ISO 8100-20:2018

INTERNATIONAL ISO
STANDARD 8100-20
First edition
2018-08
Lifts for the transport of persons and
goods —
Part 20:
Global essential safety requirements
(GESRs)
Elévateurs pour le transport de personnes et d'objets —
Partie 20: Exigences essentielles de sécurité globale
Reference number
©
ISO 2018
© ISO 2018
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ii © ISO 2018 – All rights reserved

Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms, definitions and abbreviated terms . 2
4 Approach and methodology. 6
4.1 Background . 6
4.2 Approach . 6
4.3 Methodology . 6
5 Understanding and implementing GESRs . 8
5.1 Overall objective . 8
5.2 Use of GESRs. 9
5.2.1 Basis . 9
5.2.2 Ways of using GESRs . 9
5.2.3 Applicability of GESRs .10
5.2.4 Safety objectives of GESRs .10
5.2.5 Verification of compliance .11
5.3 Use of this document .11
5.3.1 Users .11
5.3.2 Standards writers . .11
5.3.3 Designers, manufacturers, installers, and maintenance, repair and service
organizations .12
5.3.4 Inspection and testing bodies .13
6 Global essential safety requirements (GESRs) .13
6.1 General .13
6.2 Common GESRs related to persons at different locations .13
6.2.1 Supports for lift equipment .13
6.2.2 Lift maintenance and repair instructions .13
6.2.3 Equipment inaccessible to users and non-users .14
6.2.4 Floors of the LCU and working areas .14
6.2.5 Hazards due to relative movement .14
6.2.6 Locking landing doors and closing LCU doors .14
6.2.7 Evacuation .14
6.2.8 Sharp edges .14
6.2.9 Hazards arising from the risk of electrical shock .15
6.2.10 Electromagnetic compatibility.15
6.2.11 Illumination of the LCU and the landings .15
6.2.12 Effects of earthquakes .15
6.2.13 Hazardous materials . .15
6.2.14 Environmental influences .15
6.3 GESRs related to persons adjacent to the lift .16
6.3.1 Falling into the well (hoistway) .16
6.4 GESRs related to persons at entrances .16
6.4.1 Access and egress .16
6.4.2 Horizontal sill-to-sill gap .16
6.4.3 Alignment of the LCU and the landing .16
6.4.4 Self-evacuation from the LCU .16
6.4.5 Gap between the landing doors and the LCU doors .16
6.4.6 Means to reopen doors when the LCU is at the landing .16
6.5 GESRs related to persons in the LCU .17
6.5.1 Strength and size .17
6.5.2 LCU support/suspension .17
6.5.3 Overloaded LCU .17
6.5.4 Falling from the LCU .17
6.5.5 LCU travel path limits .17
6.5.6 Uncontrolled movement of the LCU .18
6.5.7 LCU collision with objects in or beyond the travel path .18
6.5.8 LCU horizontal or rotational motion .18
6.5.9 Change of speed or acceleration .18
6.5.10 Objects falling on the LCU .18
6.5.11 LCU ventilation .18
6.5.12 Fire/smoke in the LCU .19
6.5.13 LCU in flooded areas .19
6.5.14 Stopping means inside the LCU .19
6.5.15 Landing and controls indication.19
6.6 GESRs related to persons in working areas .19
6.6.1 Working area(s) or space(s) .19
6.6.2 Accessible equipment .19
6.6.3 Access to and egress from working spaces in the well (hoistway) .19
6.6.4 Strength of working area(s) .19
6.6.5 Restrictions on equipment in lift spaces .20
6.6.6 Falling from working areas .20
6.6.7 LCU movement under control of an authorized person .20
6.6.8 Uncontrolled or unintended equipment movement inside the well (hoistway) .20
6.6.9 Means of protection from various hazards .20
6.6.10 Falling objects in the well (hoistway) .20
6.6.11 Electric shock in working spaces .21
6.6.12 Illumination of working spaces .21
Annex A (informative) Overview of GESRs in relation to lift subsystems .22
Annex B (informative) Requirements relevant to the EU market .29
Annex C (informative) Comparison of GESRs with EHSRs of LD and MD .30
Bibliography .139
iv © ISO 2018 – All rights reserved

Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso
.org/iso/foreword .html.
This document was prepared by Technical Committee ISO/TC 178, Lifts, escalators and moving walks.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/members .html.
This first edition of ISO 8100-20 cancels and replaces ISO 22559-1:2014.
A list of all parts in the ISO 8100 series can be found on the ISO website.
Introduction
0.1 After the publication of ISO/TR 11071-1 and ISO/TR 11071-2, discrepancies were noted in the
lift safety standards, and it was agreed that there was a need for an ISO publication that would set
global essential safety requirements for lifts (elevators). The work, however, could start only after
ISO 14798 was completed. This methodology was a critical tool in the development of this document on
safety requirements for lifts.
0.2 The objective of the ISO 8100-2X series of documents is to:
a) define a common global level of safety for all people using, or associated with, lifts (elevators);
b) facilitate innovation of lifts (elevators) not designed according to existing safety standards, while
maintaining equivalent levels of safety; and
c) help remove trade barriers.
NOTE ISO/TS 8100-21 contains global safety parameters (GSPs) for lifts (elevators) that further assist in the
use and implementation of the global essential safety requirements (GESRs) specified in this document.
0.3 Clause 4 describes the approach and methodology used in the development of this document.
Clause 5 gives instructions for the use and implementation of GESRs. The GESRs are presented in
Clause 6. Each GESR specifies a safety objective, i.e. what is to be achieved, not how to do it. This allows
innovation and development of future technologies. Annex A gives an overview of GESRs in relation to
lift subsystems.
0.4 The hazards associated with lifts are similar worldwide. For achieving an appropriate uniform
safety level, the requirements in this document are considered in any safety assessment of new lifts.
0.5 This document’s GESRs or the EU Lifts Directive 2014/33/EU essential health and safety
requirements (EHSRs), as well as those EHSRs of the Machinery Directive 2006/42/EC applicable to
lifts, when complied with, give an appropriate level of safety for lifts. See Annex B for application of
European legislation.
0.6 The ISO 8100-2X series provides a process for assessment of conformity of lift systems, lift
components or lift functions with the safety requirements specified in this document. It includes
a structured methodology for establishing, documenting and demonstrating that necessary and
appropriate protective measures are taken to eliminate hazards or sufficiently mitigate risks. This
process is particularly useful for establishing safety of lift systems, lift components or lift functions
involving innovative design or new technologies.
NOTE If one is using the process, ISO 8100-20 to 23 are used.
0.7 ISO/IEC Guide 51 has been taken into account as far as practicable at the time of drafting of
this document. The process of risk reduction described in ISO/IEC Guide 51 is accomplished using
ISO 14798.
vi © ISO 2018 – All rights reserved

INTERNATIONAL STANDARD ISO 8100-20:2018(E)
Lifts for the transport of persons and goods —
Part 20:
Global essential safety requirements (GESRs)
1 Scope
This document
— specifies GESRs for lifts (elevators), their components and functions, and
— establishes a system and provides methods for minimizing safety risks that can arise in the course
of, the operation and use of, or work on, lifts (elevators).
NOTE 1 Hereinafter, the term “lift” is used instead of the term “elevator”.
NOTE 2 See Clause 5 regarding the use and application of this document.
This document is applicable to lifts that are intended to carry persons or persons and goods that can:
a) be located in any permanent and fixed structure or building, except lifts located in means of
transport, (e.g. ships);
b) have any
1) rated load, size of load carrying unit and speed, and
2) travel distance and number of landings;
c) be affected by fire in the load-carrying unit (LCU), earthquake, weather, or flood;
d) be foreseeably misused (e.g. overloaded) but not vandalized.
This document does not cover
1)
a) all needs of users with disabilities; or
b) risks arising from
1) work on lifts under construction, testing, or during alterations and dismantling;
2) use of lifts for fire fighting and emergency evacuation;
3) vandalism; and
4) fire outside the LCU.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 14798, Lifts (elevators), escalators and moving walks — Risk assessment and reduction methodology
1)  Although the GESRs specified in this document have been identified and evaluated by risk assessment, not all
disabilities or combinations of such disabilities of users have necessarily been addressed.
3 Terms, definitions and abbreviated terms
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https: //www .iso .org/obp
— IEC Electropedia: available at http: //www .electropedia .org/
3.1
authorized person
person with authorization to access restricted lift (3.17) areas [e.g. machinery spaces, lift well (3.14)
(hoistway), pit and LCU top] skilled and trained to work therein, for the purpose of inspecting, testing,
repairing and maintaining the lift or for rescuing users (3.36) from a stalled load-carrying unit (LCU) (3.18)
3.2
cause
circumstance, condition, event, or action that in a hazardous situation (3.13) contributes to the
production of an effect (3.5)
[SOURCE: ISO 14798:2009, 2.1]
3.3
counterweight
mass that contributes traction in the case of a traction lift (3.17), or mass that saves energy by balancing
all or part of the mass of the load-carrying unit (LCU) (3.18) and the rated load (3.24)
3.4
door
mechanical device (including devices that partially or fully
enclose the opening) used to secure an LCU (3.18) or landing (3.16) entrance
3.5
effect
result of a cause (3.2) in the presence of a hazardous situation (3.13)
[SOURCE: ISO 14798:2009, 2.2]
3.6
electromagnetic compatibility
EMC
degree of immunity to incident electromagnetic radiation and level of emitted electromagnetic
radiation of electrical apparatus
3.7
essential health and safety requirement
EHSR
requirement intended to eliminate or sufficiently mitigate the risk (3.26) of harm (3.10) to users (3.36),
non-users (3.20) and authorized persons (3.1) using, or associated with, lifts (3.17)
3.8
fully loaded load-carrying unit
fully loaded LCU
load-carrying unit (3.18) with its rated load (3.24)
3.9
global essential safety requirement
GESR
globally agreed upon essential safety requirement
Note 1 to entry: See 4.3.3.
2 © ISO 2018 – All rights reserved

3.10
harm
physical injury or damage to the health of people, or damage to property or the environment
[SOURCE: ISO 14798:2009, 2.3]
3.11
harmful event
occurrence in which a hazardous situation (3.13) results in harm (3.10)
[SOURCE: ISO 14798:2009, 2.4, modified — The Note has been removed.]
3.12
hazard
potential source of harm (3.10)
[SOURCE: ISO 14798:2009, 2.5, modified — The Note has been removed.]
3.13
hazardous situation
circumstance in which people, property or the environment are exposed to one or more hazards (3.12)
[SOURCE: ISO 14798:2009, 2.6]
3.14
hoistway
well
travel path (3.33)of the load-carrying unit (LCU) (3.18) and related equipment plus the spaces below the
lowest landing (3.16) and above the highest landing
3.15
enclosure
fixed structural elements that isolate the well (3.14) (hoistway) from all other areas or spaces
3.16
landing
floor, balcony or platform (3.22) used to receive and discharge persons or goods (freight) from the load-
carrying unit (LCU) (3.18)
3.17
lift (GB)
elevator (US)
lifting appliance intended to transport persons with or without goods or freight by means of a power-
operated load-carrying unit (LCU) (3.18) that is guided by a fixed guiding system from one landing (3.16)
to another, at an angle of more than 75° to the horizontal
Note 1 to entry: This term does not include mobile or other working platforms (3.22) or baskets, or lifting
appliances used in the course of construction of buildings or structures.
Note 2 to entry: See ISO/TR 11071-1:2004, Clause 2, for use of the term “lift” versus the term “elevator” in current
national standards for lifts.
3.18
load-carrying unit
LCU
car
part of a lift (3.17) designed to carry persons and/or other goods for the purpose of transportation (3.32)
3.19
maintenance
process of examination, lubrication, cleaning and adjustments of lift (3.17) parts to ensure the safe
and intended functioning of the lift and its components after the completion of the installation and
throughout its life cycle
3.20
non-user
person in the vicinity of a lift (3.17) but not intending to access or use the lift
3.21
overload
load in the load-carrying unit (LCU) (3.18) that exceeds the rated load (3.24) of the lift (3.17)
3.22
platform
part of the load-carrying unit (LCU) (3.18) that accommodates persons and load for the purpose of
transportation (3.32)
3.23
protective measure
means used to reduce risk (3.26)
Note 1 to entry: Protective measures include risk reduction by inherently safe design, protective devices, use of
personal protective equipment, information for use and installation, and training.
[SOURCE: ISO 14798:2009, 2.8, modified — In Note 1 to entry, “use of” has been added.]
3.24
rated load
load that the lift (3.17) is designed and installed to transport
3.25
relative movement
situation where a lift (3.17) component moves in the vicinity of another lift component that is stationary
or that moves at a different speed or in a different direction
Note 1 to entry: This can also occur in a situation where a lift component moves in the vicinity of a structure
where persons can be present.
EXAMPLE Building floor surrounding the lift well (3.14) (hoistway).
3.26
risk
combination of the probability of occurrence of harm (3.10) and the severity (3.31) of that harm
[SOURCE: ISO 14798:2009, 2.10]
3.27
risk analysis
systematic use of available information to identify hazards and to estimate the risk (3.26)
[SOURCE: ISO 14798:2009, 2.11]
3.28
risk assessment
overall process comprising a risk analysis (3.27) and a risk evaluation (3.29)
[SOURCE: ISO 14798:2009, 2.12]
4 © ISO 2018 – All rights reserved

3.29
risk evaluation
consideration of the risk analysis (3.27) results to determine if the risk (3.26) reduction is required
[SOURCE: ISO 14798:2009, 2.13]
3.30
scenario
sequence of a hazardous situation (3.13), cause (3.2) and effect (3.5)
[SOURCE: ISO 14798:2009, 2.14]
3.31
severity
level of potential harm (3.10)
[SOURCE: ISO 14798:2009, 2.15]
3.32
transportation
process in the course of which persons enter, or goods are moved, into a load-carrying unit (LCU) (3.18),
which is then lifted or lowered to another landing (3.16), where the person exits, or goods are removed
from, the LCU
3.33
travel path
path and related space between the lift (3.17) terminal landings (3.16) within which an LCU travels
Note 1 to entry: For “space” above and below terminal landings, see 3.14 for “hoistway” or “well”.
3.34
uncontrolled movement
situation where the load-carrying unit (LCU) (3.18) travels at a speed that is beyond the control of the
means designed and intended to control the LCU speed during the lift (3.17) operation
EXAMPLE The LCU speed exceeds its designed speed or does not decelerate or stop as intended, due to
failure of, or breakdown in, lift components, such as the speed control or brake system.
3.35
unintended movement
situation where the load-carrying unit (LCU) (3.18) moves when, according to design of the lift (3.17), it
was to remain stationary
EXAMPLE The LCU starts to move away from a landing (3.16) while the users (3.36) are entering or leaving
the LCU, due to failure of, or breakdown in, lift components, such as the speed control or brake system.
3.36
user
person using the lift (3.17) for the purpose of normal transportation (3.32), without any help or
supervision, including a person carrying goods and a person using a specially dedicated operating
system to transport goods or loads
Note 1 to entry: An example of use of a specially dedicated operating system is “independent service” for transport
of hospital patients, whereby the operation of the lift is under the sole control of the patient’s attendant.
3.37
vandalism
deliberate destruction of, or damage to, property for no obvious gain or reason
3.38
working area
working space
area or space defined for use by authorized persons (3.1) to perform maintenance (3.19), repair,
inspection or testing of the lift (3.17)
4 Approach and methodology
4.1 Background
4.1.1 During the 1970s, the ISO 4190 series was published, which specifies the building dimensions
necessary to permit the installation of lifts. This series also specified criteria for the planning and
selection of lifts and the standards for lift fittings.
4.1.2 In order to facilitate further standardization of lift installations and components, ISO/TC 178
carried out extensive comparisons of regional and national safety standards and codes for lifts. The
results were published in the ISO/TR 11071 series of documents. These Technical Reports gave directions
for possible harmonization of several specific design — and safety-related rules in regional and national
standards. No agreement among the experts could be reached for global harmonization of most rules,
mainly for the following reasons:
a) the compared standards and codes were based on different assumptions and experiences and
written at different stages of industry development, without using a consistent methodology or
consistent procedures, as recommended in ISO/IEC Guide 51; and
b) they were written in prescriptive rather than performance language.
4.1.3 It further became clear that prescriptive standards not only continually lag behind the
development of lift technologies and the state of the art, but also present impediments to the progress
and innovation of industry. Differences in regional and national safety requirements affecting lift designs
also pose barriers to free trade. Therefore, a new approach to the development of lift standards affecting
lift safety needed to be taken.
4.2 Approach
4.2.1 ISO/IEC Guide 51 has been taken into account as far as practicable at the time of drafting of this
document.
4.2.2 The intent was to develop EHSRs for lifts whereby the lift is defined in broad terms as a “unit”
carrying load from one floor to another, without any design constraints such as those that are usually
specified in the regional or national lift standards.
A load-carrying unit (LCU) of a lift in this document is not necessarily a “car” that consists of a platform
with fully enclosed sides and ceiling. The space in which the unit travels is not necessarily a fully
enclosed “well” or “hoistway” as these terms are defined in national standards.
4.2.3 By taking this approach and by using the systematic risk assessment process in accordance with
ISO 14798, it was possible to establish EHSRs for lifts without imposing restrictions on the design of, or
materials and technologies used in, the lifts.
4.3 Methodology
4.3.1 In order to involve experts from various parts of the world, three regional study groups were
formed (North American, European and Asia-Pacific) with broad participation of local lift experts.
6 © ISO 2018 – All rights reserved

4.3.2 Following the risk assessment process set out in ISO/IEC Guide 51 and the methodology specified
in ISO 14798, each study group:
a) identified all safety risk scenarios, including hazardous situations and harmful events (causes
and effects and possible resulting harm) that could arise at all stages and in all conditions of the
operation and use of lifts;
b) assessed the risk; and
c) formulated EHSRs that, when implemented, would mitigate the risks.
Table 1 gives examples of risk scenarios related to GESRs.
4.3.3 Reports on the assessment of all risk scenarios and essential safety requirements proposed by
each study group were compared and debated within ISO/TC 178 before the final proposals for GESRs
for lifts specified in Clause 6 were established.
Table 1 — Examples of risk scenarios related to GESRs
a
Risk scenarios —  Hazards Applicable GESR requiring
implementation of
—  Persons exposed
protective measures
EXAMPLE 1 Shearing, crushing 6.2.5  Hazards due to relative
or abrasion hazards, movement
when:
1.1  Users are on a moving LCU that has low or per- 1.1  persons inside the Users and non-users shall be
forated guards on its sides. User extends a hand or LCU protected from the effects of
protrudes a foot beyond the LCU perimeters; user’s shearing, crushing or abrasion, or
hand or foot engages with external lift objects and other injuries due to
become sheared, crushed or cut.
a)  the relative movement of the
1.2  Users are in the lift entrance area and enter 1.2  entering/exiting
LCU and external objects; and
the LCU when the door is closing. The doors contact the LCU; or
b)  the relative movement of the
the users who are entering the LCU. Persons are
lift equipment.
crushed or sheared or they are destabilized, possi-
bly resulting in an injury due to a fall.
NOTE 1  For authorized persons,
see 6.6.9.
1.3  Non-users are at the floor area in the vicinity 1.3  located at the
of the lift entrance or at the floor around the LCU floor area in the vicini-
NOTE 2  This GESR addresses the
travel path; enclosure around the LCU travel path ty of an operating lift
safety of persons located inside
is low in height or perforated. Person extends a
and outside the LCU.
hand or protrudes a foot towards the moving LCU
or any other moving lift equipment in the travel
path, which engages with the hand or foot, the per-
son’s hand or foot is sheared, crushed or cut.
Table 1 (continued)
a
Risk scenarios —  Hazards Applicable GESR requiring
implementation of
—  Persons exposed
protective measures
EXAMPLE 2 Falling into the lift well 6.3.1  Falling into the well
(hoistway)
2.1  There are no guards between the LCU travel 2.1  Persons close to Means shall be provided to
path and the floors surrounding the travel path are unguarded well. sufficiently mitigate the risk to
high above the bottom of the well; a person is close users, non-users, and authorized
to the well A person leans over the floor edge or the persons of falling into the well
entrance opening sill. The person falls down the (hoistway).
well (hoistway).
NOTE  This GESR addresses
2.2  Guards in example 2.1 are provided but do not 2.2  Persons inside
the risk of falling into the well
have adequate strength. A person leans against a LCU or close to the
(hoistway)
guard The person breaks through the guard and well, whose guard is
—  from surrounding floors, and
fall down into the well (hoistway). not sufficiently strong.
—  from landing doors when the
LCU is absent.
EXAMPLE 3 Various hazards 6.2.3  Equipment inaccessible to
users and non-users
Users or non-users have access to lift machinery Unauthorized persons Equipment that is hazardous shall
and/or the equipment installed to move or control in areas containing not be directly accessible to users
the LCU. Persons inadvertently or deliberately lift machinery or and non-users.
come into contact with moving or rotating machin- equipment
NOTE  Locations that are not
ery or electrical equipment. This contact results in
accessible include the location be-
death or serious injury if the person is drawn into,
hind the enclosure, a locked cover
or comes into contact with, the machinery; or the
or door, or out-of-reach locations.
person is electrocuted if they come into contact
with exposed electrical equipment.
EXAMPLE 4 Falling from working 6.6.4  Strength of working areas
area
An authorized person is working on top of the LCU. Authorized person in Means shall be provided to ac-
The working space that does not have sufficient a designated working commodate and support the mass
strength to support the authorized person and area. of authorized person(s) and asso-
tools; the working surface collapses. The author- ciated equipment in any designat-
ized person falls into the LCU sustaining serious ed working area(s).
injuries.
NOTE  The number of authorized
persons and the equipment that
they carry or use to fulfil the an-
ticipated working activities should
be determined. Those activities
do not include major repairs when
the working area needs to be
enlarged and reinforced.
a
Risk assessment of all scenarios concluded that all identified risks need mitigation.
5 Understanding and implementing GESRs
5.1 Overall objective
5.1.1 Clause 6 contains a complete set of safety objectives for lifts in the form of global essential safety
requirements (GESRs), which shall be taken into consideration when mitigating safety risks that lifts can
present.
8 © ISO 2018 – All rights reserved

5.1.2 The objectives of the global essential safety requirements in Clause 6 are to:
a) introduce a universal approach to identifying and mitigating potential safety risks on new lift or
lift component designs that use new technologies, materials or concepts that are not adequately
addressed in existing standards; and
b) stimulate harmonization of current lift safety standards.
5.1.3 The GESRs contained in this document shall be followed wherever possible. However, given the
present state of the art, the objectives that the GESRs specify are sometimes unattainable. In such cases,
the lift or its components shall be designed and built in such a way as to approximate to those objectives
to the greatest possible extent.
5.1.4 A GESR states only the safety objective, or “what” shall be done or accomplished but not “how”
to accomplish the objective. Therefore, in order to achieve the safety objective of a GESR, appropriate
designs of lift components and functions shall be selected and their compliance with the GESR shall
be verified. In other words, the ability of the selected components, functions or GSPs to eliminate or
sufficiently mitigate the safety risks shall be demonstrated.
5.2 Use of GESRs
5.2.1 Basis
Each GESR specified in Clause 6 was established after performing the risk assessment of one or more
“risk scenarios” that can result in harm to persons (see Table 1). Consequently, when assessing the
safety of a lift or its components or functions, all risk scenarios shall be analysed and applicable GESRs
shall be identified.
The risk assessment shall be carried out in accordance with ISO 14798.
5.2.2 Ways of using GESRs
5.2.2.1 With respect to a specific task affecting lift safety, such as designing a lift or its components,
GESRs can be used in two ways:
— one can begin with the risk assessment of risk scenarios related to the task in order to identify the
applicable GESRs as in 5.2.2.2; or
— one can begin with a review of all GESRs in order to identify those that can be applicable to the task,
as in 5.2.2.3.
NOTE In addition to designing, tasks can include servicing of, or writing design-prescriptive safety standard
for, lifts or components thereof.
5.2.2.2 When designing a lift or its component, a review of the intended use, foreseeable misuse
(see ISO 14798:2009, 4.5.5.4) and the design shall be made, in which all possible risk scenarios are
formulated, and risk assessment is performed, in order to find out which, if any, GESRs are applicable
to the design. All risk scenarios that can occur during operation and use shall be considered, as well as
during the maintenance or inspection of the lift.
The risk scenarios shall include specifications of all hazardous situations, combined with all harmful
events (causes, effects and possible levels of harm). The risk analysis of a scenario shall be followed
by the process of risk estimation and evaluation in accordance with the methodology specified in
ISO 14798. As long as a risk is assessed as not sufficiently mitigated, the design needs to be continually
improved until the applicable GESR has been fulfilled.
EXAMPLE By following this process, risk scenarios similar to those in Example 1.1 in Table 1 can be
formulated and it can be concluded that there is a possibility of injury to persons exposed to shearing, crushing or
abrasion hazards. The assessment of the risk indicates that the risk needs further mitigation, which is achieved
by changing the design. If it is not feasible, further mitigation is achieved by implementing other protective
measures in order to comply with 6.2.5.
NOTE 1 For practical use of GESRs, see 5.3.
NOTE 2 Guidance and examples for use of GESRs are given in notes in Clause 6, following each GESR. They
should assist in understanding of the intent and use of GESRs.
5.2.2.3 The process can start with a review of GESRs. In this case, one considers the design, the lift or
its components with intent of identifying those GESRs that can be applicable to the design of the lift or
its components. Compliance with each identified GESRs shall be assessed. If the compliance is not self-
evident, risk assessment shall be completed to demonstrate compliance.
EXAMPLE In the case of the GESR in 6.2.5 in Example 1 in Table 1, one would examine the lift design or the
installed lift to determine whether any person travelling in the LCU, entering or exiting the LCU, being around
the lift travel path or well (hoistway), or in any similar situation can be exposed to shearing, crushing, abrasion
or similar hazard that can cause harm.
5.2.3 Applicability of GESRs
When analysing the safety of a lift design or component, or when writing a design prescriptive
requirement or standard, the applicability of all GESRs shall be determined. Only systematic
descriptions of all risk scenarios combined with the risk assessment of all scenarios (see ISO 14798)
determine applicability of individual GESRs.
NOTE The GESR in 6.2.12, related to effects of earthquake on lifts, and the GESR in 6.5.13, related to the risk
of an LCU being affected by flood, are examples of GESRs that are not applicable to every lift.
5.2.4 Safety objectives of GESRs
5.2
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