Approved Code of Practice for Cranes

Part 2: Application of the regulations

2.1 Regulations

[1] Introduction

Part 2 is provided to assist readers to interpret and apply the PECPR Regulations to cranes.
The headings used in this part of the code follow the headings in the corresponding parts of the regulations.
The summary provided is necessarily brief. If there is any conflict between this commentary and the regulations, the regulations take precedence.

[2] Interpretation

Key words and terms are defined in part 1 of this code. (See also schedule 1 of the PECPR Regulations.)

[3] Meaning of “controller”

A “controller” of equipment is the person who is the owner, lessee, sublessee or bailee of equipment in a workplace.

[4] Meaning of “equipment”

Reference to equipment in this code means:

in relation to a controller, refers to equipment for which the controller is the owner, lessee, sublessee or bailee
in relation to a designer, refers to equipment being designed or already designed
in relation to a manufacturer, refers to equipment being manufactured or already manufactured
in relation to a supplier, refers to equipment being supplied or already supplied.

[5] Exemptions for controllers, designers, manufacturers or suppliers

The Secretary may grant an exemption from any duty imposed by the regulations on controllers, designers, manufacturers or suppliers.
The Secretary may impose any condition thought fit on an exemption and, in certain cases where it applies to ALL controllers, designers, manufacturers and suppliers, must publish details of an exemption in the New Zealand Gazette.
The Secretary may, at any time, cancel an exemption and must publish a notice in the New Zealand Gazette indicating that an exemption is to be cancelled and the date on which the cancellation takes effect.

[6] Exemptions for equipment

The Secretary may exempt equipment from any or all of the regulations and impose any condition thought fit on the exemption. Details of the exemption will be published in the New Zealand Gazette.
The Secretary may, at any time, cancel an exemption given to equipment and publish a notice in the New Zealand Gazette indicating that an exemption is to be cancelled and the date on which the cancellation takes effect.

[7] Relationship between the Act and regulations

Except where an exemption is granted, a person on whom a duty is imposed by these regulations must comply with that duty even though the Health and Safety in Employment Act 1992 may impose the same, similar or additional duty.

2.2 Duties of controllers

[1] Information to be held by the controller

Controllers of cranes shall obtain from the manufacturer or supplier:
1. any catalogues, drawings, manuals, specifications and other information required to ensure that all relevant activities can be carried out safely
2. drawings, manuals and other data including design verification, inspection and test certificates that are necessary to establish that the equipment has been designed, manufactured, erected and commissioned in accordance with the PECPR Regulations.
Where the information noted in 2.2(1)(a)(i) or (ii) is not available from the manufacturer or supplier, it shall be obtained from some other source. This data shall comply with the requirements of any quality management system under which the equipment is operated, or confirmed as suitable for the equipment by an inspection body.
The controller must keep all information that is necessary to demonstrate compliance with the PECPR Regulations at the place of work. This includes:
1. certificates of design verification and the documents and drawings to which they refer
2. all certificates of inspection and test reports arising from manufacturing, erection and commissioning
3. erection and commissioning information required for the safe operation, maintenance and servicing of the equipment
4. manufacturer’s data reports including details of nominal wall thickness and corrosion allowances
5. the date, time, full description and the inspection and test reports for any repair or alteration
6. maintenance records
7. documentation for all usage of the crane.
This data must be kept secure and be available to all persons requiring access to it, including equipment inspectors. It shall be kept available for reference until disposal of the equipment.

[2] Accident notification

Controllers shall ensure that, where any event occurs in a place of work that:

causes damage that affects the safety of equipment, or
has the potential to affect the safety of equipment, and
which could have resulted in serious injury

they notify the Secretary as soon as possible. This initial notice may be provided by phoning 0800 20 90 20 and must, within seven days of the event occurring, be followed by a detailed report to the Secretary. The report must be in writing and be prepared by an inspection body – other than that which issued the latest certificate of inspection for the equipment in question – or a chartered professional engineer independent of the controller.

[3] Duties in relation to operation

Controllers shall take all practicable steps to ensure, with respect to operating of equipment, that:

it is safe and operated safely within the limits for which it was designed and it is maintained in a safe condition
it is not operated if it does not have a current certificate of inspection
equipment that has been adjusted, altered or repaired is, where appropriate, inspected and issued with a new certificate of inspection before it is put back into operation.

[4] Duties in relation to repairs or alterations

Every controller must take all practicable steps to ensure, in relation to a repair or alteration affecting the operational safety of the equipment repaired or altered, or any other equipment, that:

the repair or alteration is designed in accordance with these regulations
design verification requirements for the design specified by the designer are complied with
the repaired or altered equipment is subject to equipment inspection in accordance with these regulations.

2.3 Duties in relation to unsafe equipment

[1] Employees’ duty

Employees of controllers shall take all practicable steps to advise the controller, as early as practicable, of any equipment or activity that they believe to be unsafe.

[2] Investigation of potentially unsafe equipment

Controllers shall ensure that, where they become aware of equipment that may be unsafe, the matter is investigated by a competent person in a manner that is both timely and appropriate for the circumstances.
Where equipment is determined to be unsafe, the controller shall:
1. withdraw the equipment from service and render it inoperable
2. clearly mark the equipment as withdrawn from service
3. record details of the equipment withdrawn from service and its location
4. not return the equipment to service until it has been restored to a safe condition
5. where appropriate, have the equipment inspected by an equipment inspector and issued with a new certificate of inspection
6. record details of any inspection and testing carried out to confirm that remedial work is satisfactory.

[3] Notification of type fault

If a controller believes that equipment may have a type fault, the controller shall, as soon as practicable, give the manufacturer and supplier written notice to this effect. “Type fault” is defined under 1.3 Definitions.

[4] Correction of type fault

Where a manufacturer or supplier is advised in writing of a type fault under regulation 14, or otherwise becomes aware of a possible type fault, they shall determine whether a type fault exists. If a type fault exists, then the manufacturer or supplier shall:
1. stop manufacture and supply of that equipment until the fault is corrected
2. advise controllers of that equipment of any precautionary measures that should be taken
3. if the type fault is an immediate risk to safety, advise the controller to withdraw the equipment from service
4. at their expense, arrange for any type fault to be corrected.
A manufacturer or supplier who determines that equipment has a type fault must advise the Secretary of details of the fault and what measures are being taken to correct it.

2.4 Duties of designers, manufacturers and suppliers

[1] Relationship to duties in the Health and Safety in Employment Regulations 1995

The duties imposed on designers, manufacturers and suppliers under part 3 of the PECPR Regulations complement the duties imposed by part VII of the Health and Safety in Employment Regulations 1995.

This means, for example, that:

designers must comply with regulation 18 (see 2.4(3) below). This is in addition to the requirements of regulation 66(2) of the Health and Safety in Employment Regulations 1995.
manufacturers must comply with regulation 19 (see 2.4(4) below). This is in addition to the requirements of regulation 67(1) of the Health and Safety in Employment Regulations 1995.
manufacturers and suppliers must comply with regulation 21 (see 2.4(6) below). This is in addition to the requirements of regulations 67(3) and 67(4) of the Health and Safety in Employment Regulations 1995 and must comply with Section 18A of the Health and Safety in Employment Act 1992.

[2] Sufficient compliance with duties in regulations 18 to 20

The Secretary may recognise standards and codes relating to the operational safety of equipment and may impose any limit or condition thought appropriate on any recognition. Such standards and codes may relate to, for example:
1. load
2. operating life
3. design verification and inspection.
The Secretary may also withdraw recognition of standards.
A notice must be published in the New Zealand Gazette of any recognition that has been granted or withdrawn. A recognition notice must include details of any limits or conditions that have been imposed on the recognition.
Designers, manufacturers and suppliers will have complied with a duty relating to design, design verification, fabrication inspection, manufacture and supply which is placed on them by the PECPR Regulations, provided they have complied with a recognised standard that relates to that specific duty.

Note:

Standards recognised by the Secretary are listed in Appendix C: Reference standards and documents.
Details of any changes to the list of recognised standards since issue of this code are available from the Secretary.

[3] Duties relating to design and design verification

Designers shall ensure that all equipment or any alterations to equipment are designed in accordance with the appropriate standards specified in Appendix C of this code, or otherwise recognised by the Secretary. This includes taking into account any seismic design requirements for the equipment as per NZS 1170.5:2004 Structural design actions – Earthquake actions.
Where there are no recognised standards applicable to an item of equipment, then it shall be designed in accordance with the standards of generally-accepted industry practice.
Designers shall ensure that equipment, or any alteration to equipment they design:
1. is safe when used in accordance with its intended purpose
2. has its design life determined and specified in the design documents
3. has its design verification requirements determined and specified in the design documents
4. has its manufacturing requirements specified in the design documents
5. has its fabrication inspection requirements determined and specified in the design documents.

[4] Duties relating to manufacture and fabrication inspection

Manufacturers shall ensure that the designers of equipment they are to manufacture have complied with regulation 18.
Manufacturers of equipment shall ensure that any manufacturing is carried out in accordance with a verified design and the manufacturing requirements specified in the design.
Manufacturers shall ensure that any design changes to equipment during manufacture are approved by the designer and, where appropriate, design verified.
Manufacturers shall ensure that equipment is inspected and tested by an inspection body in accordance with the requirements of the manufacturing standard, and any inspection and test plan (ITP) specified by the designer.
Manufacturers shall ensure that inspection reports are prepared by the equipment inspectors for the equipment they inspect. The manufacturer shall obtain copies of these inspection reports.
Manufacturers of equipment that has been designed overseas shall ensure that it has been designed and design verified to a standard that is equivalent to that required by regulation 18.

Note: Manufacturers who intend using a design from overseas are advised to seek the assistance of their inspection body before committing to manufacture.

[5] Duties relating to supply

Suppliers of cranes manufactured in New Zealand shall ensure that, before such equipment is supplied, the manufacturer has complied with regulation 19.
Suppliers of imported equipment shall ensure that it has been designed, design verified, manufactured, inspected and tested in accordance with regulations 18 and 19.
Every supplier must take all practicable steps to ensure, when importing, for supply, equipment manufactured in another country, that it has not already exceeded its designated design life.

[6] Duties relating to the provision of information

Designers, manufacturers and suppliers are to take all practicable steps to ensure they provide the following information for the use of purchasers or hirers of equipment:
1. All data that is necessary to ensure that every activity involving the equipment can be carried out safely. This means general arrangement drawings, manuals and any other data relevant to the safe operation of the equipment. Where appropriate, this shall include records of previous use.
2. All documentation necessary to establish that the equipment has been designed, design verified, manufactured and inspected in accordance with this approved code of practice. This means certificates of design verification and certificates of inspection issued by an inspection body.
3. Records of previous use.
Manufacturers shall ensure that equipment is labelled with key data relevant to its safe operation. This should include:
1. the name of the manufacturer, the year of manufacture and the unique identifier assigned by the inspection body
2. relevant operating parameters such as safe working loads, etc.

2.5 Administrative provisions

[1] Sufficient compliance with functions in regulations 23 to 35

The Secretary may, subject to any conditions thought necessary, grant recognition to standards, codes or other documents containing requirements relating to:
1. recognition procedures, or
2. functions and recognition of inspection bodies, or
3. design verifiers and equipment inspectors, or
4. quality management systems, or
5. qualification issuing agencies, or
6. design verification and inspection certificates, or
7. certificates of competence.
  
  The clauses containing requirements relating to these matters are 2.5(2) to 2.5(8) and 2.6(1) to 2.6(6) inclusive.
The Secretary must publish a notice in the New Zealand Gazette specifying details including any limits or conditions of the recognition that has been granted. The Secretary may also withdraw recognition of a document and must publish details of withdrawal of recognition in the New Zealand Gazette.
Provided there is no other evidence to the contrary, a standard or code recognised by the Secretary remains recognised until notice of its withdrawal of recognition has been published in the New Zealand Gazette.
Compliance with a recognised document meets the requirements of regulations 23 to 35 provided the document covers the subject matter of the regulations.
Standards and codes listed in Appendix C: Reference standards and documents are recognised by the Secretary.

[2] Recognition procedures

The Secretary, on receipt of a written application, may grant recognition as described in:
1. regulation 25(1) to a New Zealand inspection body, or
2. regulation 25(2) to an overseas inspection body, or
3. regulation 29(2) to a qualifications issuing agency.
The Secretary must:
1. notify the applicant in writing of a grant of recognition
2. specify the period for which the recognition is current
3. specify any limits and conditions on the recognition.
The Secretary may also withdraw a condition of recognition:
1. if satisfied that a condition has not been observed, or
2. it would otherwise be in the interests of safety to do so, and
3. after giving an individual or organisation concerned an opportunity to be heard.

The Secretary must notify the individual or organisation concerned of the withdrawal of recognition.

[3] Inspection bodies: functions

The functions of inspection bodies are to:
1. perform design verification and the issuing and cancelling of certificates of design verification on the recommendation of design verifiers
2. perform equipment inspection and the issue, renewal, suspension and cancellation of certificates of inspection on the recommendation of equipment inspectors
3. suspend and cancel certificates of inspection, issued by other inspection bodies, on the recommendation of equipment inspectors
4. advise the Secretary of any equipment that is so unsafe that the inspection body, on the advice of equipment inspectors, has refused to issue or renew a certificate of inspection, or has suspended or cancelled its certificate of inspection
5. provide a unique identifier for equipment when issuing its first certificate of inspection. This unique identifier must be permanently applied to the equipment by the equipment inspector, usually by hard stamping, at the time of the first inspection.
Inspection bodies, depending on the scope of their accreditation, employ design verifiers and/or equipment inspectors to perform the design verification and equipment inspection work in 2.5(3)(a).

[4] Inspection bodies: recognition

Inspection bodies operating in Australia and New Zealand may be recognised by the Secretary provided:
1. they are accredited to ISO 17020 (EN 45004) by International Accreditation New Zealand (IANZ), or by the National Association of Testing Authorities, Australia (NATA)
2. the Department of Labour has been given the opportunity to participate during the accreditation audit and subsequent surveillance audits of the inspection bodies
3. they have procedures in place that ensure that persons employed as equipment inspectors or design verifiers have appropriate certificate of competence issued by the Certification Board for Inspection Personnel (CBIP), the Institution of Professional Engineers New Zealand (IPENZ), or the Secretary
4. they have procedures in place that ensure that trainee design verifiers and trainee equipment inspectors hold appropriate qualifications, have the necessary experience and skills and are effectively supervised
5. they have procedures in place that ensure that design verification or equipment inspection is carried out by persons holding a relevant certificate of competence
6. they carry out their work in an objective fashion that promotes safety and the public interest
7. there is no reasonably foreseeable conflict of interest between their design verification and equipment inspection activities and any other work they may undertake.
Inspection bodies operating outside Australia and New Zealand may also be recognised by the Secretary provided:
1. they are accredited to a recognised industry standard by an organisation that has a mutual recognition agreement with International Accreditation New Zealand, or
2. they have the status of an inspection body under the law of the country in which they have their headquarters. The law must require accreditation or equivalent and impose requirements that are comparable to those imposed on New Zealand and Australian inspection bodies.

[5] Design verifiers

Design verifiers perform design verification on behalf of an inspection body and make recommendations to the inspection body on the issuing and cancellation of certificates of design verification.

[6] Equipment inspectors

Equipment inspectors perform equipment inspection on behalf of an inspection body and make recommendations to the inspection body on the issue, renewal, suspension or cancellation of certificates of inspection. These recommendations shall be made to the inspection body regardless of whether that inspection body was responsible for the issue of any current certificate of inspection.
They must inform manufacturers and controllers on matters relating to the safety of the equipment that they inspect and on any action to be taken to make the equipment safe.

[7] Quality management systems

Quality management systems shall be certified to a recognised industry standard by an agency accredited by the Joint Accreditation System of Australia and New Zealand (JAS-ANZ).
Controllers shall give the Department of Labour the opportunity to participate in the certification audit and subsequent surveillance audits.
Controllers with a quality management system for equipment must conform with the requirements of that quality management system.

[8] Qualification issuing agencies

Qualification issuing agencies issue certificates of competence and advise applicants on the equivalence of qualifications obtained outside New Zealand.
The Secretary may recognise an organisation as a qualification issuing agency if satisfied that it is competent to perform this function.
A qualification may be issued by a qualification issuing agency only after it has determined by examination and/or assessment that the person seeking the qualification has the requisite training, skills, knowledge and experience.
The relevant qualification issuing agencies recognised by the Secretary and the occupational groups for which they issue qualifications include:
1. Certification Board for Inspection Personnel (CBIP) for equipment inspectors
2. Institution of Professional Engineers New Zealand (IPENZ) for design verifiers.
The Secretary may request a qualification issuing agency to supply names of persons holding a particular certificate of competence.

2.6 Certificates

[1] Certificates of design verification

A design verifier may recommend to an inspection body that a certificate of design verification be issued for equipment, provided it has been design verified and found to be safe for its intended purpose.
An inspection body must consider all documents submitted by the design verifier in support of a recommendation to issue a certificate of design verification. If the inspection body agrees with the recommendation, it must stamp the documents and issue a certificate of design verification.

[2] Contents of a certificate of design verification

A certificate of design verification must include the following information about the equipment that has been design verified:
1. a brief description of the equipment
2. the name of the person or organisation seeking the certificate
3. the name of the inspection body
4. the name of the design verifier
5. the date of issue
6. the standards, codes, guidelines and so on to which the equipment conforms
7. the drawings, identified by drawing number, and details of any other data, including ITPs, included in the design verification process
8. the principal design parameters, e.g. design life, safe working load and so on.
9. the seismic coefficient
10. the maximum wind loading
11. any design alterations and other requirements that the design verifier specifies for the equipment
12. details of any other documents giving further information in relation to (i) to (xi) for the verified design that it is not practicable to include on the certificate of design verification.
Certificates of design verification must be signed by the design verifier and:
1. carry the logo of the accreditation body that accredited the inspection body issuing the certificate, or
2. contain a statement noting that the inspection body is accredited by an accreditation body named on the certificate.

[3] Issue and renewal of a certificate of inspection

An equipment inspector may recommend to an inspection body that a certificate of inspection be issued or renewed for equipment for a specified period provided it has been inspected and the equipment inspector has reasonable grounds for believing it is safe and would remain safe during the recommended inspection period.
An inspection body may issue or renew a certificate of inspection, on the recommendation of an equipment inspector, for the recommended inspection period. It may impose conditions on the certificate of inspection.
Cranes that have an existing but expiring certificate of inspection may be issued with a new certificate of inspection if passing the physical testing, even though not meeting all the necessary documentation requirements of this code of practice.

[4] Term and contents of a certificate of inspection

A certificate of inspection remains in force until such time as:
1. the period specified in the certificate expires, or
2. a new certificate of inspection is issued following an adjustment, repair or alteration of the equipment, or
3. the certificate is withdrawn or suspended by an inspection body.
An equipment inspector may recommend to an inspection body that it extend, subject to any terms or conditions that the inspector thinks fit, the inspection period of a certificate of inspection that is about to expire. The equipment inspector shall only recommend an extension where:
1. the equipment has been visually examined
2. the inspector has reasonable grounds for believing the equipment would be safe for the period of the extension.
An inspection body may extend a certificate of inspection on one occasion only for a maximum period of three months. The extension shall be subject to any terms and conditions recommended by the equipment inspector.
A certificate of inspection must include the following information about the equipment concerned:
1. a brief description of the equipment
2. the unique identifier issued to the equipment by the inspection body responsible for the first inspection
3. the purpose of the equipment as specified by the designer
4. the location of the equipment when inspected
5. the name of the manufacturer
6. the safe working load
7. the name of the equipment inspector
8. a statement of the inspector’s opinion that the equipment was safe at the date of inspection and will remain safe for the period of the certificate if operated and maintained properly
9. the date of the inspection
10. the date of expiry of the certificate
11. the name of the inspection body that issued the certificate
12. the name and business address of the controller
13. the title of any other document giving further details in relation to (i) to (xii) where it is impractical for these to be included on the certificate of inspection.
Certificates of inspection must:
1. carry the logo of the accreditation body that accredited the inspection body issuing the certificate, or
2. contain a statement noting that the inspection body is accredited by an accreditation body named on the certificate.

[5] Suspension or cancellation of a certificate of inspection

An equipment inspector who is satisfied on reasonable grounds that equipment is unsafe or unfit for use may recommend to an inspection body that a current certificate of inspection should be suspended or cancelled, or that a new certificate not be issued. The inspection body, after giving the controller of the equipment concerned a suitable opportunity for comment:
1. may cancel or suspend the certificate of inspection
2. must advise the controller of the action taken.
The Secretary, where satisfied on reasonable grounds that equipment is unsafe or unfit for use, may, after giving the controller of the equipment concerned a suitable opportunity for comment, cancel or suspend a certificate of inspection. The Secretary must notify the controller of the action taken.

[6] Certificates of competence

A certificate of competence may only be issued by a qualification issuing agency or by the Secretary. This indicates that the certificate holder is qualified to carry out a specified activity relevant to the certification. Specified activities include equipment inspection and design verification.
A certificate of competence is valid for the period shown on the certificate, but may be suspended or cancelled by the Secretary if the Secretary is satisfied on reasonable grounds that the holder should no longer hold such a certificate. The Secretary must give the holder a suitable opportunity to comment before cancelling or suspending a certificate of competence.

Note: The qualification issuing agency is currently the Certification Board for Inspection Personnel (CBIP). For chartered professional engineers and design verifiers, the body is the Institution of Professional Engineers New Zealand (IPENZ).

[7] Duties of inspection bodies in relation to certificates of competence

Inspection bodies must ensure that any design verification or equipment inspection they carry out is performed by a holder of a relevant certificate of competence.
Inspection bodies may have trainees carry out design verification or equipment inspection, provided they are competent to carry out the tasks assigned to them and they work under the effective supervision of a holder of a relevant certificate of competence. Effective supervision requires the supervisor to be based at the same office or workplace as the trainee.

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