(Promulgated on May 15, 2004 by Decree No.22 of the Shanghai Municipal People’s Government)

Chapter I  General Provisions

Article 1 (Purpose and Basis)

For the purposes of strengthening the safety supervision of lifts in this Municipality, preventing and reducing accidents, safeguarding life and property safety of the masses of the people, these Procedures are formulated in accordance with the “Regulations on Safety Supervision of Special Equipment” and relevant State provisions.

Article 2 (Scope of Application)

Every person engaged in production (including manufacturing, installation, renovation, and maintenance, similarly hereinafter), sale, use, routine upkeep and maintenance, inspection and checkout of lifts and relevant management activities thereof in this Municipality’s administrative area shall abide by these Procedures.

Article 3 (Competent Department and Department Administrating in Coordination)

Shanghai Municipal Quality and Technical Supervision Bureau (hereinafter referred to as MQTSB) is this Municipality’s competent administrative department of lift safety supervision; the district (county) bureaus of quality and technical supervision (hereinafter referred to as the district/county QTSB) are responsible for the lift safety supervision work in their administrative areas.

The administrative departments of this Municipality’s construction, public security, safety supervision, industry and commerce, housing, land and resources, etc. shall jointly do a good job of this Municipality’s lift safety supervision according to their respective functions and duties.

Article 4 (Functions and Responsibilities of District and County Governments)

The district/county people’s governments shall support and urge the district/county QTSB to perform their duties of safety supervision according to law, timely concert and solve major problems that exist in lift safety supervision in their respective administrative areas.

Article 5 (Administration of Permit)

A lift production unit, a routine upkeep and maintenance unit and a lift inspection and checkout agency (hereinafter referred to as an inspection agency) shall obtain a permit according to law before the conduct of relevant activity thereof.

An operator engaged in lift installation, renovation, repairs and routine upkeep and maintenance and an inspection or checkout professional shall obtain a corresponding permit certificate according to law.

Article 6 (Lift Insurance)

All lift production units or user-units are encouraged to take out insurance upon lift safety responsibility to safeguard passengers’ legitimate rights and interests and reduce the extent of loss suffered by the lift production unit or user-units.

Chapter II  Production and Sale

Article 7 (Quality Requirements for Production Unit)

The production quality of lifts shall comply with the requirements of the State mandatory criteria and safety technical norms.

The manufacturing and installation of lifts that have product defects and that are likely to endanger personal and property safety are prohibited.

Article 8 (Certificates of Lift on Leaving Factory)

A lift-manufacturing unit shall provide the State-set certificates such as the product quality certificate and warning instructions, warning signs or marks for safe use.

Article 9 (Technical Instruction and Service Provided by Manufacturer)

A lift-manufacturing unit shall provide its user-units the following technical instruction and service:

(1) Giving guidance on preparing the emergency pre-determined schemes for lift danger removal and rescue;

(2) Providing reserve and spare lift parts that are in urgent need; and

(3) Providing skills training on specialized removal of danger and rescue.

Article 10 (Ban on Borrowing Certificate)

No lift-manufacturing unit shall borrow from other units the qualification certificate of conducting lift manufacturing, installation, renovation or maintenance activity.

Article 11 (Quality Liability of Sales Unit)

A lift sales unit shall identify the documents such as the product quality certificate and other marks of lift products for sale, and report the catalogue of lift products for sale to the MQTSB for the record.

A lift sales unit that sells imported lifts shall file with the MQTSB for the record with the certification of agency entrusted by the manufacturer and the certificating materials of its registration inside the Chinese territory.

Article 12 (Products Banned for Sale)

The following lift products are banned for sale:

(1) The one without a lift-manufacturing permit;

(2) The one that does not comply with the requirements of the State-set mandatory criteria and safety technical norms;

(3) The one whose manufacturing unit cannot provide technical materials;

(4) The product has defects and is likely to endanger personal and property safety;

(5) The one assembled with scrap and old parts; and

(6) Other lift products that are banned for sale by provisions of laws and regulations.

Article 13 (Notice prior to Construction Work)

A unit engaged in lift installation, renovation and maintenance activity shall, three workdays prior to the start of the construction work, notify in writing the district/count QTSB at the locality where the construction work is to be conducted of the time, location and content of the activity to be conducted.

Article 14 (Quality Inspection Made by Oneself and under Supervision)

A unit that undertakes lift installation, renovation or major maintenance activity shall assign specialized professionals with appropriate grade to make quality inspection of the whole process of the lift installation, renovation or major maintenance activity, and shall pass the supervisory inspection and checkout by an inspection agency.

Article 15 (After-sale Services of Lift Installation, Renovation and Major Maintenance)

 A unit that undertakes lift installation, renovation or major maintenance shall provide the user-unit the quality certificate for lift installation, renovation or major maintenance and the after-sale services for no less than one year.

Article 16 (Norms for Routine Upkeep and Maintenance)

A unit engaged in lift installation, renovation and maintenance, when undertaking routine upkeep and maintenance of lifts, shall meet the requirements of the State mandatory criteria. The needed replacements shall have the product quality certificate and the safety parts shall have a qualified mode test report.

With respect to repair parts of lift products, it is not allowed to pass off the false as genuine or the inferior as the best.

Article 17 (Norms for Renovation and Major Maintenance)

Renovation and major maintenance of lifts shall follow the scientific and advanced principle, and meet the requirements of the State mandatory criteria and safety technical norms.

The technical norms for lift renovation shall be formulated separately by the MQTSB.

Chapter III  Use

Article 18 (Safety Duties)

A construction unit shall perform the following duties when choosing, installing and delivering a lift:

(1) The chosen lift product shall be the one made by a production factory with qualification and with the product quality certificate, and its mode, setup and standby power equipment shall meet the architectural structure and use requirement;

(2) The installation of a lift shall be undertaken by a unit that has attained the State-set qualification, and the installed lift is assured to have passed the inspection and checkout made by a lift inspection agency; and

(3) It shall give complete technical records attached with all kinds of certificates to the user-unit and provide warning instructions, warning signs or marks relating to safe use.

Article 19 (Basic Conditions for Lift Operation)

A lift user-unit shall ensure that the lift is in compliance with the following operation conditions in the process of use:

(1) There shall be a valid mark of safety test displayed on a conspicuous place in the lift cabin;

(2) There shall be warning instructions, signs or marks for lift use safety; and

(3) A lift that is used in special environments such as explosion prevention places and construction projects shall be able to satisfy corresponding management requirements for safe use.

Article 20 (Safety Duties of Lift User-unit)

A lift user-unit shall perform the following duties with respect to the safe use of lift:

(1) To appoint a full-time lift safety administrator;

(2) To appoint a lift operator according to the product characteristics and safety requirements in public places;

(3) To draw up the management system for lift use safety, and ensure the lift operation safety in compliance with the provisions under Article 19 of these Procedures;

(4) To stop immediately the use of a lift with serious troubles and its continuous use may possibly lead to occurrence of accidents, and to organize timely rectification and correction;

(5) To make a written acknowledgement of the handed-over lift being in safety condition, if there is a change of  the routine upkeep and maintenance unit; and

(6) To organize the danger removal and rescue effort in case of a lift accident, and to keep the accident scene intact according to the pre-determined scheme for emergency and rescue, and to promptly report to the local district/county QTSB.

Article 21 (Annual Inspection of Lift in Use)

A lift user-unit shall, within 30 days prior to the expiration of a valid period of lift safety quality check, apply for periodic inspections to an inspection agency.

A periodic inspection period for a lift in use is one year.

Article 22 (Duties of Full-time Lift Safety Administrator)

A full-time lift safety administrator shall perform the following duties:

(1) Keep a good record of lift operation and management, urge the routine lift upkeep and maintenance unit to do a good job of quality inspection and relevant upkeep records;

(2) Have the triangle key of lift floor door and the key of the motor room in safekeeping;

(3) Supervise the routine lift upkeep and maintenance unit in repairing and maintaining the lift periodically; and

(4) Recommend the suspension of use and report to the person in charge of the unit, when discovering any hidden danger in lift operation so that the use has to be stopped.

Article 23 (Passengers’ Code of Conduct)

No lift passenger shall have the following acts:

(1) Operate the lift in contravention of lift use safety warnings;

(2) Take the lift when it is evidently in a non-safety condition;

(3) Open the lift floor door by non-safety means;

(4) Demolish or destroy lift safety warnings, signs or marks or alarm devices, safety control loop and other lift safety parts;

(5) Take the lift carrying overweight goods; and

(6) Other acts that endanger the lift safety operation or other people’s safety riding.

Article 24 (Application for Safety Technology Demonstration)

In any one of the following cases, a lift user-unit may apply for a safety technology demonstration to an inspection agency:

(1) Where a lift in use is restricted by objective conditions such as architectural structure or modification of the State mandatory criteria, the municipal or district/county QTSB is of the opinion that the lift is below the State mandatory criteria and requirements of the safety technology norms and likely to have hidden dangers on safety;

(2) A lift renovation unit is of the opinion that the lift in use is involved with the change of main parameters; and

(3) A lift maintenance unit is of the opinion that the lift in use needs major maintenance.

Article 25 (To be Scrapped)

Where a lift, upon demonstration by an inspection agency, really has a serious hidden danger of accident, or is not worth renovation or maintenance, the user-unit shall have it scrapped in time.

Article 26 (Registration, Alteration and Cancellation)

A lift user-unit shall, within 30 days before or after the lift is put into use, go through the registration formalities with the local district/county QTSB.

Where a lift user-unit is changed or a lift is scrapped, the original user-unit shall, 30 days prior to the change or scrapping, go through related formalities with the local district/county QTSB.

Chapter IV  Routine Upkeep and Maintenance

Article 27 (System Building by Routine Upkeep and Maintenance Unit)

A routine upkeep and maintenance unit for lifts shall institute the following management systems:

(1) A system for safety quality assurance;

(2) A safety quality responsibility system for administrators;

(3) Safety operation rules; and

(4) A system for inspection and check of safety quality.

Article 28 (Requirements for Routine Upkeep and Maintenance)

A routine upkeep and maintenance unit shall, according to the requirements of maintenance items, methods and periods furnished by maintenance instructions, draw up routine upkeep and maintenance plans, and keep the maintenance records for no less than three years.

A plan for routine upkeep and maintenance shall cover the following contents:

(1) A lift and its safety facilities must undergo preventive maintenance at least once every 15 days;

(2) The exterior and operating conditions of safety installations, cables, brake staff, contactor switches and other operating parts must be tested at least once a month.

(3) The safety test of safety installations, overrunning governors and bumpers must be done once every six months;

(4) The brake capability test of mechanical brake staff must be done once every year; and

(5) The lift operation conditions must be overhauled no less than once every year.

Article 29 (Notice Given by Routine Upkeep and Maintenance Unit)

A routine upkeep and maintenance unit for lifts shall display its unit name and telephone for rush repairs and complaints at the conspicuous place in the lift cabins the routine upkeep and maintenance of which the unit undertakes.

Article 30 (Safety Duties of Routine Upkeep and Maintenance Unit)

A routine upkeep and maintenance unit for lifts shall fulfill the following safety duties:

(1) Promptly eliminate any lift trouble upon discovery;

(2) Rush to the scene and complete the removal of danger and rescue within 30 minutes after receiving a report on trouble of people being trapped in a lift cabin; and

(3) Notify in writing the lift user-unit to suspend from using the lift in case of any trouble hard to be cleared, and shall not hand over the lift for use until the trouble is removed. 

Where the lift user-unit refuses to cooperate without a justified reason after receiving a written notice of suspension from using the lift, the routine upkeep and maintenance unit for lifts shall promptly report to the local district/county QTSB.

Article 31 (Maintenance of Special Cases)

The conduct of routine upkeep and maintenance of lifts whose original manufacturing unit has been cancelled, whose original brand model has been altered, or whose brand is difficult to identify shall be entrusted to other lift production unit with the State-set qualification.

Chapter V  Management by Inspection Agency

Article 32 (Duties of Agency)

An inspection agency may accept entrustment for undertaking activities in supervisory inspection, periodic inspection, mode test, technical appraisal and safety technology demonstration of lifts.

Article 33 (Duties of Inspection)

An inspection agency shall perform the following duties:

(1) Ensure that all its personnel engaged in inspection and checkout activity have the State-set qualification:

(2) Activities of inspection and checkout comply with the requirements of the State-set rules;

(3) Issue an inspection and checkout report within the period prescribed by the State and take responsibility for the issued inspection and checkout report; and

(4) Provide convenient inspection and checkout services for lift user-unit, and fulfill the obligation for keeping trade secrets involved.

Article 34 (Procedure of Safety Technology Demonstration)

After an inspection agency accepts and handles the application of a lift user-unit for safety technology demonstration set out in Article 24 of these Procedures, it shall form an evaluation team composed of no less than three experts to demonstrate the safety conditions of a lift. After the experts’ team renders its evaluation opinions, the inspection agency shall make a check, issue a report of safety technology demonstration results and submit a copy thereof to the local district/county QTSB.

Where a lift, after demonstration, is able to adopt safety technological measures to meet safety operation requirements, the inspection agency shall make the technology appraisal for the lift to remain in operation; where a lift, after demonstration, cannot adopt safety technological measures to meet safety operation requirements, the inspection agency shall make the technology appraisal recommendation that the lift be out of use and be scrapped.

Article 35 (Supervisory Inspection and Charge for Inspection)

An inspection agency shall conduct supervisory inspection over the whole process of lift installation, renovation and major maintenance.

An inspection agency shall charge for the inspection and checkout by the standard authorized by the State and this Municipality’s price control department.

Article 36 (Notice of and Report on Hidden Peril)

An inspection agency, upon discovering any hidden peril of safety in conducting inspection and checkout activity, shall notify in writing the unit under inspection.

An inspection agency, when discovering any serious hidden peril of accident in periodic inspection, shall, in addition to notifying the lift user-unit and the routine upkeep and maintenance unit and urging them to take timely measures, have the right to notify in advance the lift user-unit of the suspension of use and report to the district/county QTSB at the locality where the lift is situated.

Chapter VI  Supervisory Inspection

Article 37 (Safety Supervision)

The municipal and district/county QTSB shall strengthen the routine supervision of lift safety, which specifically includes:

(1) Urge the lift user-unit to carry out basic requirements for lift safety operation; and

(2) Urge the lift user-unit to implement the safety management responsibility system.

The municipal and district/county QTSB shall, according to the needs, exercise the special safety supervision of lifts, which specifically includes:

(1) Exercise random checks on safety quality of main safety parts of lift products; and

(2) Exercise random supervisory checks on inspection and checkout results and appraisal conclusions made by the inspection agency.

Article 38 (Directives of Safety Supervision)

The municipal and district/county QTSB, upon discovering in the conduct of on-the-spot safety supervision that a lift has a hidden peril of safety, shall direct the lift user-unit to make correction, and may, when necessary, give the unit a directive for safety supervision of special equipment, and urge a timely rectification.

Article 39 (Handling of Serious Hidden Peril)

The district/county QTSB, upon receiving the report on lift use suspension, shall arrive at the scene within two hours, handle jointly with the inspection agency that exercises the inspection and checkout activity, and give a directive for cancellation of the suspension of use or a directive for the cessation of use, or make a decision for a further technology appraisal according to the situation.

Article 40 (Handling of Lift Accident)

The municipal and district/county QTSB, upon receiving a report on a lift accident, shall forthwith rush to the scene to organize investigation and handling. In case of casualties, the departments of quality and technical supervision, safety supervision, public security, etc. shall form a joint fact-finding team, and handle according to their respective duties and division of work as provided by law.

Where there is a need for the support and coordination of the district/county people’s government in the handling of a lift accident, the municipal or district/county QTSB shall contact the district/county people’s government in time.

Article 41 (Duty of Relevant Departments to Cooperate in Investigation and Handling According to Law)

The municipal or district/county QTSB, upon discovering in the conduct of safety supervision that there is any one of the following cases, shall request the administrative departments of industry and commerce, housing, land and resources and construction to make investigation and handling according to law; and the relevant departments shall offer their cooperation:

(1) Where a lift production unit or inspection agency fails to meet the State-set conditions or the requirements of safety technology norms, and needs to have the relevant certificate or license withdrawn or to have the content checked and verified;

(2) Where the permit of a maintenance unit or routine upkeep and maintenance unit for lifts is withdrawn for failure to meet the conditions set out in these Procedures, and it is necessary thereafter to request an order for that the alteration or cancellation of registration of enterprise be made;

(3) Where a property management enterprise fails to affix responsibility for lift management safety and refuses to correct after an directive of safety supervision is given, it is necessary to hold the party concerned liable or to deal with the qualification of the property management enterprise;

(4) Where a construction unit or a lift user-unit fails to perform safety management duties, and it is necessary to hold the party concerned liable; and

(5) Where the building engineering quality of lift shaft affects lift installation or a lift installation unit fails to comply with safety management requirements of the general contracting unit of construction work, and it is necessary to hold the party concerned liable.

Chapter VII  Legal Liability

Article 42 (Punishment for Lift Unit Selling Product Banned for Selling)

Where a lift selling unit sells a lift without a lift manufacturing permit or without technical material, the municipal or district/county QTSB shall order the unit to stop the sale and impose a fine of between not less than 10,000 yuan and not more than 30,000 yuan.

Article 43 (Punishment for Selling Unit’s Failure to have Reported for the Record)

Where a lift selling unit fails to report the catalogue of lift products for sale for the record or sells imported lifts that have not been reported for the record, the municipal or district/county QTSB shall order the unit to correct within a time limit; the unit that fails to correct after the time limit shall be penalized with a fine of between not less than 5,000 yuan and not more than 20,000 yuan.

 Article 44 (Punishment for Routine Upkeep and Maintenance Unit’s Failure to Perform Duties)

Where a routine upkeep and maintenance unit for lifts has any one of the following cases, the municipal or district/county QTSB shall order the unit to correct within a time limit, and may accumulatively impose a fine of between not less than 2,000 yuan and not more than 20,000 yuan:

(1) Failure to draw up a plan for routine maintenance according to the provisions of these Procedures;

(2) Failure to carry out the plan for routine maintenance and failure to keep a good record of maintenance;

(3) Failure to display the unit name and telephone for rush repairs and complaints on a conspicuous place in the lift cabin;

(4) Failure to arrive at the scene and complete the danger removal and rescue within 30 minutes after receiving a report of a trouble of people being trapped in the lift; and

(5) Hand over to the user the lift without removal of any trouble.

Article 45 (Punishment for Borrowing Certificate)

Where a lift production unit borrows the qualification certificate from other unit, the municipal or district/county QTSB shall order the unit to correct within a time limit and impose a fine of between not less than 10,000 yuan and not more than 30,000 yuan.

 Article 46 (Punishment Imposed According to Relevant Law and Regulation)

A lift production unit or user-unit, or an inspection agency that violates the “Law of the People’s Republic of China on Product Quality”, the “Regulations on Safety Supervision of Special Equipment” and other relevant laws and regulations shall be dealt with according to relevant laws and regulations.

Chapter VIII Supplementary Provisions

Article 47 (Definition)

The lift user-unit mentioned in these Procedures includes the lift owner and the responsible person entrusted by the lift owner to execute lift management.

Article 48 (Effective date)

These Procedures shall become effective on August 1, 2004.