Getting stuck in a lift is an unnerving experience for anyone. While modern lifts are extremely safe and breakdowns are rare, when they do happen, having clear procedures in place can make the difference between a minor inconvenience and a serious incident.
INDG401 is the Health and Safety Executive's (HSE) guidance document titled "What to do if a lift breaks down." It provides practical advice for building managers, employers, and lift maintenance companies on handling lift breakdowns and passenger entrapment safely.
INDG401 focuses specifically on passenger lifts where people become trapped. The guidance emphasises that entrapment is not immediately dangerous, but poorly handled rescue attempts can cause serious injuries or fatalities.
What does INDG401 cover?
INDG401 addresses the essential elements of lift breakdown management:
Emergency communication - Ensuring trapped passengers can contact help and receive reassurance throughout the incident.
Rescue procedures - Establishing clear protocols for who responds, when, and how passengers are safely released.
Dutyholder responsibilities - Clarifying who is responsible for lift safety and emergency arrangements in different building types.
Staff training - Guidance on what building staff need to know and what should be left to specialists.
Maintenance arrangements - Requirements for regular maintenance and how this relates to emergency response.
Record keeping - Documentation requirements for incidents, maintenance, and inspections.
INDG401 is free to download from the HSE website. While it's guidance rather than law, it reflects the standards HSE expects and is often cited in enforcement actions.
Who is responsible for lift safety?
Understanding responsibility for lift safety can be confusing, particularly in buildings with multiple occupiers or where management is outsourced. INDG401 clarifies the key duty holder roles.
The lift owner
The owner of the lift (often the building owner or freeholder) has overall responsibility for ensuring the lift is safe. This includes:
- Ensuring the lift is properly maintained
- Arranging thorough examinations under LOLER (Lifting Operations and Lifting Equipment Regulations)
- Ensuring emergency procedures are in place
- Keeping appropriate records
The building manager
Where day-to-day management is delegated (to a property manager, facilities manager, or managing agent), they typically take on responsibility for:
- Coordinating with the lift maintenance company
- Ensuring emergency procedures are documented and followed
- Training relevant staff on their roles during incidents
- Responding to breakdowns and entrapments
- Maintaining communication systems
The lift maintenance company
Professional lift engineers are responsible for:
- Regular maintenance and servicing
- Responding to breakdown calls
- Carrying out passenger release when required
- Advising on safety improvements
- Keeping maintenance records
Responsibility cannot be fully delegated. If you're the lift owner, you retain ultimate responsibility even if day-to-day management is outsourced. You must ensure whoever manages the lift is competent and that proper arrangements are in place.
Employers
If the lift is in a workplace, employers have duties under the Health and Safety at Work Act to ensure, so far as is reasonably practicable, the health and safety of employees and others who may be affected. This includes:
- Ensuring lift maintenance and inspection arrangements are adequate
- Having emergency procedures for lift entrapment
- Ensuring staff know what to do if someone is trapped
- Not allowing untrained staff to attempt release
What happens when a lift breaks down?
When a lift stops between floors with passengers inside, the sequence of events should follow established procedures.
Immediate response
Within seconds: The emergency lighting activates (lifts have battery backup) and the lift should display information or make announcements reassuring passengers.
Within minutes: Trapped passengers should be able to communicate with someone who can help, either through an intercom/alarm system or by mobile phone.
Within a reasonable time: A competent person (usually a lift engineer) should attend to release the passengers safely.
Communication is critical
INDG401 emphasises that communication with trapped passengers is essential from the earliest moments:
- Passengers need reassurance that help is coming
- They need to know not to attempt to escape themselves
- Two-way communication allows monitoring of their condition
- Information flow helps manage expectations about timing
Never leave trapped passengers without communication. Even if release will take some time, regular updates help prevent panic and dangerous self-rescue attempts.
Release timelines
INDG401 doesn't specify exact response times, but the standard expectation is:
Urban/well-serviced areas: Lift engineers typically aim to attend within 1-2 hours.
Remote locations: Response may take longer, which makes good communication even more important.
Medical emergencies: If a trapped passenger has a medical condition, this should be communicated immediately so emergency services can be involved if needed.
Emergency communication requirements
One of the key requirements highlighted in INDG401 is ensuring trapped passengers can summon help and communicate throughout the incident.
The alarm system
All passenger lifts must have an alarm system. This typically consists of:
- An alarm button inside the lift car
- An alarm sounder (bell or buzzer) that can be heard outside the lift
- Ideally, two-way communication (intercom or telephone)
Two-way communication
Modern guidance strongly recommends two-way voice communication rather than just an alarm bell. This can be:
Lift intercom/telephone: Connected to the building's reception, a monitoring centre, or the lift maintenance company directly.
Autodialler system: Automatically calls a predetermined number when activated.
Mobile phone: While not a substitute for built-in systems, passengers can often use mobile phones if signal permits.
An alarm bell that just rings somewhere in the building is not adequate if no one is guaranteed to hear it (such as out of hours or in unmanned buildings). Two-way communication to a monitored point is strongly recommended.
Monitoring arrangements
For buildings that are not continuously staffed, arrangements must ensure that alarms are responded to at all times:
- Monitoring centre: Many lift maintenance companies offer 24/7 monitoring services
- Remote reception: Some buildings use off-site concierge services
- Duty manager system: Someone on-call who can respond and coordinate
Test your emergency communication system regularly. INDG401 recommends monthly testing to ensure the system works and that whoever receives the call knows what to do.
Rescue procedures
Safe passenger release is the most critical element of lift breakdown management. INDG401 is clear that rescue should normally be carried out only by competent lift engineers.
Why professional rescue matters
Attempting to release trapped passengers without proper training and equipment can result in:
- Falls: The lift car may not be level with a floor, creating a gap or step
- Crush injuries: The lift could move unexpectedly during release
- Shaft falls: Opening shaft doors without proper precautions risks falls into the lift shaft
- Injuries to rescuers: Lift shafts contain multiple hazards
Who can carry out release?
Lift engineers: The primary responders for passenger release. They have the training, tools, and knowledge to release passengers safely.
Trained building staff: In some circumstances, trained staff may carry out "controlled lowering" or simple release procedures, but only if:
- They have been specifically trained by the lift company
- Written procedures are in place
- The procedure is appropriate for the specific lift installation
- They are competent and confident to carry out the procedure
Fire and rescue services: Will attend if there is a medical emergency or if the lift company cannot attend in reasonable time. However, they prefer lift engineers to attend as they have specific expertise.
Never attempt to release passengers by forcing doors open, climbing onto the lift car, or improvising release methods. Well-intentioned but untrained rescue attempts have caused fatalities.
The release procedure
A typical professional release involves:
- Communication: The engineer contacts trapped passengers, explains what will happen, and gives safety instructions
- Isolation: Power to the lift is isolated in a controlled manner
- Assessment: The engineer assesses the lift position and safest release method
- Controlled movement: If necessary, the car is moved to floor level using manual release mechanisms
- Door opening: Doors are opened safely once the car is level with the landing
- Passenger exit: Passengers exit carefully, assisted if needed
- Securing: The lift is made safe and taken out of service until properly repaired
Building staff procedures
Even where building staff are not trained for release, they have important roles:
- Responding to the alarm and establishing communication
- Reassuring passengers and gathering information about their condition
- Contacting the lift maintenance company
- Meeting and directing the lift engineer when they arrive
- Keeping records of the incident
What should trapped passengers do?
If you become trapped in a lift, INDG401's guidance translates into clear advice for passengers.
Stay calm
- Lift entrapment is not immediately dangerous
- Modern lifts have emergency lighting and ventilation
- You will not run out of air
- Help will come
Use the alarm
- Press and hold the alarm button
- This alerts people outside the lift
- If there's an intercom, use it to communicate
- Explain where you are (building, lift number if visible)
Wait for professional help
- Do not try to force the doors open
- Do not try to climb out through the ceiling
- Do not try to squeeze through a gap if doors partially open
- Wait for qualified help even if it takes time
Communicate any problems
- If you have a medical condition, tell the person you're speaking to immediately
- Report if anyone in the lift is distressed, claustrophobic, or unwell
- Keep communicating so rescuers know everyone is okay
Common questions about being trapped in a lift
No. Lifts are not airtight. There is always airflow through gaps around doors and other openings. You cannot suffocate in a trapped lift, even if it takes hours to be released.
No. Attempting to force doors open is dangerous. You could fall into the lift shaft if the car is not level with the floor, or the lift could move unexpectedly. Wait for professional help.
Communicate this immediately through the alarm/intercom or by calling emergency services on your mobile phone. Emergency services will attend for medical emergencies and can coordinate with the lift company for rapid release.
Most entrapments are resolved within 1-2 hours. In some cases it may be quicker; in remote locations or complex situations it may take longer. The key is maintaining communication so you know help is on the way.
Yes, using your mobile phone is perfectly safe. It can be a useful backup for communication if the lift's alarm system is not working or if you need to call emergency services directly.
Preventing entrapment incidents
While not all lift breakdowns can be prevented, good maintenance and management significantly reduce their frequency.
Regular maintenance
INDG401 emphasises that regular maintenance by competent lift engineers is essential:
- Scheduled servicing: Most lifts need monthly or bi-monthly service visits
- Manufacturer's recommendations: Follow the lift manufacturer's maintenance schedule
- Competent engineers: Use lift companies with properly trained engineers
- Quality over price: The cheapest maintenance contract may not provide adequate service
Thorough examination
Under LOLER, lifts must be thoroughly examined by a competent person at intervals not exceeding:
- 6 months for lifts carrying passengers
- 12 months for other lifting equipment
This examination is separate from routine maintenance and must be carried out by a competent person (often an insurance company's engineering surveyor or an independent inspection body).
Common causes of breakdown
Understanding what causes breakdowns helps focus preventive efforts:
Mechanical wear: Door mechanisms, motor components, and cables wear over time and need replacement.
Electrical faults: Control systems, sensors, and safety circuits can develop faults.
Door obstruction: Debris in door tracks, damaged door edges, or repeated obstruction can cause door-related breakdowns.
Vandalism: Tampering with controls or forcing doors contributes to some breakdowns.
Overloading: Exceeding weight limits stresses components and can trigger safety shutdowns.
Environmental factors: Flooding, extreme temperatures, and power fluctuations can all cause issues.
Most lift breakdowns don't result in entrapment. Many are detected during routine operation before passengers are affected. Good maintenance catches problems before they cause entrapments.
Warning signs
Building managers should ensure lift engineers investigate warning signs promptly:
- Unusual noises during operation
- Doors not opening/closing smoothly
- Jerky movement or uneven levelling
- Frequent minor faults or shutdowns
- Passenger complaints about lift behaviour
Maintenance and inspection requirements
INDG401 sits alongside specific legal requirements for lift maintenance and inspection.
LOLER requirements
The Lifting Operations and Lifting Equipment Regulations 1998 require:
- Lifts to be thoroughly examined before first use
- Regular thorough examinations (at least every 6 months for passenger lifts)
- Written reports of examinations
- Defects to be remedied before the lift continues in use (for serious defects)
- Records kept available for inspection
PUWER requirements
The Provision and Use of Work Equipment Regulations 1998 require:
- Work equipment (including lifts) to be maintained in safe condition
- Maintenance to be carried out by competent persons
- Records of maintenance to be kept
Maintenance contracts
A good lift maintenance contract should include:
- Regular scheduled visits (typically monthly)
- Call-out for breakdowns
- 24-hour emergency response (or clearly stated response times)
- Clear scope of what's included and excluded
- Details of parts and labour coverage
- Competent engineer requirements
Review your lift maintenance contract carefully. Some contracts only include basic visits with all repairs as extras, while comprehensive contracts include most parts and repairs. Understand what you're getting.
Record keeping
INDG401 and related regulations require various records to be kept.
Essential records
Maintenance records: Date and details of each maintenance visit, work carried out, and any defects found.
Thorough examination reports: Written reports from each LOLER examination, including any defects and required actions.
Incident records: Details of each breakdown or entrapment, including time, duration, cause (if known), and actions taken.
Test records: Results of regular testing of emergency communication systems.
Training records: Evidence that staff have been trained on their roles in lift emergencies.
How long to keep records
- Thorough examination reports: Until the next report plus a reasonable period (typically 2 years)
- Maintenance records: At least 5 years
- Incident records: At least 3 years (longer if there's any possibility of claims)
Good records demonstrate that you're meeting your legal obligations and help identify patterns that might indicate developing problems. If HSE investigates an incident, they will ask to see your records.
Staff training
Building staff who may respond to lift entrapments need appropriate training.
What training is needed?
All relevant staff should know:
- Location of lift motor rooms and emergency controls
- How to use the emergency communication system
- Who to contact when a breakdown occurs
- Basic reassurance information for trapped passengers
- The importance of not attempting release themselves (unless specifically trained)
Staff trained for controlled release should know:
- The specific release procedure for that lift
- When it is and isn't appropriate to use
- How to assess whether conditions are safe for release
- When to call for specialist help instead
Who provides training?
- Lift maintenance companies often provide training as part of their service
- Independent training providers offer lift safety courses
- Fire and rescue services may provide awareness training
- Training should be specific to your building's lifts
Refresher training
- Regular refresher training keeps knowledge current
- Consider annual refreshers for key staff
- Training should be repeated when procedures or equipment change
- Practice drills help ensure procedures work in reality
Summary of key points
INDG401 provides essential guidance for anyone responsible for buildings with passenger lifts. The key messages are: ensure good communication systems, use competent lift engineers for maintenance and rescue, train building staff on their roles, and never attempt amateur rescue.
For building managers and property managers
- Establish clear emergency procedures before an incident occurs
- Ensure 24-hour communication capability for trapped passengers
- Have arrangements with a competent lift company for emergency response
- Train staff on their roles but be clear about the limits of their involvement
- Keep good records of maintenance, examinations, and incidents
For lift owners
- Ultimate responsibility for lift safety rests with you
- Ensure adequate maintenance and examination arrangements are in place
- Verify that whoever manages the lift is meeting their obligations
- Review emergency procedures periodically
For employers
- Include lift entrapment in your emergency planning
- Ensure staff know what to do if someone is trapped
- Don't allow untrained rescue attempts
- Review your arrangements if you have vulnerable workers who may be particularly affected by entrapment
Frequently asked questions about INDG401
INDG401 itself is guidance, not law. However, it reflects HSE's expectations and the underlying legal requirements in LOLER, PUWER, and the Health and Safety at Work Act. Following INDG401 helps demonstrate you're meeting your legal duties.
INDG401 specifically addresses passenger lifts where entrapment is a concern. Goods-only lifts (where passengers should never travel) have different considerations, though the underlying maintenance and examination requirements still apply under LOLER.
The same principles apply. Residential building managers (or residents' management companies) are responsible for ensuring lifts are maintained, emergency communication works, and arrangements are in place for responding to entrapments.
INDG401 recommends monthly testing of emergency communication systems. This should include confirming that the alarm reaches whoever is supposed to respond and that they know what to do.
Only if specifically trained for that lift and following written procedures provided by the lift company. In most cases, waiting for a lift engineer is the safest approach. Building staff should never improvise or use methods they haven't been trained in.
At minimum: contact numbers for the lift company, procedure for responding to the alarm, information to give trapped passengers, when to call emergency services, and clear guidance that untrained release attempts are prohibited.
Most entrapments are not RIDDOR-reportable. However, if an entrapment results in an injury or a dangerous occurrence (such as a fall), it may need to be reported. Extended entrapments affecting vulnerable people may also trigger reporting requirements in some circumstances.
Contact them to get an estimated time. Keep communicating with trapped passengers. If there's a medical emergency or extended delay, contact emergency services (999). Fire and rescue services can assist but prefer lift engineers to attend for routine releases.
Next steps
If you're responsible for a building with passenger lifts:
- Review your current arrangements against INDG401 guidance
- Test your emergency communication system to ensure it works and reaches the right people
- Check your lift maintenance contract includes adequate emergency response
- Verify LOLER examinations are up to date
- Train relevant staff on their roles in lift emergencies
- Document your procedures so everyone knows what to do
Managing lift safety, especially in larger buildings or portfolios, requires ensuring all the pieces work together: maintenance, examination, emergency response, and staff training. If you need help reviewing your arrangements or developing comprehensive lift safety procedures, a health and safety consultant with lift expertise can assess your current setup and identify gaps.
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