Elevator Inspections Expert Overview

If properly designed, constructed, inspected, and maintained, elevators can provide reasonably safe conveyance for the millions of passengers who utilize and rely upon these forms of transportation on a daily basis. All forms of vertical transportation require inspections and testing to be performed throughout the lifetime of the unit.

In this article, Elevator & Escalator Expert, Richelle McCaskill-Diaz provides an overview of the responsibilities for elevator inspectors, what the various types of elevator inspections entail, and how these inspections can factor into cases involving elevator failures and other losses.

Elevator Inspections: CAT 1 & CAT 5 Testing

Elevators require rigorous testing processes that include Category 1 (CAT 1) and Category 5 (CAT 5) testing. Testing is required to be performed on every unit to ensure the engineered safety devices of these units are properly adjusted and in proper working order.

The inspections and testing of vertical transportation equipment are required to adhere to the ASME A17.1 Safety Code for Elevators and Escalators.

When elevator units are not properly maintained, tested, and inspected within the code-required intervals, the neglected engineered safety devices may fail and can be a cause of injuries to the riding public.

Elevator Inspectors, Contractors, and Mechanics

Several parties are involved in ensuring that an elevator unit is safe for public use:

1. Elevator Inspectors
2. Elevator Contractors
3. Elevator Mechanics

The Elevator Contractors (contractors) are the organizations that are typically contracted with a building facility to install, maintain, repair, modernize, and test elevator equipment in the building.

The contractor typically employs the elevator mechanics (mechanics) that have been trained to perform this work. The mechanics work with building owners/managers to ensure the vertical transportation equipment is properly maintained and operating, which includes testing of the equipment.

The Elevator Inspectors (inspectors) are individuals that inspect the elevator equipment. The inspectors are typically independent, third-party inspectors, either employed by the Authority Having Jurisdiction (AHJ) or a third-party company that is authorized by the AHJ to provide a nonbiased assessment.

Inspectors are required to attend continuing education classes to help ensure that the current elevator codes are being adhered to within their local jurisdiction.

The role of these individuals is to inspect the elevator equipment for code compliance, approve elevator permits, witness testing of the elevator equipment by the elevator contractor (both new and existing), and perform accident investigations of elevator equipment.

It is important to note that inspectors do not physically work on nor perform the actual testing of the elevator equipment, but act as a witness to the testing being performed by the elevator mechanics.

They conduct inspections of the equipment, and if the elevator does not meet the code requirements, the inspector informs the building owner so they can have their elevator contractor correct the deficiency. The inspector is also authorized to remove the elevator from service if the elevator is deemed unsafe.

The periodic inspections that the inspectors perform are submitted to the AHJ and a Certificate of Operation will be issued if the elevator passes the inspection.

Testing & Inspection for Code Compliance

Elevators have specific CAT 1 and CAT 5 testing requirements, which are vastly different.

CAT 1 Testing

CAT 1 testing must be performed annually on all vertical transportation equipment. Many of the devices tested during a CAT 1 are applicable on both hydraulic and traction elevators.

A CAT 1 test is considered a “No Load” test of the safety devices installed on the elevator. A “No Load” test means that the CAT 1, in most jurisdictions, requires the test to be performed while there is no weight in the elevator and at the lowest operating speed.

A CAT 1 does require testing of all safety related devices on the elevator, along with testing of the door systems, communication systems, backup battery and generator systems, fire service system, and piping systems of a hydraulic elevator where applicable.               

All the above items must be compliant to achieve a successful CAT 1 test. While in most jurisdictions the CAT 1 is to be performed annually, the local AHJ can set the frequency of this testing and reporting to coincide with or precede the inspection by the local elevator inspector as a condition to be met prior to the building owner/management obtaining the vertical transportation certification.    

CAT 5 Testing

Not all elevators are subject to a CAT 5 test, depending on the equipment type. Hydraulic elevators in many cases do not have overspeed governors’, safeties, overspeed valves or what the industry calls life jackets installed on the elevators.

If a hydraulic elevator has any one of these items or any combination of these items they are required to have a CAT 5 performed, but if these items are not present on the equipment, a CAT 5 is not required.

During a CAT 5 test, the elevators are loaded with weights that total the full rated capacity of the elevator, and the fully loaded elevator is then tested under full speed and over speed conditions. In this process, testing of the brakes, buffers, overspeed valves (for hydraulic elevators), elevator governors, and safeties is performed.

All the above items must be compliant to achieve a successful CAT 5 test. While in most jurisdictions the CAT 5 is to be performed every five years, the local AHJ can set the frequency of this test performed by the mechanic, and the test results and inspection must be approved by the local elevator inspector for the building owner/management to obtain the vertical transportation certification.

The CAT 1 and CAT 5 tests do have some overlap when testing particular components, such as the elevator governors and safeties, if applicable.

Regardless, these two tests are very different, with one test being performed at a slower speed and without weights, and the second test being performed in an over speed condition under full capacity. Both tests are designed to ensure that the required safety mechanisms are in proper working order under various operating conditions.

CAT 1 and CAT 5 tests must both be performed not only to be compliant with local jurisdictional requirements and codes but also to reasonably ensure the safe operation of all traction elevators and some hydraulic elevators.

Elevator Expert Witness Investigations

The elevator and escalator experts at Robson Forensic are industry veterans who have worked for manufacturers, installation contractors, and maintenance companies, and have served as elevator inspectors. Our experts understand the responsibilities of the parties involved in installing, maintaining, and inspecting vertical transportation equipment.

To connect with an expert about your case, submit an inquiry or call us at 800.813.6736.

Featured Expert

Richelle McCaskill-Diaz, CEI

Elevator & Escalator Expert

Richelle McCaskill-Diaz is an elevator and escalator expert with nearly three decades of industry experience as a mechanic, testing mechanic, foreman, and elevator inspector. Her expertise spans… read more.