Definition and Legal Foundations of Installations Requiring Monitoring
Installations requiring monitoring are technological devices that, due to a particular potential hazard to life, health, or property, are subject to increased statutory supervision and recurring inspections. The systematic monitoring serves to protect employees, third parties, and the environment. The terminology as well as requirements for these installations are mainly defined under German law, in particular in the Product Safety Act (ProdSG), the Ordinance on Industrial Safety and Health (BetrSichV), as well as in various technical regulations.
Statutory Definition and Delimitation
Installations requiring monitoring are legally defined primarily in Section 2 Number 30 of the Ordinance on Industrial Safety and Health (BetrSichV). According to this, such installations and equipment are those whose use may involve significant hazards and whose monitoring is therefore mandated by law through official or designated bodies. These include, in particular, pressure equipment, lifting equipment, and installations in potentially explosive atmospheres.
Historical Development and Purpose of the Regulations
The duty of supervision results from experiences with severe accidents, such as steam boiler explosions in the 19th century or accidents in industrial plants. The legal provisions aim to detect and prevent systemic risks at an early stage. The duty of supervision is an integral part of preventive hazard protection in technical occupational safety and also in public safety and order.
Structure and Scope of Application
Types of Installations and Application Examples
According to the Ordinance on Industrial Safety and Health, installations requiring monitoring can be differentiated as follows:
Pressure equipment
- Example: Pressure vessels, steam boilers, pipelines, pressure gas containers
- Relevant regulations: BetrSichV, Pressure Equipment Ordinance (no longer in force, content adopted)
Lifting equipment
- Example: Elevators in residential and commercial buildings, freight elevators
- Relevant regulations: BetrSichV, Elevator Ordinance (no longer in force, relevant content included in BetrSichV)
Installations in potentially explosive atmospheres
- Example: Petrol stations, chemical production plants with flammable gases/vapors
- Relevant regulations: BetrSichV, Ordinance on Hazardous Substances, Explosion Protection Ordinance
Other installations
Depending on the federal state or intended use, additional types of installations may be included, such as cable cars, storage silos, amusement rides at fairs, or certain electrical installations.
Obligations of Operators
Operators of installations requiring monitoring are obliged to have them inspected by approved inspection bodies before commissioning and regularly during operation. The inspection obligations cover:
- Initial inspection (prior to first commissioning)
- Recurring inspections (interval-dependent)
- Inspection after repairs or modifications
- Documentation and retention requirements
The type, scope, and intervals of inspections depend on the installation, operating conditions, and risk assessment. The intervals are regulated in BetrSichV and may be specified by supplementary technical rules such as TRBS (Technical Rules for Operational Safety).
Responsibilities and Monitoring
Competent Authorities and Inspection Bodies
Technical supervision in Germany is generally carried out by so-called approved inspection bodies (ZÜS). These are state-designated, accredited institutions pursuant to Section 39 BetrSichV, which must possess expert personnel and appropriate equipment. Well-known examples include inspection organizations such as TÜV or DEKRA.
Regulatory Supervision and Sanctions
In addition to technical inspections by inspection bodies, there are also regulatory monitoring and intervention powers. Violations of monitoring obligations are administrative offenses under Section 25 BetrSichV and may be subject to fines. In the case of serious violations, the operation of the installation can be halted, or criminal prosecution may be initiated if appropriate.
Technical and Organizational Requirements
Inspection Content and Procedures
The inspections required by BetrSichV are divided into visual inspections, functional tests, and—depending on the type of installation—non-destructive material testing or specific safety verifications. Inspections include, for example:
- Integrity and safety of pressure vessels (material condition, weld seams)
- Emergency call systems and controls for elevators
- Explosion protection measures in hazardous areas
- Compliance with technical documentation and proof obligations
Risk assessment
Before operating any installation requiring monitoring, a written risk assessment in accordance with Section 3 BetrSichV is required. This includes identifying potential sources of hazard, assessing specific risks, and determining technical and organizational protective measures. The risk assessment forms the basis for choosing inspection intervals and types of inspections.
Technical Rules and Standards
In addition to statutory requirements, numerous technical rules, DIN-EN standards, and EU directives must be observed. Of central importance are the TRBS, the Pressure Equipment Directive 2014/68/EU, or the Elevator Directive 2014/33/EU.
European Law Context and Special Features
Harmonization at EU Level
In the European internal market, harmonized regulations apply in addition to national implementation, particularly within the framework of the above-mentioned EU directives. These require conformity assessment procedures (e.g., CE marking) and extend to the requirements for design, operation, maintenance, and monitoring of installations requiring monitoring. National regulations must not hinder the free movement of goods as long as the EU’s minimum standards are met.
Demarcation from Other Legal Areas
In addition to occupational safety regulations, other laws such as environmental protection law, building regulations law, or energy law may apply to certain types of installations.
Literature and Further Sources
- Ordinance on Industrial Safety and Health (BetrSichV)
- Product Safety Act (ProdSG)
- Technical Rules for Operational Safety (TRBS)
- EU Pressure Equipment Directive (2014/68/EU)
- EU Elevator Directive (2014/33/EU)
- Federal Institute for Occupational Safety and Health (BAuA): Information portal on installations requiring monitoring
Summary
Installations requiring monitoring are a central element of technical hazard prevention in Germany. They are subject to comprehensive legal regulations to minimize risks to people and the environment when using technical systems. Compliance with these regulations and regularly recurring inspections ensure not only operational safety but also the legal admissibility of such installations in business and private life.
Frequently Asked Questions
Who is legally responsible for the monitoring and control of installations requiring monitoring?
Legally, the operator of the installation requiring monitoring is fundamentally responsible for its proper operation and compliance with all statutory requirements. The operator must ensure that all inspections are carried out on time, for example by approved inspection bodies (ZÜS), and that any deficiencies are rectified without delay. Monitoring obligations arise mainly from the Ordinance on Industrial Safety and Health (BetrSichV), which sets out a variety of specific requirements for the organization, conduct, and documentation of inspections. Furthermore, the operator is required to retain all relevant documents, such as inspection books and result reports, and to present them to the competent authorities upon request. Violations of these obligations can be sanctioned by administrative acts, fines, or even shutdown of the installation.
What statutory inspection intervals apply to installations requiring monitoring?
The statutory inspection intervals for installations requiring monitoring are primarily specified in the Ordinance on Industrial Safety and Health (BetrSichV), as well as in industry-specific individual regulations and technical rules (TRBS). The intervals depend on the type of installation; there are different requirements for pressure vessels, elevators, or steam boilers, where recurring, internal, and external inspections are distinguished. For example, elevators must undergo a recurring inspection at least once a year by a ZÜS in accordance with Section 16 of the BetrSichV, while pressure vessels may have different periods ranging from one to five years depending on the hazard potential. Exceeding these intervals constitutes a legal violation that may result in severe consequences for the operator.
What legal consequences threaten if the obligations for installations requiring monitoring are not met?
If the legal requirements for installations requiring monitoring are not met, various sanctions may apply. The Ordinance on Industrial Safety and Health provides for fines if inspection intervals are missed, maintenance is not performed properly, or technically unqualified persons are entrusted with inspections. In cases of concrete danger to employees or third parties, the supervisory authorities may temporarily shut down operations, prohibit use, or issue orders to rectify deficiencies. In particularly serious cases, such as negligent causation of harm, criminal prosecution under Sections 222, 229 StGB (negligent manslaughter or bodily injury) may also be initiated. In terms of liability law, operators can also be held civilly liable if third parties incur damages due to insufficient monitoring.
What role do approved inspection bodies (ZÜS) play in the legal monitoring process?
Approved inspection bodies (ZÜS) play a central role in the monitoring system as independent and officially authorized inspection bodies. According to Section 14 BetrSichV, inspections of installations requiring monitoring may only be performed by appropriately approved organizations or experts, who must regularly qualify and whose independence must be ensured. ZÜS are obliged to issue objective and expert assessments, maintain inspection records, and report results to the relevant authorities. They are also liable for gross errors in inspection but can insure themselves against liability. Cooperation between operator, ZÜS, and authorities is closely regulated by law and is regularly subject to supervision and accreditation.
What reporting and documentation obligations apply from a legal perspective for installations requiring monitoring?
Operators are required to automatically notify the competent authority—usually the trade supervisory office or state authority—of the operation of installations requiring monitoring (Section 15 BetrSichV). There is also an extensive documentation obligation: inspection books, inspection certificates, maintenance records, and, where relevant, notifications of faults or accidents must be kept completely and for a set period (regularly at least five years, sometimes longer). For inspections by ZÜS, the reports must be transmitted to the authorities without delay. These documents serve as proof to the authorities and form the basis for possible official follow-up inspections or investigations in the event of damage.
Who monitors compliance with the legal requirements for installations requiring monitoring?
Regulatory supervision and control are exercised by the authorities responsible for occupational safety and technical safety—usually the trade supervisory offices, but sometimes also statutory accident insurance bodies or building supervision authorities. They conduct risk-oriented and incident-based audits, inspect inspection reports, can carry out site inspections, and, if necessary, initiate investigations. Authorities have wide-ranging powers, such as a right to inspect documents, question staff, or order additional inspections. In case of violations, the sanctions mentioned above apply.
What legal requirements apply to changes or modernization of installations requiring monitoring?
If installations requiring monitoring are significantly modified, extended, or modernized, special legal obligations in accordance with Sections 15 and 16 BetrSichV apply. Significant modifications must undergo a new inspection by a ZÜS before recommissioning. The operator is obliged to arrange these inspections on time and to notify the authority of the modification. Furthermore, modernization may result in new safety standards that must also be met by existing installations (the grandfather clause may lapse). Failure to comply with these requirements can also lead to shutdown, fines, or other sanctions.
