong, level and well made, it may be necessary to provide a suitable
surface. Steel plates may be used for this purpose provided that they give the
necessary support and cover a sufficient area for the truck to carry out necessary
manoeuvres. (See also paragraph 13 of the ACOP below, and Regulation 10(5)).

ACOP

12(2)

10 Crane rails should generally be straight, and should be provided with

suitable crane arresting devices, which should be properly maintained.

Guidance

Guidance
12(2)
ACOP

Rails should be securely jointed, anchored and supported.

11 Paragraph 10 of the ACOP requires the provision of suitable crane arresting

devices on rail tracks. These may include end stops or sand pits. Useful
guidance is given in the National Association of Port Employers (NAPE) publication
Recommendations for the safe operation of container cranes.
12 Structures used by vehicles should be sufficiently rigid to be used safely.
Ramps should not be used at a slope greater than that for which they were
designed. In general, no plant or other heavy vehicle should use a ramp
which has a slope of more than 10% unless a competent person is satisfied
that the vehicle can safely be moved on that ramp, and if necessary the
surface of the ramp has been suitably treated to provide sufficient grip.
13 Vehicles should not be used on any hatch covering on a ship without the
authorisation of a ships officer who is competent to make such a decision.
14 A suitable and safe traffic movement system which includes
the regulation of traffic between ship and shore, appropriate to the
circumstances, should be set up and adequately supervised and monitored.
It should include suitable arrangements for the parking of vehicles including
private vehicles. The system should, if practicable, be one-way. On board
ship, it will be adequate to meet the requirements of the Merchant Shipping
(Safe Movement on Board Ship) Regulations.

12(2)
Guidance

12(2)
Safety in docks

15 The arrangements for traffic control should include speed limits,

appropriate to the circumstances, and suitable instructions to drivers about
safe speeds. Speed limits should be set at or below those which would be
set under road traffic legislation. Seat belts should be fitted to vehicles where
road traffic legislation would require this if the vehicle concerned was on a
public highway. Where fitted they should be worn as if the vehicle concerned
was on a public highway. A person who has, without using a public highway,
to make regular stops to leave the vehicle in a complete journey within the
confined area of a dock estate should not be required to wear a seat belt.
16 Paragraph 15 of the ACOP states that vehicle seat belts should be worn
where fitted. The provision of seat belts for vehicles travelling on public highways
is dealt with in Regulation 46 of the Road Vehicles (Construction and Use)
Regulations 1986. This sets out the classes of vehicle for which seat belts are
required and includes most types of motor car and small goods vehicle. The
wearing of seat belts in vehicles on public highways is dealt with in Regulation 4
Page 51 of 103

Health and Safety

Executive

Guidance

of the Motor Vehicles (Wearing of Seat Belts) Regulations 1982. This requires that
each person driving in or riding in motor vehicles in a position where there is a legal
requirement to provide a seat belt, should wear that belt. There are exemptions
in the appropriate set of Regulations regarding the provision and use of seat
belts, which need only be fitted to dock vehicles and worn to the same extent as
required by those Regulations. The object of wearing a seat belt is to reduce the
seriousness of injury received as a result of a collision involving the vehicle being
used or due to its rapid deceleration. With this in mind, users of vehicles which
have safety belts fitted should make maximum use of them.
17 There is an exemption in Regulation 5(a) of the Motor Vehicles (Wearing of
Seat Belts) Regulations 1982 for persons carrying out certain activities on the
highway from wearing seat belts because they are regularly leaving the vehicle
to make deliveries eg postmen, milkmen etc. For the purposes of the Docks
Regulations, the wearing of seat belts will not be considered reasonably practicable
for such personnel as fitters, mooring crews and catering staff when they are
involved in driving very short distances between sites eg from berth to adjacent
berth.
18 Paragraph 15 of the ACOP also deals with traffic control. Speed limits, which
may be set on board ship as well as on shore, may vary from road traffic legislation
and should ideally be set at levels easily recognisable on the vehicle speedometer.
All vehicles to which speed limits apply should have speedometers fitted unless
the vehicle is incapable of exceeding any speed limit which might apply. Drivers of
vehicles should observe speed limits (see paragraph 5 of the ACOP to Regulation
12(3)). The person or organisation in control has overall responsibility to take steps
to see so far as is reasonably practicable that any arrangements made under a
traffic control system are adhered to by both employees and non-employees.

12(2)
ACOP

19 A safe system of traffic control should include consideration of high visibility

marking of vehicles used in cargo handling areas, and the fitting, use and
maintenance of flashing lights on vehicles used in container, ro-ro and other
specialised terminals. Traffic signals may be appropriate in certain circumstances.
20 Vehicles not involved in dock operations should not be admitted into
areas where loading or unloading is proceeding, except in emergency, or in
exceptional circumstances under the control of the berth operator.
21 When not in use, vehicles should be securely parked with brakes
properly applied or otherwise secured where appropriate.
22 Where the drivers view is incomplete, and the vehicle could move in a
way such that the driver could not see the path of travel of his vehicle, then
either -

12(2)

Safety in docks

(a) if practicable the vehicle should be modified so that this is not the case;
or
(b) the mode of movement of the vehicle should be changed; or
(c) a signaller should be employed in a safe position to control the
movement of the vehicle insofar as the driver cannot see where he is
going. Such signallers should be competent and properly trained, and
should give signals according to a clear code, understood by the driver;
or
(d) a safe system of work should be established which excludes all other
persons and vehicles from the danger area, and secures the safety of all
persons, including the driver.

Page 52 of 103

Health and Safety

Executive

ACOP

12(2)
Guidance

12(2)
ACOP

12(2)
Guidance

12(2)
Safety in docks

23 These precautions will need to be taken by whoever is in control of

the operation, as required by Regulation 4(1). For ro-ro (roll-on, roll-off)
movements, control may be with either shoreside management or the ships
master or, in some instances, both. In such cases, collaboration is required
as in paragraphs 4 and 6 of the ACOP to Regulation 5 to avoid confusion and
ensure that clearly defined procedures are followed.
24 Paragraph 22 of the ACOP concerns cases where the view of a vehicle driver
is incomplete. Vehicles likely to present problems of this type include straddle
carriers, side loaders, lift trucks, mobile cranes, shunting vehicles engaged in ro-ro
operations, vehicles used and moved in trailer parks, and vehicles being moved on
board ships. Where drivers are manoeuvring units on vessels or in vehicle parking
areas and their view is incomplete, and it is not possible to modify the vehicle,
change the mode of movement of the vehicle, or to use a signaller, then a safe
system of work should be established. This should include a satisfactory layout.
Further, all unauthorised persons should be prohibited from the area, and clear
instructions should be issued to persons authorised to be in the area. These should
include where necessary the wearing of high visibility garments (see Regulation
19(3)). Where the layout is such as to require vehicles to park back to back, this
should be done in a herring-bone pattern wherever possible. It is also desirable
that precautions should include a code of safe working practice and the provision
of kerbs to prevent trailers reversing close enough to each other to crush a person.
All companies and organisations affected by these arrangements should be suitably
advised.
25 Where it is necessary to employ a signaller because a drivers view is
incomplete, an agreed system of signals must be employed, and to avoid confusion
the system should be common to other comparable signalling systems within the
port. It may be desirable that the signaller used is a person who has already had
experience in driving machines of the type or class concerned. In some cases it
may be necessary to use a two way communication system. Suitable equipment
should be provided and a suitable maintenance system devised to minimise the
risk of failure. In some situations, an audible device to indicate that the vehicle is
reversing should be provided and used as an additional precaution.
26 Safe arrangements should be made for refuelling vehicles and, in
particular, petrol or liquefied petroleum gas (LPG) powered vehicles should
be refuelled in a safe well-ventilated area and not in any confined space.
Vehicles carried as cargo on import ships may arrive with insufficient fuel for
their removal. Provided there is adequate ventilation a non-spill container
or purpose designed pump could be used to provide fuel, but only as a last
resort.
27 Regulation 12(2) and paragraph 26 of the ACOP deal with safe arrangements
for refuelling vehicles. Where a vehicle operates within a confined space, there
should always be sufficient fuel left in the tank prior to refuelling to allow the vehicle
to be moved to a safe well-ventilated area. Refuelling of petrol and diesel vehicles
should be carried out only by authorised competent personnel using purpose
designed petrol/diesel pumps or non-spill containers. The Petroleum - Spirit
(Plastic Containers) Regulations 1982 permit the use of certain plastic containers.
The associated Approved Code of Practice gives guidance on standards for such
containers.
28 In the case of liquefied petroleum gas (LPG) powered vehicles fitted with
integral gas cylinders, refuelling should take place only at properly designed LPG
filling plant. Where refuelling is carried out by the exchange of cylinders mounted
on the vehicle, this should be carried out only by trained personnel in a safe well
ventilated place, since during the changing of cylinders, leakages of LPG may
Page 53 of 103

Health and Safety

Executive

Guidance

occur which could exceptionally extend to the accidental loss of the contents of a
full cylinder. LPG is heavier than air and will accumulate in the lower parts of holds
of ships. Exceptionally, LPG cylinders could be changed in a ships hold of all steel
construction where an effective forced draught ventilation system is provided.
Normally however such conditions do not exist in the average ships hold.
29 Whenever possible, vehicles used in ships holds should be propelled
by means other than LPG. When LPG must be used, it is essential to provide
adequate ventilation. Such trucks should not be left in a hold overnight with the gas
bottles fitted. If the gas bottles are to be removed as an alternative to removal of
the truck from the ship, then adequate ventilation should be maintained while this
is being done. Changing cylinders on an open deck would meet this need (see also
previous paragraph). The cylinders should then be stored in a well ventilated place,
such as the deck or dockside. LPG cylinders should not be tampered with.

12(2)
ACOP

12(2)
Guidance

12(2)
ACOP
12(2)
Regulation

30 Safe arrangements for refuelling vehicles should also take account of

situations where it is necessary to drain fuel from the vehicle tank. This operation is
at least as hazardous as refuelling and a pre-planned system should be devised to
minimise the possibility of an accumulation of flammable vapours.
31 Where vehicles are driven on and off ships, arrangements should be
made so that vehicles do not have to reverse close to quay edges during
their loading or discharge. In such situations where the pattern of vehicle
movement presents a foreseeable risk from vehicles running over the edge
of a quay or other dangerous edge, suitable barriers should be provided and
maintained to minimise this risk.
32 Paragraph 31 of the ACOP specifies the provision of suitable barriers. These
should be designed to prevent vehicles running over the edge. They may take the
form of concrete blocks or motorway style barriers. Stanchions and chains would
not be suitable for this purpose. The purpose for which the barriers are installed
dictates that they are more than usually liable to be damaged in use and an
effective system should therefore be introduced to ensure that they are maintained
in a serviceable condition.
33 Other than for the purposes of driving on to or off a straddle carrier grid
in a container handling area no person should remain in the cab of a vehicle
other than a straddle carrier while it is on the grid. Persons should have safe
access to and from all vehicles on a straddle carrier grid to a safe place.
(3) A vehicle used by an employee or a self-employed person in the course of
dock operations shall not (a) carry any passenger except (i) where proper passenger seating is available for and used by him, or
other safe arrangements are made; and
(ii) it is appropriate and necessary for the work being carried out;
(b) be driven in an unsafe manner; or
(c) carry any load which is insecure.

12(3)
ACOP

12(3)

(a) it is constructed or adapted to carry passengers; and

(b) the passengers ride in properly constructed seats or other suitable safe
arrangements are made; and
(c) it is appropriate and necessary for the work.

Safety in docks

Passengers should not be carried on any vehicle unless -

Page 54 of 103

Health and Safety

Executive

Guidance

2 Regulation 12(3) prohibits the carriage of passengers in vehicles used for dock
operations unless their presence is necessary and appropriate for the purposes of
those operations.
3 Passengers such as members of the drivers family may be permitted in
road haulage vehicles that are solely to be conveyed on ro-ro vessels, but must
not leave the vehicle until it has been parked in waiting lanes or areas ready for
shipment. Suitable arrangements should be made at the terminal to prevent such
persons from entering dock operational areas. Equally, arrangements should be
made to ensure that animals which, having due regard to import controls, are
legitimately travelling on vehicles, do not leave them in such areas.
4 The exception in Regulation 12(3)(a) permits an instructor, whose presence on
the vehicle is necessary for training purposes, to ride on the vehicle even if there
is no seating for him, provided that other safe arrangements are made. Suitable
arrangements in respect of training operations would be (a) that there is room in the cab for the instructor to be present without interfering
with the controls, that the door is closed and that the operation is under his
close personal supervision; or
(b) that there is an adequate platform and railing adjacent to the drivers cab for
the trainer/trainee to stand on; or
(c) that in the initial stages of training the instructor can be otherwise safely
positioned on the vehicle whilst the trainee is attempting his first operation of
the controls.

12(3)

Other instances where safe arrangements for passengers are necessary include
shunting operations, terminal bus journeys and the use of road gritting lorries.

ACOP

5 Vehicles should be driven in a safe manner and at a speed that is safe in

the circumstances, and in conformity with the traffic control system.
6 The use of seat belts is discussed in paragraph 15 of the ACOP to
Regulation 12(2).

12(3)
Guidance

12(3)
Safety in docks

7 Loads should be properly secured to the lorry or trailer. In the case of

containers, twistlocks or guides should be used. Containers or other loads
may be moved from the loading position to a safe area nearby before being
secured. The primary duty to check that loads are secure rests with the driver
of the vehicle.
8 Regulation 12(3)(c) prohibits the carrying of insecure loads. The securing of
loads on vehicles whilst at sea is dealt with in merchant shipping legislation. Not all
loads, however, will need to be physically restrained. For instance, the normal use
of roll trailers in ro-ro operations should be considered acceptable provided that the
loads are properly loaded on the trailers. Containers on flat-bed lorries, on the other
hand, should be secured by twist locks or other means such as guides to prevent
lateral movement, as set out in paragraph 7 of the ACOP. Containers on roll trailers
should also be secured, and with two-high stacking, four twistlocks should be
used to secure the bottom and first layers. It is permissible to move the container
a short distance to an area set aside for securing containers, before carrying this
out. Particular attention should be paid to securing non-uniform or piecemeal loads
such as scrap metal.
9 It will not be possible, because of their size, to secure certain off-shore
containers used to supply off-shore installations, such as oil rigs, to flat bed road
vehicles and trailers using normal twistlocks. Alternative means of securing such
containers could include:
Page 55 of 103

Health and Safety

Executive

Guidance

12(3)

Regulation

(a) a purpose built loading cradle fitted with lateral fixing points so that when
attached to the vehicle, the container could be secured to the cradle by
means of its fork pockets. The arrangements should be quickly demountable
to allow carriage of 20 ft containers; or
(b) securing eyes at a low level on the corners of each container to allow for
chain fixing to the vehicle.
10 Drivers of lorries are primarily responsible for checking that loads on their
vehicles are secure, particularly for carriage on public roads. Should the port
operator take over the load, he should make a visual check but this need not
extend, for example, to opening up containers unless there is a particular reason
for doing this.

Regulation 13 - Use of lifting plant

(1) No lifting plant shall be used unless it is -

13(1)
ACOP
13(1)
Guidance

13(1)
ACOP
13(1)
Guidance

13(1)
ACOP

13(1)
Safety in docks

(a)
(b)
(c)
(d)
(e)

of good design and construction;

of adequate strength for the purpose for which it is used;
of sound material and free from patent defect;
properly installed or assembled; and
properly maintained.

1 In interpreting this Regulation, due regard should be paid to relevant

British Standards or other national or international standards giving an
equivalent degree of safety.
2 Regulation 13(1) and paragraph 1 of the ACOP are concerned with the
provision of lifting plant which is of good design or construction. A list of relevant
British Standards is contained in Appendix 3. HSE Guidance Note PM 54 Lifting
gear standards contains a good deal of relevant information. In the case of older
plant, the periodic thorough examinations required by Regulation 15 have a
particularly important role in ensuring that the plant remains of good construction,
adequate strength and sound material.
3 Ships plant such as derricks, cranes, lifting gear and cargo lifts which
meet the requirements of the Merchant Shipping (Hatches and Lifting Plant)
Regulations can be considered to meet the requirements of Regulation 13(1).
4 Duties to comply with the Merchant Shipping (Hatches and Lifting Plant)
Regulations are placed on the master of the ship concerned and his employer. By
virtue of Regulation 4(1), employers and controllers of shore-based employees and
self-employed workers using such plant have duties under the Docks Regulations
to ensure that such equipment is not used unless it complies with the relevant
Merchant Shipping Regulations. Additional guidance on the safe use of lifting
appliances including cargo lifts can be found in the ILO Code of Practice Safety
and Health in Dockwork.
5 The requirement for maintenance means that the lifting plant must be
kept in good working order, in an efficient state and in good repair. This
implies more than merely repairing defects as they become apparent, through
malfunction or following a thorough examination by a competent person. The
plant owner or user should undertake systematic preventive maintenance.
This should include regular routine inspection by a person who is competent
to assess whether the lifting plant is safe for continued use. This is quite
separate from, and in addition to, the periodic thorough examinations
Page 56 of 103

Health and Safety

Executive

ACOP
13(1)
Guidance

13(1)
ACOP

13(1)
Guidance
13(1)
ACOP

required under Regulation 15. In relation to lifting gear, a competent slinger

may be such a person. The inspections should be at intervals related to the
character and usage of the plant. Safety devices fitted to lifting appliances
should be checked by the operator at the beginning of a shift, before work
starts, to ensure that they are working.
6 It is not intended that checks of this type, and other safety checks which are
necessary, should be equivalent to the examinations carried out under Regulation
15 but the following should be included:
(a)
(b)
(c)
(d)
(e)
(f)
(g)

condition of hoist and derrick ropes;

hoist and derricking brake operation;
operation of overtravel limit switches;
in the case of a mobile crane, the condition of the tyres;
operation of the load radius indicator;
operation of the electrical circuit of the automatic safe load indicator;
a visual check around the crane for obvious defects such as ropes having
jumped off sheaves.

7 Power operated rail-mounted cranes should be provided with an

efficient braking mechanism which will arrest the motion along the rails
when the crane is in service. An effective system should also be provided to
prevent inadvertent movement of the crane where it is exposed to high winds
in an out-of-service condition; for example, suitable storm pins at sufficient
intervals along the track, or some other suitable device which enables
the crane to be securely anchored when not in use. Large rail-mounted
container cranes in the open air on land and other large shoreside cranes
of comparable size liable to be affected by high winds should be fitted with
an accurate device to indicate to the driver, and at ground level or terminal
control, excessive wind speed.
8 If the conventional travel motor braking cannot prevent inadvertent movement
of the crane along the track when the crane is exposed to high winds during use,
then a purpose designed arrester braking system should be provided. Where a
wind speed measuring device (usually an anemometer) is provided on a large
crane, this should be fitted in the most exposed position, normally on the top.
9 Cranes with wheels accessible to a person standing at ground level, and
which are regularly used and driven from a position from which the driver
is unable to obtain a clear view of the area round the wheels, should be
provided with guards for the wheels. These should reduce as far as possible
the risk of persons being run over by the wheels, and should also remove
loose material especially from the rails used by rail-mounted cranes.
10 A thimble or loop splice made in any wire rope should have at least three
tucks with a whole strand of the rope and two tucks with one half of the wires
cut out of each strand. The strands in all cases should be tucked against the
lay of the rope. Other forms of splice which can be shown to be as efficient
as the above may also be used.

13(1)

Safety in docks

11 In deciding whether a lifting appliance is of adequate strength for the

purpose for which it is to be used, account should be taken of the weight
of the associated lifting gear, and whether that gear is likely to impose
additional stresses by virtue of the nature of its operation eg grab work.

Page 57 of 103

Health and Safety

Executive

ACOP

12 Lifting plant for raising or lowering persons should include -

13(1)

(a) a suitable platform, cage or skip, of good construction, sound material

and adequate strength, which is properly maintained;
(b) except in the case of ships cargo lifts which only carry drivers at the
controls of their vehicles, fencing around the platform or cage up to
a height of at least 1 m, so constructed and arranged as to prevent a
person falling out, or being trapped;
(c) an adequate secure foothold and handhold for a person travelling on the
platform, cage or skip;
(d) arrangements to prevent the platform, cage or skip tipping or spinning
in a manner dangerous to any occupant, or from becoming accidentally
displaced.

Regulation

(2) No(a)
(b)
(c)
(d)

13(2)

pallet or other similar piece of equipment for supporting loads;

lifting attachment which forms an integral part of the load;
one-trip sling; or
pre-slung cargo sling,

shall be used unless it is of good construction, of adequate strength for the

purpose for which it is used and free from patent defect.

ACOP

1 Regulation 13(2) applies to slings, both rope and chain, used for preslung loads. Multi-trip and one-trip slings, and intermediate bulk containers
(IBCs) are included. In order that the shoreside employer may comply with his
obligations, he should provide and maintain a system of work which in the
case of wire rope slings includes checking the test certificates for the wire
rope from which the slings were made, where these are available. Where they
are not available, he should, where possible, otherwise verify that a test has
been carried out. In addition, the employer should check the condition of all
slings so far as it is possible to do so, and consider the use to which they are
to be put.

13(2)

2 Disposable slings intended for one trip should be disposed of at the end
of the trip and should never be re-used.

Guidance
13(2)

3 HSE Guidance Note PM 15 Safety in the use of timber pallets gives

guidance on acceptable standards of design, use and maintenance of pallets
referred to in Regulation 13(2).

Regulation 13(3)

(3) Lifting plant shall not be used other than in a safe and proper manner.

ACOP

Lifting appliances should be -

(a) securely anchored, or

(b) adequately ballasted or counterbalanced, or
(c) supported by outriggers
as necessary to ensure their stability when lifting.

13(3)

Safety in docks

2 Lifting appliances should not be used on soft or sloping ground unless

effective measures are taken to ensure that their stability and structural
integrity are maintained. In particular, any advice or specification of the
designer or manufacturer should be followed.

Page 58 of 103

Health and Safety

Executive

ACOP

13(3)
Guidance

3 If counterbalance weights are movable, effective precautions should be

taken to ensure that the lifting appliance is not used for lifting in an unstable
condition. In particular, all weights should be correctly installed and positioned.
4 Lifting appliances with pneumatic tyres should not be used unless the
tyres are inflated to the correct pressure. Means to check this should be
provided.
5 Regulation 13(3) says that lifting plant should not be used other than in a safe
and proper manner. Guidance on safe use, erection and maintenance of certain
types of lifting plant is contained in the following British Standards:
BS 3010 Code of Practice for safe use of cranes (mobile cranes, tower cranes,
and derrick cranes).
BS 5744 Code of Practice for safe use of cranes (overhead/underhung travelling
and goliath cranes, high pedestal and portal jib dockside cranes, manually operated
and light cranes, container handling cranes and rail mounted low carriage cranes).
BS 6210 Code of Practice for the safe use of wire rope slings for general lifting
purposes.

13(3)

(BS 3010 and BS 5744 were under revision as at July 1988).

ACOP

6 Loads should if practicable not be lifted over a person or any access

way.
7

No person should be lifted by lifting plant except -

(a) where the lifting plant has been designed or specially adapted and
equipped for lifting persons; or
(b) for rescue or in any other emergency situation where life is at risk.
8

Adaptation of lifting appliances for lifting persons should ensure that -

(a) they can be controlled from one position only;

(b) the driver can see the passenger so far as is necessary to prevent
danger;
(c) except as in (e) below, any lowering motion is under the full control of
the driver, and, except in the case of lift trucks generally, under power;
(d) all controls are of a kind that inhibits inadvertent operation and stops all
motion when they are not held in the operating position ie of the deadman type. An alternative to this in the case of a crane would be to have
a second trained and competent driver in the crane cab at all times
during such operations;
(e) in the case of lift trucks frequently used for lifting persons, the raising
and lowering of the platform should be controlled solely by the person
on the platform although emergency controls may be provided at the
cab.

13(3)
Guidance
13(3)
Safety in docks

9 Paragraph 12 of the ACOP to Regulation 13(1) gives guidance on the

construction of any platform, cage or skip used to raise or lower persons with
a lifting appliance.
10 Guidance on the controls required for fork lift trucks used for raising or
lowering persons may be found in HSE Guidance Note PM 28 Working platforms
on fork lift trucks. The advice in paragraphs 25 and 26 of that Guidance Note
should be followed for trucks regularly used for such work. Trucks occasionally
Page 59 of 103

Health and Safety

Executive

Guidance

13(3)
ACOP

used for lifting persons should be modified to the extent set out in paragraph 8
above, parts (a)-(d), of the ACOP. Guidance on lifting persons by container crane
may be found in the NAPE publication Recommendations for the safe operation
of container cranes. The emergency stop button on the lower leg of a container
crane can be used in situations where the driver is incapacitated and his body
prevents the control in the cab returning to its neutral position.
11 It is preferable where possible to use purpose made equipment, eg powered
access platforms, rather than cranes or lift trucks.
12 Where the operator of a lifting appliance does not have a clear view
of the whole of the path of travel of any load carried by that appliance,
appropriate precautions should be taken to prevent danger. Generally this
requirement should be met by the employment of a competent and properly
trained signaller to give instructions to the driver. A signaller includes any
person who gives directional instructions to a driver while he is moving a
load, whether by manual signals, by radio, or otherwise.
13 The signaller should have a clear view of the path of travel of the load
where the driver of the lifting appliance cannot see it.
14 Where necessary, additional signallers should be employed to give
instructions to the first signaller.
15 Every signaller should be in a position that is (a) safe; and
(b) in plain view of the person to whom he is signalling unless an effective
system of radio or other contact is in use.
16 All signallers should be instructed in and should follow a clear code of
signals, agreed in advance and understood by all concerned in the operation.
17 If a load can be guided by fixed guides, or by electronic means, or. in
some other way, so that it is moved as safely as if it were being controlled by
a competent team of drivers and signallers, signallers will not be necessary.
18 All loads should be properly slung and attached to lifting gear, and all
gear properly attached to appliances.
19 Tank containers should not be lifted directly with the forks of fork lift
trucks, because of the risks of instability and of damaging the container with
the ends of the forks. Tank containers may be lifted using fork lift trucks
fitted with suitably designed side or top lifting attachments, but care must be
exercised due to the risk of surge in partly filled tanks.

13(3)
Guidance

13(3)

Safety in docks

20 Lifting appliances should not be used to drag loads with the fall at
an angle to the vertical if such operations are liable to cause damage or
overload the crane.
21 Paragraph 20 of the ACOP is not intended to prevent the use of a safe
system of bull-roping, which would involve using a sheave or sheaves to divert
a vertical fall of the rope from the crane or other lifting appliance to a horizontal
direction. This arrangement should only be used where there is no alternative
means by which the load could be removed eg from an otherwise inaccessible part
of the hold.

Page 60 of 103

Health and Safety

Executive

ACOP
13(3)
Guidance
13(3)

22 Any lifts by two or more appliances simultaneously can create hazardous

situations and should only be carried out where necessary. They should be
properly conducted under the close personal supervision of a competent
person, after thorough planning of the operation.
23 Whenever possible such lifts should be avoided because of the potential risk,
but where such operations are necessary guidance should be sought from BS
3010. Additional advice is contained in the ILO Code of Practice Safety and Health
in Dockwork.

ACOP

24 Lifting appliances should not be used in a manner likely to subject them

to over-turning moments.

13(3)

25 Ropes, chains and slings should not be knotted.

Guidance 13(3)

26 The shortening of ropes, chains etc by properly designed methods such as

shortening claws is allowable.

ACOP

27 Lifting gear should not be passed round edges liable to cause damage
unless appropriate packing is provided.
28 Where a particular lift requires special gear, such as plate clamps, other
arrangements should only be used if they are equally as safe.

13(3)

29 The manner of use of natural and man-made fibre ropes, magnetic and
vacuum lifting devices and other gear should take proper account of the
particular limitations of that gear.

Guidance 13(3)

30 Further guidance on the matters mentioned in paragraph 29 of the ACOP is

contained in the ILO Code of Practice Safety and Health in Dockwork. Further
information on man-made fibre rope can be found in BS 4928.

ACOP 13(3)

31 Derricks, whether on ship or shore, should not be used unless properly

rigged; rigging plans should be available.

Guidance 13(3)

32 Paragraph 31 of the ACOP deals with the correct rigging of ships derricks.
Guidance on this subject is contained in BS MA 20 Presentation of ships cargo
gear particulars and BS MA 48 Code of Practice for design and operation of
ships derrick rigs.

ACOP 13(3)

33 Lifting operations should be stopped if wind conditions make it unsafe

to continue them. In particular, when the wind exceeds the operating limit
specified by the crane manufacturer, all lifting operations should cease and
any additional braking system should be brought into operation.

Guidance 13(3)

34 Paragraph 33 of the ACOP is concerned with the operation of lifting

appliances in windy conditions. The user of a lifting appliance should where
appropriate establish from the manufacturer or a competent design engineer
the maximum wind speed at which it should operate and where necessary
provide an anemometer at a suitable point where the appliance operates. Where
an anemometer is provided, adequate arrangements should be made for its
maintenance and correct calibration. However it should be borne in mind that gusty
conditions can give rise to danger before the continuous wind speed reaches the
manufacturers limits. See also paragraph 7 of the ACOP and paragraph 8 of the
Guidance to Regulation 13(1), which deal with the fitting of anemometers to large
cranes.

Safety in docks

Page 61 of 103

Health and Safety

Executive

ACOP 13(3)

35 Cargo handling equipment, for example a fork lift truck, that is lifted on
to or off ships by crane or derrick should be provided with suitable points
for the attachment of lifting gear, so designed as to be safe in use. Such
equipment should be marked with its gross weight.

Guidance

36 The suitable points provided on cargo handling equipment for attachment of

lifting gear should be correctly marked, preferably pictorially. Where the equipment
might have to be dismantled to be lifted, the weights of the separate components
should be shown. The marked gross weight should include the cab (where there is
one) and all components of the particular item of cargo handling equipment.

13(3)
ACOP

37 Where in exceptional circumstances for specific jobs the safe working

load of a crane other than a mobile crane needs to be varied upwards from
its marked safe working load, this may be carried out provided the work is
performed in a safe and proper manner and in particular:-

13(3)

(a) the weight of the load is known and does not exceed the marked safe
working load by more than 10%; and
(b) a competent person, who would normally supervise a test and carry
out a thorough examination, specifies in a written report or certificate
complying with Regulation 17(1) that the crane may be so used, subject
to any conditions he may see fit to impose; and
(c) the duration of the variation is specified by the competent person on the
report or certificate issued under (b); and
(d) the report or certificate issued under (b) is cancelled at the end of the
period specified as in (c); and
(e) the lift is a straight lift by a single appliance; and
(f) the lift is supervised by the competent person; and
(g) the crane is thoroughly examined by the competent person after the lift;
and
(h) no person is exposed to danger thereby; and
(i) HSE is notified within 14 days after the lift; and
(j) appropriate records of the variation are kept.

Regulation
13(4)

(4) Without prejudice to the generality of paragraph (3), the manner of use shall be
deemed not to be safe and proper if, except for the purpose of carrying out a test
under regulation 14, the lifting plant is loaded in excess of its safe working load.

ACOP

1 A load greater than the safe working load may be applied to lifting plant
only for the purpose of a test required by the competent person testing and
examining it.
2 Any grab fitted to a lifting appliance should be of an appropriate size,
taking into account the safe working load of the appliance, the additional
stresses on the appliance likely to result from the operation, and the material
being lifted (see also paragraph 11 of the ACOP to Regulation 13(1)).

13(4)

Safety in docks

3 The safe working load of a lift truck means its actual capacity (see
paragraph 1 of the ACOP to Regulation 16(1)).

Page 62 of 103

Health and Safety

Executive

Regulation

Regulation 14 - Testing of lifting plant

(1) Subject to paragraph (3), no lifting plant shall be used (a) after manufacture or installation; or
(b) after any repair or modification which is likely to alter the safe working load or
affect the lifting plants strength or stability,

14(1)
ACOP

without first being suitably tested by a competent person except in the case of a
rope sling manufactured from rope which has been tested by a competent person
and spliced in a safe manner.
1 The requirements of Regulation 14(1) may be met if before use one of
the following appropriate tests is carried out (a) proof loading the plant concerned; or
(b) in appropriate cases by testing a sample to destruction; or
(c) in the case of retesting after repair or modification, such test as satisfies
the competent person who examines the plant; or
(d) in the case of a lift truck, the test should be a functional test to verify
that the truck is able to perform the task for which it was designed.
This test should include a check to ensure that all controls function
correctly and that all identification and capacity plates are fitted and
contain correct information. A dynamic test should include travelling
and manoeuvring, stacking, a lowering speed check and tilt leakage test
with the rated load including relevant attachments where appropriate.
Following the test the truck should be examined to ensure that it has no
defects which would make it unsuitable for use.
2 Where proof loading is part of a test, the test load applied should
exceed the safe working load as specified in the relevant British Standard, or
in other cases by at least the following:
Proof load (tonnes)

14(1)

Safety in docks

SWL
(tonnes)

Lifting
appliances

Single
sheave
cargo and
pulley
blocks

Multi-sheave
cargo
and
pulley blocks

Lifting
beams and
frames etc

Other
lifting
gear

0 - 10

SWL x 1.25

SWL x 4

SWL x 2

SWL x 2

SWL x 2

11 - 20

SWL x 1.25

SWL x 4

SWL x 2

SWL x 1.04 + 9.6

SWL x 2

21 - 25

SWL + 5

SWL x 4

SWL x 2

SWL x 1.04 + 9.6

SWL x 2

26 - 50

SWL + 5

SWL x 4

SWL x 0.933 + 27

SWL x 1.04 + 9.6

SWL x 1.22 + 20

51 - 160

SWL x 1.1

SWL x 4

SWL x 0.933 + 27

SWL x 1.04 + 9.6

SWL x 1.22 + 20

161 +

SWL x 1.1

SWL x 4

SWL x 1.1

SWL x 1.1

SWL x 1.22 + 20

NOTE: Where a lifting appliance is normally used with a specific removable attachment, and the weight
of that attachment is not included in the marked safe working load as allowed in paragraph 2 of the
ACOP to Regulation 16(6), then for the purposes of using the above table, the safe working load of that
appliance should be taken as being the marked safe working load plus the weight of the attachment

Page 63 of 103

Health and Safety

Executive

Guidance

14(1)
ACOP
14(1)
Guidance

14(1)
Regulation
14(2)

3 Regulation 14(1) requires that no lifting plant should be used after installation
without first being tested by a competent person. Nevertheless, on each occasion
on which the assembly of the jib of a mobile crane is changed, the assembly
should not be regarded as having undergone installation within the meaning of
Regulation 14(1), provided that the crane and each of the jib sections have together
undergone a test and thorough examination as required by Regulation 14(1) and
the assembly is as intended by the crane manufacturer. In such circumstances,
each jib section should be clearly marked to indicate to which crane it belongs.
4 Testing of lifting appliances should meet any relevant requirements of
appropriate British Standards or, where no such standard exists, other recognised
standards eg Code for Lifting Appliances in a Marine Environment, published by
Lloyds Register of Shipping.
5 To fall within the exception under Regulation 14(1), rope slings must
be spliced according to appropriate British Standards or a method which
can be shown to be equally as safe and efficient under all conditions of use.
Ferrule-secured eye terminations are not splices and individual proof testing
is required.
6 Paragraph 5 of the ACOP deals with the exception to Regulation 14(1)
concerning splices in rope slings. Rope includes wire and fibre rope, both natural
and man-made. Appropriate British Standards are BS 1290 for wire rope slings,
and BS 6668, Part I, for fibre rope slings.
7 This exception does not extend to metal components such as rings,
connecting links and shackles which are intended to form part of a sling. These
should be tested separately by a competent person. As an alternative, metal
components forming part of a steel wire rope or man-made fibre rope sling may be
tested together with the sling at a load appropriate for that sling but natural fibre
rope should not be exposed to any load above its rated safe working load as this
may damage it.
(2) Subject to paragraph (3), a lifting appliance which is on board a ship and is
the property of the ship owner or is rented, leased or otherwise hired by him shall
not be used unless it has been suitably tested by a competent person within the
preceding five years.

14(3)

(3) This regulation shall not apply in relation to the use of lifting plant which is
subject to the requirements of regulation 7 of the Merchant Shipping (Hatches and
Lifting Plant) Regulations 1988.

Guidance
14(3)

1 Ships lifting plant is not subject to this Regulation as it is covered by parallel

provisions in Regulation 7 of the Merchant Shipping (Hatches and Lifting Plant)
Regulations 1988.

Regulation

Safety in docks

Page 64 of 103

Health and Safety

Executive

Regulation

Regulation 15 - Examination of lifting plant

(1) Subject to paragraph (2), no lifting plant shall be used unless it has been
thoroughly examined by a competent person (a) at least once in the preceding twelve month period or such shorter
period as may have been specified by a competent person in
(i) the latest certificate or report of examination of the plant obtained
pursuant to regulation 17, or
(ii) where no such certificate or report has been obtained, the latest
certificate of examination of the plant obtained pursuant to the
Docks Regulations 1925 or the Docks Regulations 1934; and

15(1)
ACOP

(b) following a test in accordance with regulation 14.

1 A thorough examination means a detailed examination by a competent
person, supplemented by such dismantling as the competent person
considers necessary, and access to or removal of hidden parts also at the
discretion of the competent person in order to arrive at a reliable conclusion
as to the safety of the plant examined.
2 The competent person may require non-destructive testing of lifting
plant as part of any thorough examination.
3

15(1)
Guidance
15(1)
ACOP

15(1)
Guidance
15(1)
Safety in docks

The period of 12 months is the maximum that must be met for all plant.

4 Where plant is subject to arduous or very frequent use, more frequent

thorough examination may be appropriate; in such cases or in any other
case where he thinks fit, the competent person carrying out the thorough
examination may specify in his report a period of less than twelve months to
the next thorough examination.
5 In addition to the provisions of paragraph 4 of the ACOP, more frequent
thorough examination may also be appropriate where experience shows excessive
component wear. Additional thorough examinations of lifting plant will also be
required after testing carried out under Regulation 14, for example when parts have
been repaired or replaced.
6 Any stipulation made by the competent person in the latest report
required by Regulation 17(1) following examination under Regulation 15 are
to be followed by any person owning lifting plant in order to comply with his
obligations under Sections 2 and 3 of the HSW Act. No person should hire
out, or use, such plant unless these stipulations have been followed, in order
to comply with his obligations under the HSW Act.
7 A person chosen to act as a competent person in the examination of
plant should be over 18 years old, and have such practical and theoretical
knowledge and actual experience of the type of machinery or plant which he
has to examine as will enable him to detect defects or weaknesses which it is
the purpose of the examination to discover, and to assess their importance in
relation to the strength, stability and functions of the machinery or plant.
8 Many thorough examinations are carried out by external specialists eg
insurance company engineer surveyors. It is acceptable for examinations to be
made in-house, provided that the employee(s) concerned are able to satisfy the
criteria laid down in paragraph 7 of the ACOP.
Page 65 of 103

Health and Safety

Executive

15(2)

(2) This regulation shall not apply in relation to the use of lifting plant which is
subject to the requirements of regulation 8 of the Merchant Shipping (Hatches and
Lifting Plant) Regulations 1988.

ACOP
15(2)

1 Ships lifting plant is not subject to this Regulation as it is covered by

parallel provisions in Regulation 8 of the Merchant Shipping (Hatches and
Lifting Plant) Regulations 1988.

Regulation

Regulation 16 - Markings and indicators on lifting

plant

Regulation

(1) Every lifting appliance shall, subject to paragraph (2), be clearly and legibly
marked with -

16(1)
ACOP
16(1)
Guidance

(a) its safe working load or safe working loads; and

(b) a means of identification.
1 The safe working load of a lift truck means its actual capacity which
relates the load which can be lifted to, in the case of a fork lift truck, the
distance of the centre of gravity of the load from the heels of the forks. It may
also specify lower capacities in certain situations eg for lifts beyond a certain
height.
2 Regulation 16(1) requires the marking of safe working loads on lifting
appliances. In each case reference should be made to the appropriate
requirements of the relevant British Standards for the particular appliance.
3 Paragraph 1 of the ACOP deals with the marking of each lift truck with its
actual capacity. In some cases the capacity will depend on the angle of the truck
mast from the vertical and/or its height and where this applies the truck should be
marked with the capacity for each of the range of angles and/or heights ..

16(1)
Regulation
16(2)
Regulation

16(3)
ACOP

16(3)

Safety in docks

4 The actual capacity of a truck is derived from the appropriate stability tests
and will vary with the different types and heights of mast fitted, and the different
load centre distances used in rating. The rating is determined with standard fork
arms or platforms. Additional actual capacity ratings with removable attachments
may also be established where permitted by the appropriate stability specification.
(2) In the case of a lifting appliance having more than one safe working load,
it shall be sufficient compliance with paragraph (1)(a) to have attached to the
appliance tables setting out the safe working loads.
(3) Every crane whose safe working load varies with its operating radius shall,
subject to paragraph (4), be fitted with an accurate indicator, clearly visible to the
driver, showing the radius of the load lifting attachment at any time and the safe
working load corresponding to that radius; and in this paragraph the reference
to the radius of the load lifting attachment is, in a case where the attachment is
suspended on the end of a rope, a reference to the radius of the attachment when
it is vertically below the point at which the rope is suspended from the crane.
1 Where a crane has a variable operating radius and the safe working load
varies with the radius, a table should be provided in the crane cab showing
the full lifting duty of the crane. The crane should also be fitted with an
accurate indicator, clearly visible to the driver, showing the radius at any one
time and the safe working load for that radius.

Page 66 of 103

Health and Safety

Executive

Guidance
16(3)

2 In Regulation 16(3), which deals with the fitting of radius load indicators, the
term load lifting attachment includes a jib, crab, trolley, magnet, grab, container
frame, hook or similar device.

Regulation

(4) In the case of a telescopic jib mobile crane operating with a fly jib or a locked
jib extension, it shall be sufficient compliance with paragraph (3) for the said
indicator to show the angle of inclination of the jib at any time and the safe working
load corresponding to that angle; and in this paragraph fly jib means an accessory
fitted to the jib to form an extended jib, and locked jib extension means a part of
the crane extended from the jib manually to form an extended jib.

16(4)
Guidance
16(4)

1 Regulation 16(4) qualifies Regulation 16(3) in respect of certain telescopic

jib cranes fitted with fly jibs and locked jib extensions, by permitting the angle of
inclination of the jib to be displayed rather than the radius.

Regulation

(5) Every item of lifting gear shall be clearly and legibly marked with its safe
working load or safe working loads and a means of identification, except where
such marking is not reasonably practicable, but in such a case the safe working
load shall be readily ascertainable by any user.

16(5)
Guidance
16(5)

1 Regulation 16(5) requires that each item of lifting gear should be clearly
marked with its safe working load and a means of identification. In the case of a
sling fitted with a ring the marking should be on the ring. Where no ring is fitted and
there is no other link of sufficient size for marking, use may be made of a patent
marking tag.

Guidance 16(5)

2 BS 6166 Part 2 Lifting slings. Specification for marking gives suitable advice
on the marking of safe working loads for multilegged sling assemblies.

ACOP
16(5)

3 In the case of slings supplied in batches, a batch mark which is the

same on each sling of that batch should be used as a means of identification
where each sling does not have a separate individual mark of identification.

Guidance

4 When a sling is one of a batch and a batch mark is used for identification
purposes, an additional mark such as colour coding should be provided to
ensure that the sling is not used without having been thoroughly examined by
a competent person in accordance with Regulation 15. Where a batch of slings
is spread over a range of wharves and quays, thorough examination by reliance
on batch marks may be difficult and slings will need to be individually numbered.
Whatever the circumstances, each sling will still need to be individually marked with
its safe working load, except in a relatively few cases where this is not reasonably
practicable. In such cases, arrangements should be made so that the safe working
load can be readily ascertained, for example, by the use of suitable tables.

16(5)
Regulation
16(6)
ACOP

16(6)

Safety in docks

(6) Every item of lifting gear which weighs a significant proportion of the safe
working load of any lifting appliance with which it is intended to be used shall, in
addition to the requirement in paragraph (5), be clearly marked with its weight.
1 The requirement to mark the weight of lifting gear will generally apply
to lifting beams, lifting frames, vacuum or magnetic lifting devices and other
gear whose weight is substantial in relation to the loads they lift.
2 Where a lifting appliance is normally used with a specific removable
attachment such as a clamp or spreader, the marking of the safe working
load or rated capacity should clearly specify whether the weight of that
attachment is included.

Page 67 of 103

Health and Safety

Executive

Guidance

16(6)
Regulation

16(7)

3 Paragraph 1 of the ACOP deals with the marking of the weight of any item of
lifting gear where it weighs a significant proportion (10% or 1 tonne whichever is the
lower) of the safe working load of the lifting appliance with which it is to be used.
Where there is any doubt the lifting gear should be marked. Special lifting gear
such as lifting beams, grabs, vacuum and magnetic lifting devices are normally very
heavy and when fitted to a lifting appliance may significantly reduce the effective
safe working load of that appliance. When a load has to be lifted using such lifting
gear it is therefore essential to select a lifting appliance capable of safely handling
the load plus the weight of the lifting gear.
4 Grabs are normally rated in terms of their cubic capacity eg 0.5 m3 or 0.75
m3. The actual weight of the load lifted will be directly proportional to the density
of the material. Selection of a lifting appliance to carry out loading/unloading of
bulk cargo by this method will need to take account of both the weight of the grab
and the density of the cargo. Attention is drawn to paragraph 2 of the ACOP to
Regulation 13(4), which refers to stresses which may arise during work with grabs.
(7) Every mobile crane having either a fixed or a derricking jib shall, subject to
paragraph (8), be fitted with an automatic safe load indicator of a type approved for
the purposes of regulation 30 of the Construction (Lifting Operations) Regulations
1961 which indicator shall be (a) properly maintained, and
(b) tested and inspected by a competent person at appropriate intervals.

ACOP
16(7)

1 The automatic safe load indicator should be tested and inspected by

a competent person on any occasion when the proper operation of the
indicator is likely to have been affected, and at every thorough examination.

Guidance

2 Regulation 16(7) deals with mobile cranes and in particular requires testing
and inspection of the automatic safe load indicator at appropriate intervals which
is explained in paragraph 1 of the ACOP. The method of testing should be by lifting
loads of known weight marginally greater than the designed operating levels of the
warning devices and then noting that the devices actually operate.

16(7)

3 Also, in order to ensure that the automatic safe load indicator is properly
maintained, regular inspections should be made by a person competent to do
so. A suitable arrangement is outlined in the Construction (Lifting Operations)
Regulations 1961, Regulation 30(2), which requires weekly inspections and the
keeping of the results of these inspections in a prescribed form (Form 91, part 1,
section E). Regulation 30(2) and the relevant part of Form 91 are reproduced at
Appendix 9.

Regulation

(8) Paragraph (7) shall not apply to any crane which -

16(8)

Safety in docks

(a) travels on a line of rails;

(b) has a safe working load of one tonne or less; or
(c) is fitted with a grab or magnet.

Page 68 of 103

Health and Safety

Executive

Regulation

17(1)
ACOP

Regulation 17 - Certificates and reports

(1) A certificate or report containing particulars approved in writing for the time
being by the Health and Safety Executive for the purposes of this regulation shall
be obtained from the competent person by the owner of the plant within 28 days
following any test pursuant to regulation 14 or examination pursuant to regulation 15.
1 Certificates and reports are required to be written within 28 days, but
where a competent person discovers a defect affecting the safety of plant he
should take immediate steps to ensure that a suitable person in authority who
has control of its operation is aware of these defects, in order to discharge
his duties under Section 7 of the HSW Act.

17(1)

2 Reports should include particulars approved by HSE. These are set out
in certificates of approval made under this Regulation.

Guidance

17(1)
Regulation
17(2)
ACOP
17(1)
Guidance

17(1)
Regulation

17(3)

Safety in docks

The particulars approved by HSE are given in Appendix 13.

4 Lifting appliances which comply fully with the requirements of the Construction
(Lifting Operations) Regulations 1961 in respect of certificates or reports of testing
and thorough examination will meet the requirements of Regulation 17.
(2) A certificate or report of a test pursuant to regulation 14 shall be kept in a safe
place by the owner until the plant is taken out of use, and a certificate or report of
an examination pursuant to regulation 15 shall be kept by the owner in a safe place
for a period of at least two years from receipt of the certificate or report of the next
following examination.
1 Certificates or reports should be kept available for inspection.
Inspectors have powers to require the production of such documents, and
in addition safety representatives are entitled to see relevant documents
under Regulation 7(1) of The Safety Representatives and Safety Committees
Regulations 1977.
2 Paragraph 1 of the ACOP refers to an inspectors powers under Section
20(2)(k)(i) of the HSW Act. These powers allow an inspector to require the
production of, inspect, and take copies of any entry in any books or documents
which by virtue of any of the relevant statutory provisions are required to be kept.
Failure to comply with an inspectors requirement of this type is an offence by virtue
of Section 33(1)(e) of the HSW Act.
3 Safety representatives are entitled to see certificates and reports under
Regulation 7(1) of The Safety Representatives and Safety Committees Regulations
1977 which requires that Safety representatives shall for the performance of their
functions under these Regulations, if they have given the employer reasonable
notice, be entitled to inspect and take copies of any document relevant to the
workplace which the employer is required to keep by virtue of any relevant
statutory provision within the meaning of Section 53(1) of the 1974 Act except a
document consisting of or related to any health record of an identifiable individual.
(3) Where a test pursuant to regulation 14 or an examination pursuant to
regulation 15 shows that a lifting appliance cannot be used with safety unless
certain repairs are carried out immediately or within a specified time, a copy of the
certificate or report completed in accordance with paragraph (1) above shall be
supplied by the competent person to the Health and Safety Executive within 28 days
of completion of the test or examination.

Page 69 of 103

Health and Safety

Executive

ACOP

17(3)
Guidance

17(3)
Regulation
17(4)
Guidance

1 Reports made under Regulation 17(2) may state that the lifting appliance
is in such a dangerous state that its use should cease immediately until
certain specified repairs are carried out. Alternatively, the report may state
that whilst the appliance was in an acceptable condition at the time the
examination was carried out, it is anticipated that, after a certain length of
time, specified repairs will need to be carried out to enable the appliance to
continue to be used in safety. In either case, a copy of the report should be
forwarded to HSE within 28 days of completion of the test or examination.
2 The requirement in Regulation 17(3) that, where a lifting appliance cannot
be used with safety unless certain repairs are carried out immediately or within
a specified time, a copy of the report be sent by the competent person to HSE
within 28 days of the completion of the test or examination, is in line with other
legislation such as the Factories Act 1961 and the Construction (Lifting Operations)
Regulations 1961. The objective is to give the inspector the opportunity to follow
up the matter to ensure that the necessary work has been or is being done.
3 Matters should be reported to HSE where, having regard to the length of time
between examinations, they may lead to an accident or dangerous occurrence. In
addition, HSE may usefully be informed about matters which indicate an absence
of adequate maintenance. There will however also be defects which even if not
rectified will not lead to one of the situations described above. An example of this
could be a non-functioning heater in the drivers cabin. This should be repaired, but
HSE would not need to see the report if this was the only item requiring attention.
(4) The owner of the plant shall supply a copy of the latest certificate or report
obtained under paragraph (1) to any employer or self-employed person hiring or
using the plant, and any such hirer or user shall ensure that he receives it from the
owner and consults it.
1 Regulation 17(4) deals with the hiring of lifting plant. When lifting plant
is supplied together with a driver, it would be acceptable, as an alternative to
supplying a copy of the latest thorough examination report, for the owner to give
to the user a written undertaking that the plant complies with the requirements of
these Regulations including those concerning testing and thorough examination
and will continue to comply for the duration of the hire of the plant. If the user
then wishes in any particular case to see a copy of the appropriate certificates or
reports, the owner should comply with this request.
2 The term owner, by virtue of Regulation 2(3), does not include a person who
has simply provided the finance for another to obtain and use lifting plant under
a hire purchase, lease or similar agreement. That other person (the customer) is
treated as the owner, and he has the duty to comply with the requirements of these
Regulations rather than the person providing the finance.

17(4)

Safety in docks

3 Before ships appliances or gear are used by stevedores, shore side

employers should satisfy themselves that reports of thorough examination and test
in accordance with the Merchant Shipping (Hatches and Lifting Plant) Regulations
are available and in order.

Page 70 of 103

Health and Safety

Executive

Regulation

Regulation 18 - Confined spaces

A person shall not be permitted to enter or remain in any space if he is liable to be
overcome by gases or fumes or incapacitated by oxygen deficiency unless -

18

(a) it is necessary for him to do so; and

(b) effective steps have been taken to protect him from such danger.

ACOP

1 This Regulation covers spaces where there is a risk of being overcome,

which generally means confined spaces on shore or on ship where such a
risk arises from toxic gas, vapour or fume or from asphyxiation through lack
of oxygen.

18
Guidance

18

2 Where a confined space on a merchant ship is involved, consultation

between the shoreside employer and the master should take place before any
operation commences. Full collaboration between all parties involved will be
necessary. By virtue of Regulation 4(1), masters have duties under Regulation
18 towards dock workers, where dock operations involve entry into confined
spaces on board ship. The Merchant Shipping (Entry into Dangerous Spaces)
Regulations which impose duties on masters and their employers are
complementary requirements giving protection to crew members and certain
other persons on board, including where they are involved in loading or
unloading. Master includes any ships officer in charge of the ship during the
absence of the master (see paragraph 6 of the ACOP to Regulation 5).
3 Regulation 18 is of necessity written very broadly and covers risks from toxic and
asphyxiant atmospheres. It deals with confined spaces on shore and on board ship
subject to these Regulations where there could be a dangerous atmosphere. These
could include silos, storage tanks, cargo spaces and pump rooms, or even normally
occupied rooms if there are unusual conditions such as fumigation work in progress.
The ACOP to this Regulation sets out below a sequence of decisions. In all cases
where the confined spaces are on a merchant ship, full consultation should first take
place between the shoreside employer and the master. It must also be remembered
that fire and explosion risks can be present in confined spaces together with those of
being overcome or asphyxiated. Useful information may be found in HSE Guidance
Note CS 15 The cleaning and gas freeing of tanks containing flammable residues.

ACOP
18

4 Employers and persons controlling access to confined spaces should

familiarise themselves and their employees with the likely causes of
dangerous atmospheres.

Guidance

5 The aim under paragraph 4 of the ACOP should be to ensure sufficient

awareness of the likely circumstances where risks may arise. In case of doubt
advice should be sought through the supervisor so that appropriate expert
or technical advice can be obtained from the competent person described in
paragraph 6(a) of the ACOP below.

18

Safety in docks

Page 71 of 103

Health and Safety

Executive

ACOP

6 Whenever possible, entry into confined spaces in circumstances outlined

in paragraph 1 should be avoided. Where any such confined space must be
entered, the employer or person in control of the space should establish and
monitor a clear system of work for securing the safety of all persons involved.
This should include:
(a) the appointment of a competent person to make an informed
assessment of the likelihood of a dangerous atmosphere being present
or arising subsequently in that space. The degree of competency
required will depend upon the circumstances in any particular case. The
competent person should have sufficient theoretical knowledge and
practical experience of the hazards associated with confined spaces in
order to be able to assess whether precautions are necessary and, if so,
what they should comprise;
(b) the appointment of a responsible person to take charge of each
operation where entry into a confined space is necessary and it is not
possible to ensure a continuously safe atmosphere (see paras 14 - 16
below). This person may be the same as the competent person in
paragraph (a) above, or may be another person.

18

7 The assessment by the competent person should include consideration

of any potential hazards associated with the space from its previous use,
its present condition, neighbouring or connected spaces, and the work
which is to be done. This may involve atmospheric testing where necessary.
The objective is to enable the employer or person in control to determine
the procedures to be followed to make the entry and work safe, and the
precautions to be adopted.

Guidance

The atmosphere inside a confined space can present a hazard to life due to:

(a) deficiency of oxygen;

(b) the presence of flammable and/or toxic vapours; or
(c) excess of oxygen (which enhances flammability).
Where a confined space must be entered, an informed assessment as in paragraph
7 of the ACOP should be made of the likelihood of a dangerous atmosphere being
present or arising in the space to determine the necessary precautions which
should be taken before and during entry. Toxic and flammable hazards may arise
simultaneously. The normal oxygen content of air is about 20.8%.

18

Safety in docks

9 Toxic, flammable or explosive atmospheres can result for example from

vaporisation of bulk substances, or chemicals which have leaked from drums or
other packages, or disturbance of sludge and other deposits. They can also arise
from operations such as welding or flame cutting. Oxygen deficient atmospheres
can arise for various reasons, for example, oxidation of bulk cargoes (eg metal
sulphide concentrates such as zinc ore). They can also arise from rusting,
particularly in holds, ballast tanks and other similar spaces which have been closed
for a considerable time. Oxygen rich atmospheres can result from operations
involving the use of oxygen (eg use of welding or cutting equipment). The use of
oxygen to sweeten the atmosphere is a dangerous practice which should not be
permitted under any circumstances.

Page 72 of 103

Health and Safety

Executive

Guidance

10 The responsible person in charge of the operation (ACOP para 6 (b) refers)
should decide whether a formal permit-to-work procedure is required. Such a
procedure should always be used unless:
(a) the risks are low and can be easily controlled. Where they are unpredictable,
or if failure of one part of the system could lead to death or serious injury, a permit
to work system should be used;
(b) the system of work is simple. If it requires the sanction of more than one
person, or there is a time limit on entry, or if communications with the outside are
other than oral, then a permit to work system should be used;
(c) it is known that other work activities being carried out cannot affect safe
working in the confined space.

18
ACOP

11 Paragraph 7 of the ACOP, which deals with the assessment, allows a decision
to be made to permit entry to (for example) a well-ventilated cargo space which is
not liable to present a danger. Whenever it is not obvious that the space is safe, the
rule should always be test before entry.
12 Where the assessment shows that there is no conceivable risk of being
overcome either at that or any future time, entry may be made without
restriction. Similarly an assessment could be made that there is a risk, which
is then entirely eliminated with no foreseeable chance whatsoever of it
recurring. Entry could then also be permitted without restriction.
13 Where the assessment shows that
(a) there is a risk of being overcome (see paragraph 1), or
(b) that such a risk could arise during the course of work in the space,
entry should only be made where it is absolutely necessary to do so. Figure 1
summarises the sequence of decisions which should be made, and indicates
where permits-to-work may be necessary. In the case of (a) above, the
system of work should be based on a permit to work as set out in paragraphs
26-27 below. With regard to (b), where the potential risk is low and can be
easily controlled, the work is simple, and it is known that other work activities
cannot affect the safety of persons in the space, a full permit-to-work system
may not be necessary. In this case a check list may be used as an alternative.
14 In all cases of entry covered by paragraph 13, the responsible person
appointed under paragraph 6 (b) to take charge of the operation should
ensure that:

18

Safety in docks

(a) a suitable attendant is appointed to (i) be stationed at the entrance and

(ii) remain in immediate communication with any person in the confined
space;
(b) a supply of appropriate rescue equipment including breathing apparatus,
harnesses, lifelines, and resuscitation equipment is available for use at
the entrance to the space;
(c) suitably trained persons are available to assist with rescue should this
become necessary; and
(d) where a lifeline is used, a second person who holds the lifeline, and has
been trained how to pull an unconscious person from such a space, and
is capable of doing so, is at the entrance.

Page 73 of 103

Health and Safety

Executive

Figure 1 Sequence of decisions for entry into confined spaces (Regulation 18)
Safety in docks

Page 74 of 103

Health and Safety

Executive

ACOP

15 Where it is not possible to ensure a safe atmosphere, as in paragraph

13 (a) above, the responsible person should also ensure that:
(a) a permit-to-work system is used; and
(b) any person entering the space wears appropriate breathing apparatus, a
rescue harness and, where appropriate and possible, a lifeline.
16 Where there is no immediate risk of being overcome, as in paragraph
13 (b), breathing apparatus need not be used for entry into a space. To permit
such entry and to protect against the possibility of hazards arising during the
course of work in the space the responsible person should ensure that:
(a) where appropriate, the space is cleaned to remove residual substances. If
entry is necessary to carry this out, full precautions should be taken as in
paragraphs 14 and 15.
(b) the space is secured against the ingress of dangerous substances.
(c) the space is thoroughly ventilated by a safe method and ventilation is
continued during the period of entry.
(d) the atmosphere in the space is tested as necessary to establish that it is
safe to enter, and is monitored subsequently during occupation.
(e) work practices likely to give rise to a dangerous atmosphere are prohibited.

18
Guidance

17 Except for entry where a safe system of work is in operation as

described above, confined spaces where a dangerous atmosphere is, or
could be, present should be secured against unauthorised entry.
18 Wherever possible, conditions should be created so that it is unnecessary for
workers to wear respiratory protective equipment. Indeed, most work in confined
spaces is performed without the use of respiratory protection, in which case
adequate ventilation, both exhaust (to remove fumes etc) and inward (to provide
fresh air) must be ensured.
19 Specifically, for entry without breathing apparatus:
(a) The space should be properly isolated from flammable, toxic and asphyxiant
substances;
(b) The space should be properly purged with clean air and continuous ventilation
provided;
(c) The atmosphere inside the space should be tested before entry, and thereafter
continually monitored (say, every 15-20 mins) while work is in progress. If initial
testing entails entry into the space, then full precautions should be taken for
this as in paragraphs 14 and 15 of the ACOP; and
(d) Hazardous deposits (sludges, liquids, etc) should be removed before entry.
If entry into the space to remove such deposits is necessary then full
precautions should be taken as in paragraphs 14 and 15 of the ACOP.

17(4)
Safety in docks

20 In some circumstances it will not be possible to control fumes created by

the work (welding, painting, sludge removal etc) to a safe level, in which case
procedures including the use of appropriate respiratory protection will have to
be followed. Whenever respiratory protection is required to be worn, breathing
apparatus must be used, ie equipment supplied with clean air from a source
independent of the local atmosphere. Sometimes, because of restricted access,
it will be possible to use only air-line type breathing apparatus. A worker wearing
breathing apparatus will normally also need to wear a rescue harness and lifeline
to enable him to be pulled to safety if overcome. Exceptionally, the wearing of a
lifeline may be inappropriate due to the risk of entanglement on internal structures.
Breathing apparatus must be worn to rescue persons who have been overcome
inside a confined space, preferably by rescue team(s) with a minimum of two men.
Page 75 of 103

Health and Safety

Executive

Guidance

18
ACOP

18

21 Even if the conditions set out in paragraph 16 of the ACOP are met, where
there is no immediate risk to life, it may still be wise to use lifelines in certain cases.
Experience has shown that the provision of lifting gear to lift people out of spaces
is also advisable. Rescue procedures should be practised with persons who enter
confined spaces and these should involve the use of all necessary rescue equipment.
Paragraph 14 (a) of the ACOP requires that the attendant at the entrance should be
able to see or otherwise communicate with any person in the space.
22 Further guidance on permits to work will be found in HSE Guidance Note GS
5. The nature and complexity of the permit to work required will vary according to
the circumstances and the expected risks.
23 All test equipment, rescue equipment and breathing apparatus should
be properly maintained, inspected and checked for correct operation by a
competent person at appropriate intervals, and a record of the inspection
and checks should be kept. Any person required to use such equipment in
connection with entry into confined spaces should be appropriately trained.
24 Any breathing apparatus should be of a type approved, or should
conform to a standard approved, by HSE.

18

25 The appropriate inspection and checking intervals for rescue equipment and
breathing apparatus should be in accordance with advice from the suppliers. The
equipment should, in any case, be checked before use. Equipment for testing
the atmosphere of confined spaces, referred to in paragraph 7 of the ACOP,
including oxygen content meters, should be kept in good working order and,
where applicable, regularly serviced and calibrated. Due regard should be paid to
manufacturers recommendations.

ACOP

26 A permit-to-work should include:

Guidance

(a)
(b)
(c)
(d)
(e)

a description of the space;

the nature of the existing or potential hazard;
the names of the persons authorised to enter;
the time for which the permit is valid;
in the case of precautions to be taken before entry, such as isolation or
locking of valves, ventilation or cleaning, the permit should provide a place
for the persons taking these precautions to sign the permit to indicate that
the precautions have been taken; and
(f) details of the precautions taken or to be taken to ensure the safety of
the persons in the space, and where necessary the name of each person
required to take precautions whilst in the space, and the sequence of
operations.
27 The following precautions concerning permits-to-work should also be
observed:

18
Safety in docks

(a) before entering the space the person(s) doing so should sign the validated
permit to show that they have read and understood it, and, in cases where
the sequence of precautions they have to follow is complicated, they should
be given a copy of the completed permit. The responsible person should
explain the terms of the permit to them;
(b) at the conclusion of the work the persons who were in the space should if
they were given a copy of the permit return it to the responsible person;
(c) the responsible person should ensure that any steps necessary to prevent
any further entry into the confined space are taken;
(d) all copies of the permit should be kept available for inspection for six
months.
Page 76 of 103

Health and Safety

Executive

Guidance

28 Where Local Authority Fire Brigade personnel are following established Fire
Brigade procedures in an emergency situation, this should be considered adequate
to meet the requirements of Regulation 18.
29 In assessing possible risks in confined spaces, reference may be made to
the International Maritime Dangerous Goods Code (lMDG Code) which contains
useful information on the properties of certain chemicals. The International
Maritime Organisation (IMO) Code of Safe Practice for Solid Bulk Cargoes contains
information of both a specific and general nature on bulk cargoes eg it deals with
the risk of oxygen deficiency associated with bulk ore concentrates. These and
other relevant IMO Codes are listed in Appendix 4.

18

Regulation

19(1)
Guidance

19(1)
Regulation
19(2)
ACOP

30 It should also be remembered that there can be health risks arising from
airborne concentrations of certain substances found in confined spaces at levels
below those at which persons might be overcome, or at which there is a fire or
explosion risk. This Regulation does not deal with that type of problem, which is
covered by other legislation.

Regulation 19 - Welfare amenities and protective

clothing
(1) There shall be provided and maintained for the use of persons at work welfare
amenities which are in all the circumstances adequate and suitable.
1 Regulation 19(1) deals with the provision of adequate and suitable welfare
amenities. The term welfare amenities is defined in Regulation 2(1) (see paragraphs 28 - 29 of the Guidance to that Regulation) but its usage in Regulation 19
is qualified by the expression adequate and suitable. An example of a suitable
scheme is given at Appendix 10. The facilities should reflect the nature of the
dock operation being undertaken and the number of persons involved. In some
circumstances it may not be necessary to provide all of the amenities listed. Baths
or showers will only be required for personnel engaged in dirty or certain other
specialised activities. Protective clothing need only be provided for employees
subject to inclement weather, cold temperatures or dirt from handling dirty
cargoes. Appendix 11 gives guidance on the extent of the provision of sanitary
conveniences, washing facilities and showers which could reasonably be expected.
2 Itinerant workers and visitors to the dock area should be permitted to use
existing toilet and washing facilities on the premises. Port operators do not however
have a duty to provide facilities exclusively for such groups.
(2) If an employee is to work in a part of dock premises where there is a foreseeable
risk of injury to the head and a suitable safety helmet would provide protection
against that risk, his employer shall provide the employee with such a helmet, and the
employee shall wear the helmet in a proper manner when working there.
1 Employers should make an informed assessment of the areas and work
processes where safety helmets should be worn.
2 Where rigging work is carried out on containers, all persons liable to be
struck by falling lashing fittings should in particular be provided with safety
helmets.

19(2)
Safety in docks

3 Safety helmets should also be provided where loose cargo of a type

particularly liable to cause head injury is handled, such as scrap metal, or
other loose metal objects.
Page 77 of 103

Health and Safety

Executive

Guidance

4 Employers of itinerant workers should provide their own employees with safety
helmets and high visibility clothing as appropriate. The occupier of the premises
concerned will be expected to ensure that visitors to the premises are suitably
supplied with the appropriate protective equipment. Self-employed persons will
need to make their own provision unless the occupier of the premises has made
suitable arrangements. The person in control of the area concerned has a duty to
monitor the wearing of such items.
5 BS 5240 sets out a suitable performance standard for safety helmets provided
in accordance with Regulation 19(2).

19(2)
Regulation

6 Areas such as scrap metal terminals assessed by the employer as requiring

safety helmets should have appropriate signs erected requiring any person entering
that area to wear a suitable safety helmet.
(3) If an employee is to work on foot in an area in dock premises (a) where roll on and roll off operations are carried out,
(b) where work with straddle carriers is carried out,
(c) which is a lorry park,

19(3)
ACOP

his employer shall provide the employee with a suitable high visibility garment, and
the employee shall wear the garment in a proper manner when so working there;
except that in the case of an area described in sub-paragraph (c) above, the garment
need only be provided and worn if it is necessary for the employees safety.
1 Pedestrians who have at any time to be in an area where this Regulation
applies should wear a suitable high visibility garment. This applies equally
to drivers of straddle carriers and other vehicles if they should get off their
vehicles, but not whilst they are on their vehicles.
2 Each garment should be visually outstanding in the particular
circumstances of its use. The garment may be a jacket or waistcoat, or a
suitable belt or sash, and should be worn as an outer garment. It should be
suitable for wearing as an outer garment in all foreseeable weather conditions
and for the work the wearer has to do.

19(3)
Guidance

19(3)
Safety in docks

3 Where there is a comparable risk in areas other than those specified

in Regulation 19(3), the employer, in order to ensure compliance with his
duties under Section 2 of the HSW Act, may designate them as areas where
employees should be provided with high visibility garments. Employees have
duties under Section 7 of the HSW Act to wear garments with which they
have been provided when working in such areas.
4 Regulation 19(3) defines situations where high visibility garments should be
provided. These comprise ro-ro operations, interchange on straddle carrier grids in
container handling areas, and lorry parks, except where, in the case of lorry parks only,
it can be shown not to be necessary by virtue of the layout. The driver of a road vehicle
should not remain in the vehicle cab while it is parked on a straddle carrier grid awaiting
removal or placement of a container by a straddle carrier. He should stand forward of
his vehicle and in this case will not be on the grid. He will not therefore be subject to
the requirements of Regulation 19(3), since he will not be in a place where straddle
carriers are operating. See also HSE booklet HS(G)7 Container Terminals.
5 BS 6629: 1985 gives information on the optical performance of high visibility
garments. It should be noted that this British Standard indicates that marine
environments may present particular problems and the suppliers advice should be
sought.
Page 78 of 103

Health and Safety

Executive

Regulation
19(4)
Regulation
19(5)

(4) In paragraph 3(a) roll on and roll off operations means the driving of vehicles
onto and off ships carried out on the shoreside approach to the ship, on the means
of access to the ship, or on board the ship.
(5) Every self-employed person shall wear in a proper manner a suitable safety
helmet or a suitable high visibility garment in the circumstances where an employee
would be required by paragraphs (2) or (3), as the case may be, to wear such a
helmet or garment provided to him under the appropriate paragraph.

19(5)

1 Regulation 19(5) requires self-employed persons to wear safety helmets

and high visibility garments in the same circumstances that employees would be
required to wear them. This is to ensure consistency of legal duty throughout the
working area. While the primary duty is on persons at work to wear the equipment,
the person in control of the area should exercise general supervision of the wearing
of these items.

Regulation

Regulation 20 - Duty to report defective plant

Guidance

20

Where a self-employed person or an employee discovers any defect in any plant

which he is required to use in the course of dock operations which he cannot
rectify he shall, without unreasonable delay, report that defect to the person in
control of that plant, or in the case of an employee, to his employer or the person
in control of the plant.

ACOP 20

1 Arrangements for taking action on receipt of reports of defects are

discussed in paragraph 9 of the ACOP to Regulation 5.

Guidance

2 This Regulation imposes a duty on individuals to report defective plant. For

example, a fork lift truck driver who found a defect affecting the safe operation
of the vehicle would have to report the matter to his employer, or the person
controlling his activities.

20

Regulation

21(1)
Regulation

Regulation 21 - Exemption certificates

(1) Subject to paragraph (2), the Health and Safety Executive may, by certificate
in writing, exempt any person or class of persons, or activity or class of activities
to which these Regulations apply, from any requirement or prohibition imposed by
these Regulations and any such exemption may be granted subject to conditions
and to a limit of time and may be revoked by a certificate in writing at any time.
(2) The Executive shall not grant any such exemption unless, having regard to the
circumstances of the case, and in particular to (a) the conditions, if any, which it proposes to attach to the exemption; and
(b) any other requirements imposed by or under any enactment which apply to
the case,

21(2)

it is satisfied that the health and safety of persons who are likely to be affected by
the exemption will not be prejudiced because of it.

Regulation

(3) The Secretary of State for Defence may in the interests of national security, by
a certificate in writing, exempt from all or any requirements or prohibitions imposed
by these Regulations -

21(3)

Safety in docks

Page 79 of 103

Health and Safety

Executive

Regulation

(a) Her Majestys Forces;

(b) visiting forces within the meaning of any of the provisions of Part 1 of the
Visiting Forces Act 1952;
(c) any headquarters or organisation designated for the purposes of the
International Headquarters and Defence Organisations Act 1964; and
(d) any person engaged in the carriage, keeping or supply of any military
explosives (within the meaning of regulation 2(1) of the Classification and Labelling
of Explosives Regulations 1983) if that person is under the direct supervision of the
Ministry of Defence,

21(3)

and any such exemption may be granted subject to conditions and to a limit of
time and may be revoked by a certificate in writing at any time.

Regulation

Regulation 22 - Enforcement

22(1)
Regulation
22(2)
Guidance

22(1)-(2)

Regulation

(1) Notwithstanding the provisions of regulation 3, but without prejudice to

regulation 5, of the Health and Safety (Enforcing Authority) Regulations 1977, the
Health and Safety Executive shall, subject to paragraph (2), be responsible for the
enforcement of the relevant statutory provisions in relation to any activity carried on
in dock premises.
(2) Paragraph (1) shall not apply to the extent that some other authority or class
of authorities is made responsible for such enforcement by any of the relevant
statutory provisions other than the said Regulations of 1977.
1 Regulation 22 deals with enforcement of the Regulations. This will normally be
undertaken by HM Factory Inspectorate. A list of Area Offices is given in Appendix 5.
2 Under an agency agreement with the Health and Safety Commission, the
Railway Inspectorate of the Department of Transport enforces the requirements
of the HSW Act at most railway premises. Where railway premises fall within
dock premises, the Railway Inspectorate will enforce the provisions of the Docks
Regulations on the railway premises concerned. The Railway Inspectorate also has
powers under railways legislation on statutory railways, in particular to investigate
accidents both on statutory railways and also to employees whilst working for such
railways whether on or off the premises of the statutory railway.

Regulation 23 - Modifications to the Factories Act

1961
Section 125 of the Factories Act 1961 shall be modified as follows (a) for subsection (4), substitute:

(4) Nothing in this section shall apply to any machinery or plant which
is on board a ship and is the property of the ship owner or charterer, or
is rented, leased or hired by him or his agent, or is being purchased by
him or his agent under a hire-purchase agreement or a conditional sale
agreement (each within the meaning of section 53 of the Health and
Safety at Work etc. Act 1974).

(b) at the end of subsection (6), add:

23
Safety in docks

Except that this subsection shall not operate to apply the provisions
to chains, ropes and lifting tackle, cranes and other lifting machines, or
Page 80 of 103

Health and Safety

Executive

to the construction and maintenance of floors, passages and stairs, in

warehouses which are dock premises.

Regulation

(c) after subsection (6) add the following subsections:

23
Guidance

(7) The provisions of Part II of this Act, and any regulations made
under that Part, with respect to prime movers, transmission machinery,
other machinery, provisions as to unfenced machinery, construction and
maintenance of fencing, hoists and lifts shall apply to all dock premises
as if the dock premises were a factory, and the person having the control
of such matter were the occupier of the factory in respect of that matter.

(8) The provisions of section 173 of this Act (application to Crown)

shall apply to all dock premises as if the dock premises were a factory,
but only for the purpose of applying to the Crown such provisions of this
Act as are applied to docks, wharfs, quays and dock premises by virtue
of the foregoing provisions of this section.

(9) In subsections (6), (7) and (8) of this section dock premises means
any dock, wharf, quay, jetty or other place at which ships load or unload
goods or embark or disembark passengers, together with neighbouring
land or water which is used or occupied, or intended to be used or
occupied, for those or incidental activities, and any part of a ship when
used for those or incidental activities.

1 Regulation 23 modifies Section 125 of the Factories Act 1961 in three ways
and has the following effect:
(a) Machinery and plant on board a ship owned or hired by the ships owner or
charterer is excluded from the Act. Equivalent requirements for safety however
appear in merchant shipping legislation, under which duties are placed on
the owner, master and crew. The object of the exclusion in Regulation 23(a)
is to avoid overlap between the Factories Act 1961 and merchant shipping
legislation.
(b) The Factories Act 1961 applies safety requirements to cranes, other lifting
machines, chains, ropes, lifting tackle, and construction and maintenance of
floors, passages and stairs in dock warehouses. As dock warehouses used
for the purposes of dock operations are now covered by the general definition
of dock premises and requirements for safety in respect of the above are
covered by these Regulations, the exclusion introduced at Regulation 23(b)
avoids overlap between the Factories Act and the Docks Regulations 1988.

23

Safety in docks

(c) The safety requirements in the Factories Act 1961 relating to prime movers
(Section 12), transmission machinery (S 13), other machinery (S 14), unfenced
machinery (S 15), construction and maintenance of fencing (S 16), hoists and
lifts (Ss22, 23 and 25) are extended by Regulation 23(c) to dock premises
(except ships which are subject to merchant shipping legislation). The object
of this change is to extend existing legislation concerning hoists and lifts and
the fencing of machinery to cover all similar plant found in dock premises.
When considering safety requirements in respect of these matters it is
necessary to read the above sections of the Factories Act 1961 in conjunction
with the Docks Regulations 1988. Regulation 23(c) also extends to dock
premises the provisions of any Regulations made under Part II of the Factories
Act 1961 and relating to hoists and lifts, and the fencing of machinery. Two
such provisions are currently in force:

Page 81 of 103

Health and Safety

Executive

(i) The Hoists Exemption Order 1962, and

(ii) The Operations at Unfenced Machinery Regulations 1938.

Guidance

23

2 Regulation 23(c) also extends the provisions of Section 173 of the Factories
Act 1961 to dock premises. This Section is concerned with application to the
Crown. The specific provisions of the Factories Act 1961 will therefore bind the
Crown wherever these Regulations apply.

Regulation

Regulation 24 - Revocations and transitional

provisions

24(1)

(1) The Docks Regulations 1925 and the Docks Regulations 1934 are hereby
revoked.

Regulation

(2) Every certificate or register relating to a test or examination of plant carried out
before the plant was taken into use, and which certificate or register was required
to be kept in pursuance of any regulation revoked by these Regulations, shall,
notwithstanding the revocation, continue to be kept for the same period and in the
same manner as if these Regulations had not been made.

24(2)
ACOP
24(2)
Regulation

24(3)

Safety in docks

1 The keeping of certificates and registers in the same manner includes

keeping them for the same period as previously required.
2

Initial test certificates should be kept until the plant is scrapped.

(3) Every certificate or register relating to a periodic thorough examination

after the plant was taken into use, and which certificate or register was required
to be kept in pursuance of any regulation revoked by these Regulations, shall,
notwithstanding the revocation, continue to be kept for at least two years following
the date of the examination, and shall be so kept in the same manner as if these
Regulations had not been made.

Page 82 of 103

Health and Safety

Executive

Appendix 1 - Legislation relevant to health and safety

in dock operations
The following is a list of the principal Acts and Health and Safety Regulations which
may be relevant to dock activities, which include work in offices and workshops,
and construction work, which may be under control of the dock operator or owner,
as well as the dock operation itself.
Abrasive Wheels Regulations 1970 (SI 1970 No 535)
Construction (General Provisions) Regulations 1961 (SI 1961 No 1580 as amended
by SI 1966 No 94 and SI 1974 No 1681)
Construction (Health & Welfare) Regulations 1966 (SI 1966 No 95 as amended by
SI 1974 No 209 and SI 1981 No 917)
Construction (Lifting Operations) Regulations 1961 (SI 1961 No 1581)
Construction (Working Places) Regulations 1966 (SI 1966 No 94)
Control of Industrial Major Accident Hazards Regulations 1984 (SI 1984 No 1902)
Control of Lead at Work Regulations 1980 (SI 1980 No 1248)
Dangerous Substances (Conveyance by Road in Road Tankers and Tank
Containers) Regulations 1981 (SI 1981 No 1059)
Dangerous Substances in Harbour Areas Regulations 1987 (SI 1987 No 37)
Diving Operations at Work Regulations 1981 (SI 1981 No 399)
Docks and Harbours Act 1970
Docks Regulations 1988 (SI 1988 No 1655)
Electricity (Factories Act) Special Regulations 1908 and 1944 (SR and O 1908 No
1312 as amended by SR and O 1944 No 739)
Factories Act 1961
Fire Precautions Act 1971
Freight Containers (Safety Convention) Regulations 1984 (SI 1984 No 1890)
Health and Safety (First Aid) Regulations 1981 (SI 1981 No 917)
Health and Safety at Work etc Act 1974
Highly Flammable Liquids and Liquefied Petroleum Gases Regulations 1972
(SI 1972 No 917 as amended by SI 1978 No 209)
Hoists Exemption Order 1962 (SI 1962 No 715 as amended by SI 1967 No 759)
Horizontal Milling Machines Regulations 1928 (SR and O 1928 No 548 as amended
by SR and O 1934 No 207)
Ionising Radiations Regulations 1985 (SI 1985 No 1333)
Safety in docks

Page 83 of 103

Health and Safety

Executive

Loading and Unloading of Fishing Vessels Regulations 1988 (SI 1988 No 1656)
Locomotives and Waggons (Used on Lines and Sidings) Regulations 1906
(SR and O 1906 No 679 as amended by SI 1981 No 1327)
Merchant Shipping Acts
Merchant Shipping (Entry into Dangerous Spaces)
Regulations
Merchant Shipping (Dangerous Goods) Regulations
Merchant Shipping (Fire Appliances) Regulations
Merchant Shipping (Fire Protection) Regulations
Merchant Shipping (Health and Safety: General Duties)
Regulations
Merchant Shipping (Guarding of Machinery and
Safety of Electrical Equipment) Regulations
Merchant Shipping (Hatches and Lifting Plant)
Regulations

* As amended
from time
to time

Merchant Shipping (Life Saving Appliances)

Regulations
Merchant Shipping (Means of Access) Regulations
Merchant Shipping (Protective Clothing and Equipment)
Regulations
Merchant Shipping (Safe Movement on Board Ship)
Regulations
Merchant Shipping (Safety Officials and Reporting of
Accidents and Dangerous Occurrences) Regulations
Merchant Shipping (Tankers) (EEC Requirements)
Regulations
Motor Vehicles (Wearing of Seat Belts) Regulations 1982 (SI 1982 No 1203)
Notification of Installations Handling Hazardous Substances Regulations 1982
(SI 1982 No 1357)
Offices Shops and Railway Premises Act 1963
Petroleum-Spirit (Plastic Containers) Regulations 1982 (SI 1982 No 630)
Protection of Eyes Regulations 1974 (SI 1974 No 1681 as amended by SI 1975
No 303)
Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1985
(SI 1985 No 2023)

Safety in docks

Page 84 of 103

Health and Safety

Executive

Road Traffic (Carriage of Dangerous Substances in Packages etc) Regulations 1986

(SI 1986 No 1951)
Road Vehicles (Construction and Use) Regulations 1986 (SI 1986 No 1078)
Safety Representatives and Safety Committees Regulations 1977 (SI 1977 No 500)
Safety Signs Regulations 1980 (SI 1980 No 1471)
Shipbuilding and Ship-repairing Regulations 1960 (SI 1960 No 1932 as amended
by SI 1969 No 690, SI 1974 No 1681 and SI 1980 No 1248)
Woodworking Machines Regulations 1974 (SI 1974 No 903 as amended by
SI 1978 No 1126)
* An up-to-date list of current Merchant Shipping Regulations can be obtained from
Department of Transport Marine Directorate, Sunley House, 90-93 High Holborn,
London WC1V 6LP (Tel 01-405 6911)

Appendix 2 - HSE Guidance Notes relevant to health

and safety in dock operations
CS 15
GS 5
GS 8
GS 9
GS 19
GS 31
GS 39
GS 40

PM 7
PM 9
PM 15
PM 16
PM 20
PM 24
PM 26
PM 28
PM 34
PM 46
PM 54
PM 69

The cleaning and gas freeing of tanks containing flammable residues

Entry into confined spaces
Articles and substances for use at work
Road transport in factories
General fire precautions aboard ships being fitted out or under repair
Safe use of ladders, step ladders and trestles
Training of crane drivers and slingers
The loading and unloading of bulk flammable liquids and gases at
harbours and inland waterways
Lifts: thorough examination and testing
Access to tower cranes
Safety in the use of timber pallets
Eyebolts
Cable-laid slings and grommets
Safety at rack and pinion hoists
Safety at lift landings
Working platforms on fork lift trucks
Safety in the use of escalators
Wedge and socket anchorages for wire ropes
Lifting gear standards
Safety in the use of freight containers

HSE Guidance Booklets relevant to health and safety

in dock operations
HS(G)6 Lift trucks
HS(G)7 Container terminals
HS(G)10 Cloakroom accommodation and washing facilities
HS(G)11 Flame arresters and explosion reliefs
HS(G)12 Off-shore construction
HS(G)26 Transport of dangerous substances in tank containers
HS(R)7 A guide to the Safety Signs Regulations 1980
HS(R)8 A guide to the Diving Operations at Work Regulations 1981
Safety in docks

Page 85 of 103

Health and Safety

Executive

HS(R)13

HS(R)21

HS(R)22

HS(R)23

HS(R)24

HS(R)27

HS(R)28

A guide to the Dangerous Substances (Conveyance by Road in Road

Tankers and Tank Containers) Regulations 1981
A guide to the Control of Industrial Major Accident Hazards Regulations
1984
A guide to the Classification, Packaging and Labelling of Dangerous
Substances Regulations 1984
A guide to the Reporting of Injuries, Diseases and Dangerous
Occurrences Regulations 1985
A guide to the Road Traffic (Carriage of Dangerous Substances in
Packages etc) Regulations 1986
A guide to the Dangerous Substances in Harbour Areas Regulations
1987
A guide to the Loading and Unloading of Fishing Vessels Regulations
1988

Appendix 3 - British Standards relevant to health and

safety in dock operations
(This list is not necessarily comprehensive)
(Reference to a British Standard is a reference to the latest version of that standard)
BS MA 20
BS MA 31
BS MA 47
BS MA 48
BS 302
BS 327
BS 357
BS 461
BS 462
BS 463
BS 464
BS 466

BS 889
BS 1290
BS 1397
BS 1651
BS 1692
BS 1757
BS 2037

BS 2052
BS 2573
BS 2629
BS 2655
BS 2770
BS 2902

BS 2903

BS 3010

BS 3017
BS 3032
Safety in docks

Presentation of ships cargo gear particulars

Ships deck machinery - cargo winches
Code of Practice for ships cargo blocks
Code of Practice for design and operation of ships derrick rigs
Stranded steel wire ropes (parts 1-5)
Power-driven derrick cranes
Power-driven travelling jib cranes (rail-mounted low carriage type)
Bordeaux connections
Wire rope grips
Sockets for wire ropes
Thimbles for wire ropes
Power driven overhead travelling cranes, semi-goliath and goliath
cranes for general use
Flameproof electric lighting fittings
Wire rope slings and sling legs for general lifting purposes
Industrial safety belts, harnesses and safety lanyards
Industrial gloves
Gin blocks
Power-driven mobile cranes
Portable aluminium ladders, steps and trestles for the building and
civil engineering industries
Ropes made from manila, sisal, hemp, cotton and coir
Rules for the design of cranes
Pallets for materials handling for through transit
Lifts, escalators, passenger conveyors and paternosters
Pictorial marking of handling instructions for goods in transit
Higher tensile steel chain slings and rings, links alternative to rings,
egg links and intermediate links
Higher tensile steel hooks for chains, slings, blocks and general
engineering purposes
Code of Practice for safe use of cranes (mobile cranes, tower
cranes and derrick cranes)
Mild steel forged ramshorn hooks
Higher tensile steel shackles
Page 86 of 103

Health and Safety

Executive

BS 3114

BS 3243
BS 3458
BS 3481
BS 3551
BS 3701
BS 3726
BS 3810
BS 3951
BS 4018

BS 4128

BS 4211

BS 4278
BS 4344
BS 4409
BS 4430
BS 4436
BS 4465

BS 4531
BS 4536
BS 4654
BS 4667
BS 4898
BS 4928
BS 4942
BS 5073
BS 5240
BS 5281
BS 5304
BS 5323
BS 5395
BS 5489
BS 5639
BS 5655
BS 5744



BS 5845
BS 6109
BS 6166

BS 6210

BS 6349

BS 6382


BS 6570

BS 6629

Safety in docks

Alloy steel chain, Grade 80, polished short link calibrated load chain
for pulley blocks
Hand-operated chain pulley blocks
Alloy steel chain slings
Flat lifting slings
Alloy steel shackles
Hand operated plate-sided winches
Counterbalanced lift trucks - stability - basic tests
Glossary of terms used in materials handling
Freight containers
Pulley blocks for use with wire rope for a maximum lift of 25 tons in
combination
Selection, use and care of man-made fibre ropes in marine
applications
Ladders for permanent access to chimneys, other high structures,
silos and bins
Eyebolts for lifting purposes
Pulley blocks for use with natural and synthetic fibre ropes
Screw conveyors
Safety of powered industrial trucks
Reach and straddle fork lift trucks - stability tests
Design and construction of electric hoists for both passengers and
materials
Portable and mobile troughed belt conveyors
Heavy duty pulley blocks for use with wire ropes
Hooks for lifting freight containers of up to 30 tonnes
Breathing apparatus
Chain lever hoists
Man-made fibre ropes
Short link chain for lifting purposes
Guide to stowage of goods in freight containers
Industrial safety helmets
Ferrule-secured eye terminations for wire ropes
Code of Practice for safety of machinery
Code of Practice for scissor lifts
Stairs, ladders and walkways
Road lighting (Parts 1-8)
Fork arms for forklift trucks
Lifts and service lifts
Code of Practice for safe use of cranes (overhead/underhung
travelling and goliath cranes, high pedestal and portal jib dockside
cranes, manually-operated and light cranes, container handling
cranes and rail-mounted low carriage cranes)
Permanent anchors for industrial safety belts and harnesses
Code of Practice for tail lifts
Lifting slings. Methods of rating (Part 1) and specification for
marking (Part 2)
Code of Practice for the safe use of wire rope slings for general
lifting purposes
Code of Practice for maritime structures. Part 4. Design of
fendering and mooring systems
Flexible intermediate bulk containers. Part 1. Specification for
flexible intermediate bulk containers designed to be lifted from
above by integral or detachable devices
Code of Practice for the selection, care and maintenance of steel
wire ropes
Optical performance of high-visibility garments and accessories for
use on the highway
Page 87 of 103

Health and Safety

Executive

BS 6668


BS 6756
BS 6858

Textile lifting slings

Part 1 - Specification for lifting slings for general service made from
certain natural and man-made fibre ropes
Fibre rope cargo nets
Manually operated positioning devices and associated anchorage
lines for use with industrial safety belts and harnesses

Appendix 4 - Non-HSE literature relevant to health

and safety in dock operations
Code of practice for the safe use of lifting equipment

ICHCA1

Code for Existing Ships Carrying Liquefied Gases in

Bulk (1976 edition as amended) - applies to ships
constructed before 1977

IMO2

Code for the Construction and Equipment of Ships

Carrying Liquefied Gases in Bulk (1983 edition)
- applies to ships constructed after 1976 but before
July 1986

IMO

Code for the Construction and Equipment of Ships

Carrying Dangerous Chemicals in Bulk (1986 edition)
- applies to ships constructed before July 1986

IMO

Code of practice for lifting in the marine environment

Lloyds Register of Shipping

Code of practice for the safe use of lifting equipment

Chain Testers Association

Code of safe practice for solid bulk cargoes IMO

Safety in docks

Code of safe working practices for merchant seamen

Department of Transport
Marine Directorate (HMSO)

Container top safety - An overview

ICHCA

Fork Lift Truck Leaf Chains - Servicing (RP 15)

BITA3

Guidance Notes: Freight container securing arrangements

Lloyds Register of Shipping

Guide to safety and health in dockwork

lL04

Handling of ISO containers in low throughput situations

ICHCA

ILO code of practice - Safety and health in dockwork

ILO

IMO/ILO Guidelines for packing cargo in freight containers

or vehicles

IMO/ILO

International Code for the Construction and Equipment of

Ships Carrying Liquefied Gases in Bulk (IGC Code)
(1986 edition) - applies to ships constructed after June 1986

IMO

International Code for the Construction and Equipment of

Ships Carrying Dangerous Chemicals in Bulk (!BC Code)
(1986 edition) - applies to ships constructed after June 1986

IMO

International Maritime Dangerous Goods Code

IMO

Page 88 of 103

Health and Safety

Executive

Merchant Shipping Notices

Department of Transport
Marine Directorate

Operators Safety Code for Powered Industrial Trucks

BITA

Recommendations for safe slinging

NAPE5

Recommendations for the safe operation of container cranes NAPE

Safe packing and marking of cargo

NAPE

Safe operation of large lift trucks and ro-ro terminals

NAPE

Securing of ISO containers - Theory and practice

ICHCA

Selection and basic training of fork truck operators

RTITB6

Stowage of goods in containers on flats

Swedish National Committee

of ICHCA

Stowage of heavy goods in containers and on flats

Swedish National Committee

of ICHCA

Key to Abbreviations

Safety in docks

International Cargo Handling Co-ordination Association (UK)

46 High Street
Orpington
Kent
BR6 0JQ
(Tel 0689 71694)

International Maritime Organisation 4

Albert Embankment
London
SE1 7SR
(Tel 01-735 7611)

British Industrial Truck Association

Buckhurst Hill
Ascot
Berks
SL5 7RP
Tel 0990 23800)

International Labour Office

Turin International Centre
96-98 Marsham Street
London
SW1P 4LY
(Tel 01-828 640l)

National Association of Port Employers

Commonwealth House
1-19 New Oxford Street
London
WC1A 1DZ
(Tel 01-242 1200)
Page 89 of 103

Health and Safety

Executive

Road Transport Industry Training Board

Capitol House
Empire Way
Wembley
Middlesex
HA9 0NG
(Tel 01-902 8880)

Appendix 5 - HSE Area Offices responsible for

enforcement of the Docks Regulations 1988

Safety in docks

Area

Address

Telephone
Number

South West

Inter City House, Mitchell Lane,

Victoria Street, Bristol BS1 6AN

0272 290681

South

Priestley House, Priestley Road,

Basingstoke RG24 9NW

0256473181

South East

3 East Grinstead House, London Road,

East Grinstead, West Sussex RH19 1RR

0342 26922

London North

Maritime House, 1 Linton Road,

Barking, Essex IG11 8HF

01-5945522

London South

1 Long Lane, London SE1 4PG

01-407 8911

East Anglia

39 Baddow Road, Chelmsford CM2 0HL

0245 284661

Northern Home
Counties

14 Cardiff Road, Luton LU1 1PP

0582 34121

East Midlands

5th Floor, Belgrave House,

1 Greyfriars, Northampton NN1 2BS

0604 21233

10

West Midlands

McLaren Building, 2 Masshouse Circus,

Queensway, Birmingham B4 7NP

021-200 2299

11

Wales

Brunei House, 2 Fitzalan Road,

Cardiff CF2 1SH

0222473777

12

Marches

The Marches House, Midway,

Newcastle-under-Lyme, Staffs ST5 1DT

0782 717181

13

North Midlands

Birkbeck House, Trinity Square,

Nottingham NG1 4AU

0602470712

14

South Yorkshire & Sovereign House, 40 Silver Street,

Humberside
Sheffield S1 2ES

0742739081

15

West and North

Yorkshire

8 St Pauls Street, Leeds LS1 2LE

0532 446191

16

Greater
Manchester

Quay House, Quay Street,

Manchester M3 3JB

061-831 7111

17

Merseyside

The Triad, Stanley Road, Bootle,

Merseyside L20 3PG

051-922 7211

18

North West

Victoria House, Ormskirk Road,

Preston PR1 1HH

0772 59321

19

North East

Arden House, Regent Centre, Gosforth,

Newcastle-upon-Tyne NE3 3JN

091-284 8448

20

Scotland East

Belford House, 59 Belford Road,

Edinburgh EH4 3UE

031-225 1313

21

Scotland West

314 St Vincent Street, Glasgow G3 8XG

041-204 2646

Page 90 of 103

Health and Safety

Executive

Appendix 6 - Offices of Department of Transport

Marine Directorate

Safety in docks

District

District Office Address

Telephone Number

Bristol Channel

Oxford House
Hills Street
Cardiff CF1 2TD

0222 29556/7/8

East of England

Posterngate
Hull HU1 2LW

0482223066

East of Scotland

Marine Office
Blaikies Quay
Aberdeen AB9 2AZ

0224 574122

Liverpool

2nd Floor
Graeme House
Derby Square
Liverpool L2 7SQ

051-2366901

London

Walsingham House
35 Seething Lane
London EC3N 4AS

01-481 8081

North East of England

Government Buildings
Broadway West
Gosforth
Newcastle-upon- Tyne
NE3 2JL

091-285 7171

South and South West

of England

South Western House

Canute Road
Southampton S09 1NP

0703/223061

220917

West of Scotland and

Northern Ireland

15 Muirhouse Street
Glasgow G41 1QW

041-424 0330

Page 91 of 103

Health and Safety

Executive

Appendix 7 - Guidance on measurement of lighting

levels - Regulation 6(1)
Introduction
1 The purpose of these notes is to assist in making accurate measurements
at levels of lighting up to approximately 20 lux in order to assess the average
illuminance. Advice is given on the important characteristics required of the
measuring equipment (lightmeter) and guidance is given for conducting the
measurements.

Instrumentation
2 The lightmeter should:
(a) Have a wide angle of acceptance in order to minimise errors due to
directionality.
(b) Have an in-built correction feature for light reaching the detector at
oblique angles, eg a cosine corrected head.
(c) Possess a low sensitivity to differing light sources, eg simulated daylight
vs sodium or mercury vapour, or be provided with appropriate correction
factors.
(d) Exhibit a high enough sensitivity to read down to values of 1.0 lux or
less and a wide enough dynamic range to cope with illuminance levels
of hundreds of lux without overloading or damaging the instrument.
(NB: digital read-outs with a minimum number of scale changes are to
be preferred to analogue read-outs where interpolation between scale
points at the extremes of the range can often lead to significant errors.)
(e) Have an accuracy of at least that quoted for type 1 photometers in BS
667 ie 10%.
In addition an illuminated read-out and a quick warm-up time are desirable. A hold
facility for the read-out is a useful additional feature.
3 Instruments should be routinely serviced and calibrated by a competent
person at intervals of not greater than twelve months. Functional checks, eg battery
checks and read-outs against an appropriate check source, should be made before
the survey on each occasion of use.

Measurements - general considerations

4 In using the lightmeter, care should be exercised in selecting measurement
positions which are generally representative of the lighting conditions, not those
which would indicate the extremes which may exist. It is not reasonable therefore
always to orientate the meter towards the closest light source, nor is it reasonable
to choose a dark corner, remote from the main place of work or means of access.
The survey should, where relevant, take account of the weather conditions in
obtaining a representative assessment of the lighting conditions. In general, the
lightmeter should be positioned at around 1 m above the ground or floor level
which is a typical working position for many manual activities. Where measurement
at around 1 m clearly does not accurately represent the lighting level, for example,
because of obstructions which could lead to a tripping hazard being concealed or
inadequately lit, consideration can exceptionally be given to varying the height of
measurement. In all cases, the detector in the lightmeter should be parallel to the
ground or surface of the floor. A portable, adjustable stand or tripod to support the
lightmeter would be useful. Care should be taken to avoid standing between the
lightmeter and the light source, or placing the detector unreasonably in a region of
Safety in docks

Page 92 of 103

Health and Safety

Executive

shadow. At low lighting levels, where a lightmeter with an illuminated read-out is

used, care should be taken to avoid falsely high readings by inadvertently holding
the detector close to the read-out.

Measurements for access routes

5

When making measurements at means of access:

(a) The means of access route should be divided up into zones, each
representative of the local lighting conditions along the total path length.
(b) Within any one zone, a series of measurement positions should be
selected along the centre line of the means of access, with a separation
of typically 3 m for eg a long roadway and less, say 1 m, for short
connecting passageways.
(c) Measurements should be made in accordance with paragraph 4 above,
and repeated as appropriate in one or more additional zones depending
on the variability of the lighting along the total path. The measurements
should be such that:
(i) No single measurement is less than 1.0 lux 20% and
(ii) The average of the measurements for any one zone, as given by
the sum of the levels at each measurement position divided by
the number of measurements, is not less than 5.0 lux. Averaging
over a zone should normally be based on not less than 6 individual
measurements forming a representative sample.

Measurements for working areas

6

When making measurements in working areas:

(a) The working area should be divided into zones, each representative of
the local lighting conditions throughout that area. Each zone should be
divided up into appropriate 3 m squares (or less for places with limited
working space or static operations). Measurements should be taken at
the centre point of each square or a representative sample of squares.
For example, for a yard area illuminated by a symmetrical arrangement
of lighting towers, it would probably suffice to take measurements in
squares lying on a line from the centre of the area and passing through
the base of one tower, going outwards as far as necessary, and similarly
for a line running midway between two adjacent towers. Measurements
should be made in accordance with paragraph 4 above, and repeated as
appropriate in one or more additional zones depending on the variability
of the lighting throughout the area.
(b) In the case of large relatively evenly illuminated extended areas it may be
appropriate to divide zones into larger squares, say, up to 20 m square,
and take measurements in a representative sample of these.
(c) The measurements should be such that:
(i) No single measurement is less than 5.0 lux 20% and
(ii) The average of the measurements for any one zone, as given
by the sum of the levels at each measurement point divided by
the number of measurements, should not be less than 20 lux.
Averaging over a zone should normally be based on not less than 6
individual measurements forming a representative sample.

NB: Averaging across zones may be permissible where the work is mobile and
wide-ranging.
Safety in docks

Page 93 of 103

Health and Safety

Executive

7 While this guidance is principally designed for evaluating installed lighting

systems, account may be taken of local temporary lighting, eg vehicle spot lamps,
where these form an integral part of the agreed working arrangements.

Record of measurements
8 Written records of lighting surveys should be prepared by a competent
person, and should include the following particulars:
(a) the date, time and location of the survey,
(b) designation of the location, ie access route or working area, also the
nature and frequency of use,
(c) a full description of the lighting, including any defects,
(d) information on weather and other environmental conditions,
(e) details of the lightmeter used for measuring the lighting levels,
(f) information on the method used including measurement positions,
(g) the individual measurements, minimum values and average values,
(h) recommendations for any remedial action, which could include in certain
cases improved decoration for indoor parts of dock premises,
(i) details of remedial action taken.

Monitoring
9 The need and frequency for measurements to be repeated will depend
upon such factors as variations in the use of dock premises and maintenance
of the lighting scheme provided. It may be appropriate to reassess lighting levels
at intervals of 5 years, or more frequently if circumstances dictate that this is
necessary.

Appendix 8 - Guidance for medical practitioners on

standards of fitness
These notes are intended as guidance to medical practitioners and should not be
interpreted as rigid rules. Where a medical practitioner is in doubt as to particular
aspects of fitness in any individual case, he may consider contacting another
colleague who is experienced in assessing fitness for dock work. In cases of
difficulty, reference may be made to the Employment Medical Advisory Service.
1 Locomotor system There should be full movement of the trunk, neck, upper
and lower limbs. Balance should be normal with good eye, hand and foot coordination. There should be absence of disorders of the nervous system of a
progressive and disabling nature. Whereas amputation of the whole or substantial
part of a limb is normally a bar to this type of work, especially where climbing
to controls situated at a considerable height above the ground is concerned,
nevertheless a very experienced worker who loses a limb may be successfully reemployed on some forms of mechanical equipment after suitable training.
2 Mental disposition Mental alertness and stable disposition are required.
A history of serious mental illness would normally preclude such employment.
However, for example, a person who has demonstrated a full recovery from
neurotic illness could be considered for the less demanding types of mechanical
equipment control (eg fork lift truck driving). The consumption of alcohol and some
types of medication, such as tranquillisers, sedatives and antihistamines, may affect
alertness, co-ordination and mechanical ability.
3
Safety in docks

Vision Control of mechanical equipment in dock work requires good

Page 94 of 103

Health and Safety

Executive

judgement of space and distance and this generally requires effective use of both
eyes. If vision requires correction to meet acceptable standards then the means of
correction should always be worn when driving the vehicle or operating the lifting
plant. Distance vision should not normally be less than Snellen 6/12 corrected or
6/36 uncorrected in the worst eye. Contact lenses are permitted for correction of
visual acuity provided that the corrected vision is no worse than Snellen 6/12. Near
vision should be not less than N10 (Times New Roman) or J8 (Jaeger), corrected
or uncorrected in either eye. Visual fields should be full and there should be good
stereopsis. Colour vision should be adequate for the work concerned. Binocular
vision with good judgement of space and distance is essential for drivers and
operators of large vehicles and lifting plant at container terminals.
4 Hearing The ability to hear instructions and warning signals is important (the
wearing of a hearing aid may be permitted). This is particularly so where the driver
or operator is situated at controls in an isolated situation (eg the cab of a straddle
carrier or a container crane).
5 Specific medical conditions The presence of any disease or disability liable
to interfere with the drivers (or controllers) safety or the safety of others would
indicate unsuitability for this employment. This is particularly so with medical
conditions which carry a potential risk of sudden lapses of consciousness or
conditions which result in muscle weakness or inco-ordination.
(a) Epilepsy Persons performing work involving mechanical equipment in
dock operations should normally have been free from epileptic attack
since reaching the age of 5. However, an individual who is eligible for an
ordinary driving licence (ie who has been free from any epileptic attack
during the previous 2 years or has had such attacks only whilst asleep
during the previous 3 years and whose driving of a vehicle is not likely
to be a source of danger to the public) could be considered suitable for
driving smaller fork-lift trucks, whether or not on treatment.
(b) Diabetes mellitus Diabetics well controlled on oral hypoglycaernics and/or
diet alone can often undertake the operation of all forms of mechanical
equipment used in dock operations. Diabetics on insulin therapy should
be excluded from controlling vehicles and lifting appliances.
(c) Cardiovascular conditions A person should not be allowed to drive
vehicles or have control of lifting appliances in dock work if the following
conditions apply: a history (however remote) of coronary thrombosis;
evidence of ischaemic heart disease, some cardiac arrhythmias or
marked hypertension.
6 Work at heights Drivers of straddle carriers and operators of large cranes,
particularly container cranes, require a high level of physical stamina and agility in
order to gain safe access to controls situated at a considerable height above the
ground. Any person claiming a fear of heights should be excluded from this activity
as should any person with a history of vertigo, blackouts or fainting attacks. The
ability to climb ladders with safety and without undue fatigue must be considered
when assessing the fitness of workers to operate this type of equipment. Particular
attention should be paid to cardiovascular and respiratory functions. If assessment
of respiratory capacity is indicated, it should be carried out using one of the
recognised methods which provide numerical, repeatable and comparable results.

Safety in docks

Page 95 of 103

Health and Safety

Executive

Appendix 9 - Construction (Lifting Operations)

Regulations 1961 - Regulation 30(2)
No mobile crane having either a fixed or a derricking jib shall be used unless it
is fitted with an approved type of automatic safe load indicator which shall be
properly maintained. Every such indicator shall be tested by a competent person
before the crane is taken into use (a) on each occasion after it has been wholly or partially dismantled; and
(b) after each erection, alteration or removal of the crane for the purpose of any
operations or works to which these Regulations apply being an erection, alteration
or removal likely to have affected the proper operation of the indicator.
The indicator shall be inspected in any case at intervals not exceeding one week,
when the crane is in use, by the person carrying out the inspection required under
sub-paragraph (c) of paragraph (1) of Regulation 10 and the results of every such
inspection shall be reported in the manner specified in that sub-paragraph.
A copy of form 91, part 1, section E used for reporting the results of the tests
referred to above is shown opposite.

Safety in docks

Page 96 of 103

Safety in docks

AUTOMATIC SAFE LOAD

INDICATORS

1961

Factories Act 1961

Construction (Lifting Operations) Regulations

Description of Crane and Means

of Identification
(1)

Date of Test
(2)

Type of automatic safe load

indicator
(3)
Hoisting and lowering

Derricking, luffing or when

radius varied

Operation of Indicator
State whether indicator operates correctly
(4)

SECTION E

Signature of person
who made the test
(5)

Reports of the results of every test carried out in pursuance of paragraph (1) or (2) of Regulation 30 of an automatic safe load indicator

Work commencedDate

Address of site

Name or title of employer or contractor

Health and Safety

Executive

Page 97 of 103

Health and Safety

Executive

Appendix 10 - Welfare amenities

Example of suitable arrangements
1 - Sanitary conveniences
The sanitary conveniences referred to in this Schedule shall satisfy the following
requirements:
(a) A water closet shall be a closet being a separate fixed receptacle
connected to a drainage system and having a separate provision
for flushing from a supply of clean water either by the operation of
mechanism or by automatic action; having a door which will ensure
adequate privacy and to which is fitted a bolt or other locking device;
having a supply of toilet paper affixed by a suitable holder to the wall or
door of the closet.
(b) A urinal shall be connected to a drainage system and shall have
provision for flushing from a supply of clean water either by the operation
of mechanism or by automatic action; it shall be so placed as not to
be visible from outside the accommodation where it is situated. The
expression a urinal used in this Schedule means one stall of a urinal or,
where stalls are not provided, 600 mm of space of a urinal.
(c) All sanitary conveniences shall be accommodated under cover to an
extent sufficient to ensure protection from the weather for persons using
them, and such accommodation shall be adequately ventilated and
illuminated.
(d) The floors, walls and particulars of all sanitary conveniences shall be
finished with impervious and washable materials.
In cases of water closets provided in barge tugs and at river roads the words
connected to a drainage system and the word clean as applied to water, in (a)
above need not apply.

2 - Bathing facilities
The bathing facilities referred to in this Schedule shall satisfy the following
requirements:
(a) Adequate and suitable facilities shall be provided for taking hot and cold
showers or other baths as indicated in the Schedule.
(b) Such facilities shall have suitable arrangements for privacy.
(c) There shall be in close proximity to such facilities suitable
accommodation for dressing, undressing or changing clothes, and an
adequate number of lockers, baskets or pegs for the accommodation of
clothing belonging to persons using the baths; and such accommodation
shall be under the same roof as the accommodation containing the
bathing facilities.
(d) Such facilities shall be placed in the charge of a responsible person or
persons and maintained in a clean and orderly condition.

Safety in docks

Page 98 of 103

Health and Safety

Executive

3 - Washing facilities
The washing facilities referred to in this Schedule shall satisfy the following
requirements:
(a) Each wash basin shall be a fixed basin (preferably of glazed vitreous
china) with a smooth impervious face, having a supply of clean running
hot and cold or warm water and fitted with a waste pipe and (except
where the supply of water is from a spray top) with a plug.
(b) The expression wash basin used in this Schedule means either a fixed
basin as defined in (a) above, or a unit of a trough. A unit of a trough
means 600 mm of the circumference of a circular or oval trough or 600
mm of the length of a trough not less than 1.2 m long.
(c) Where one or more wash basins are provided there shall be always
available a sufficient supply of soap and adequate facilities for handdrying whether by means of towels, hot-air equipment or other suitable
means.
(d) All washing facilities shall be accommodated under cover to an extent
sufficient to ensure protection from the weather for persons using them,
and such accommodation shall be adequately ventilated and illuminated.
In cases of washing facilities in barge tugs and at river roads the words running as
applied to hot and cold or warm water in (a) above need not apply.

4 - Drinking water
The drinking water facilities referred to in this Schedule shall satisfy the following
requirements:
(a) Wholesome drinking water shall be supplied, where practicable, by
means of a jet designed for drinking without the use of a vessel from
a piped supply affixed to the wall of a suitable building. Where it is not
practicable to supply water by means of a jet there shall be provided a
supply of drinking vessels of a kind designed to be discarded after use.
(b) Where drinking water is not provided by means of a jet it shall be clearly
marked Drinking Water.
In cases of drinking water in barge tugs and at river roads, containers for such
water shall be properly maintained and replenished, and shall be fitted with a tap
clearly marked Drinking Water.

5 - Cloakroom and changing facilities

The cloakroom and changing facilities referred to in this Schedule shall satisfy the
following requirements:
(a) Adequate and suitable accommodation shall be provided for the deposit
of (i) clothing not worn during working hours; and
(ii) protective and other clothing used for work.
(b) Sufficient lockers, cupboards, baskets or pegs shall be provided in such
accommodation for the stowing of such clothing.
(c) Such arrangements as are reasonably practicable shall be provided for
drying wet clothing in the aforesaid accommodation.
(d) Such accommodation shall be adequately ventilated and illuminated.

Safety in docks

Page 99 of 103

Health and Safety

Executive

6 - Canteens and messrooms

The canteen and messroom facilities referred to in this Schedule shall satisfy the
following requirements:
(a) A canteen is a building where hot meals may be purchased at
appropriate times.
(b) A messroom is a building in which shall be provided adequate means for
warming food and boiling water.
(c) Canteen and messroom accommodation shall be (i) adequately ventilated and lighted and sufficiently warmed for use at
meal times;
(ii) provided with sufficient tables and chairs or benches with back
rests; table tops should, as far as practicable, have impervious
surfaces and chairs should be capable of being sponged or wiped
down;
(iii) placed in charge of a responsible person;
(iv) kept in a clean and orderly condition;
(v) separate from any place of work or from accommodation provided
for clothing.
(d) Where practicable the floors of canteens and messrooms shall be
constructed of material impervious to water and with a readily washable
surface; where it is not practicable to construct the floor with impervious
washable material it should be covered with a material having those
qualities.

7 - Shelters
The shelter facilities referred to in this Schedule shall satisfy the following
requirements:
(a) The accommodation provided shall be adequate and suitable to afford
protection from inclement weather during interruptions of work. Such
accommodation shall be adequately ventilated and illuminated.
(b) Shelters described as Barge cabins in this Schedule shall in each case
be adequately insulated from the metalwork of the barge structure and
shall be satisfactorily heated and adequately sealed against infestation by
vermin. In such shelters the words adequately ventilated and illuminated
in (a) above need not apply.

8 - Protective clothing
Protective clothing shall be provided in accordance with any local agreements,
which shall make specific provision for:
(a) Adequate and suitable waterproof clothing, where dock workers are
required to continue working in the open air in inclement weather.
(b) Adequate and suitable clothing, where dock workers are required to
handle dirty or dusty cargoes contact with which is likely to result in
permanent damage to personal clothing and possible damage to the
handlers hands, feet, eyes or scalp, from noxious substances.
(c) All such protective clothing to be maintained in good repair and in
suitably clean condition.

Safety in docks

Page 100 of 103

Health and Safety

Executive

Appendix 11 - Welfare amenities

Guidelines for the provision of sanitary conveniences,
washing and shower facilities
Amenity

Recommended provision

Water closets and urinals

One sanitary convenience (not being a

convenience suitable merely as a urinal) for every
25 persons up to the first 100. For more than 100
persons, provided there is sufficient urinal
accommodation, one for every 40 over 100.

Washing facilities

Clean cargoes - one wash basin, or 600 mm of

circular washstand, for every 10 persons.

Special cargoes - one wash basin, or 600 mm of

circular washstand, for every 5 persons.

Showers

One shower per 15 persons likely to handle special

cargoes.

Appendix 12 - Particulars approved by HSE for

vessels under Regulation 8(2)(f)
The approved particulars required under Regulation 8(2)(f) are:
(a) Name and address of the person carrying out the examination of the
vessel.
(b) Qualifications of the person carrying out the examination.
(c) Date of the examination.
(d) Description and identification of the vessel.
(e) Number of persons including crew that the vessel is fit and suitably
equipped to carry.
(f) Waters, including restrictions, on which the vessel may travel.
(g) Confirmation that the vessel is equipped with adequate life-saving
appliances, and what these comprise.
(h) Date of expiry of the certificate.
(i) Date that the certificate was made out.
(j) Signature of the person carrying out the examination.
Note: Form F2525 may be used for recording these particulars. It is available from
HMSO.

Safety in docks

Page 101 of 103

Health and Safety

Executive

Appendix 13 - Particulars approved by HSE for testing

and thorough examination of lifting plant under
Regulation 17(1)
(a) Particulars required on a certificate or report following a test of lifting plant
under Regulation 14, or a test under Regulation 14 and a thorough examination
under Regulation 15.

(i) Description and identification mark of the equipment referred to.

(ii) The safe working load (or loads) and (where relevant) corresponding radii.
(iii) Details of the test, or test and thorough examination, carried out.
(iv) Date (or dates) of completion of the test, or test and thorough
examination.
(v) A declaration that the information is correct, that the equipment
has been suitably tested in accordance with Regulation 14, or tested in
accordance with Regulation 14 and thoroughly examined in accordance with
Regulation 15, and is found free from any defect likely to affect safety, and any
other observations the person making the declaration may see fit to make.
(vi) Name and address of the person declaring that the test or test and
thorough examination has been carried out.
(vii) Date the certificate or report of the test or test and thorough examination
is issued.
(viii) Name and signature or other authentication of the person making the
declaration that the test or test and thorough examination has been carried
out.
(ix) Number of certificate or report.

(b) Particulars required on a certificate or report following a thorough examination

of lifting plant under Regulation 15.

(i) Description and identification mark of the equipment referred to.

(ii) Date of the last thorough examination and number of certificate or report
of such thorough examination.
(iii) The safe working load (or loads) and (where relevant) corresponding radii.
(iv) Details of any defects found and, where appropriate, a statement of the
time by which the defects shall be rectified.
(v) Date of completion of the thorough examination.
(vi) Latest date by which the next thorough examination should be carried
out.
(vii) A declaration that the information is correct, that the equipment has
been thoroughly examined in accordance with Regulation 15, and whether
there are conditions, if any, regarding use in a safe and proper manner which
the person making the declaration may see fit to impose, and any other
observations he may see fit to make.
(viii) Name and address of the person responsible for the thorough
examination.
(ix) Date the certificate or report of the thorough examination is issued.
(x) Name and signature or other authentication of the person making the
declaration that the thorough examination has been carried out.
(xi) Number of certificate or report.

Note: Forms F2526 and F2527 respectively may be used for recording these
particulars. They are available from HMSO.

Safety in docks

Page 102 of 103

Health and Safety

Executive

Further information
For information about health and safety, or to report inconsistencies or inaccuracies
in this guidance, visit www.hse.gov.uk/. You can view HSE guidance online and
order priced publications from the website. HSE priced publications are also
available from bookshops.
British Standards can be obtained in PDF or hard copy formats from BSI:
http://shop.bsigroup.com or by contacting BSI Customer Services for hard copies
only Tel: 020 8996 9001 email: cservices@bsigroup.com.

Printed and published by the Health and Safety Executive

05/12
Page 103 of 103