Elevator Inspections Explained: Category 1, Category 5, and What Code Actually Requires

01What ASME A17.1 actually requires

ASME A17.1, the Safety Code for Elevators and Escalators, sets the baseline for elevator inspection and testing in the United States and Canada. It is updated on a multi-year cycle. Many jurisdictions adopt a specific edition (often 2019 or 2022 in current practice) and add local amendments.

The code does two things relevant to building owners: it tells you what work has to happen on what cycle, and it tells you who is qualified to perform it. The service company holds the licensed mechanic. The authority having jurisdiction (AHJ) holds the inspector.

For existing installations, ASME A17.3 applies in some jurisdictions. It defines safety upgrades to older elevators that fall short of current A17.1 baseline.

02Category 1 test (annual, no-load)

Performed every 12 months on every elevator. The car runs without test weights. The mechanic exercises every safety and operational function.

What is tested in a Cat 1

• Door operator and door restrictor mechanisms
• Door open and close timing, photo-eye, force checks
• Floor levels and stopping accuracy
• Slowdown and limit switches
• Emergency stop and alarm systems
• Two-way communication (phone in the car)
• Brake operation and release
• Firefighter service (Phase I and Phase II) including key operation
• Light and ventilation in the car
• Hoistway access doors (if applicable)

Typical duration: 2-6 hours per car depending on equipment complexity. Cost: $400-$1,500 per car as a separate line item, or sometimes bundled into modified-full and full-coverage contracts.

03Category 5 test (every 5 years, full-load with weights)

The big one. Performed every 60 months. The car is loaded with rated capacity weights and run through dynamic safety tests. This is where governor calibration, brake holding capacity, and safety device function are verified under realistic conditions.

What is tested in a Cat 5

• Governor and rope safeties trip-test (traction elevators)
• Buffer compression tests at rated load
• Brake hold-load tests
• Slack-rope or slack-chain safety tests
• Hydraulic pressure relief and emergency lowering (hydraulic elevators)
• Hydraulic anti-creep / leveling integrity (hydraulic)
• Counterweight safeties (where required)
• Roping integrity load tests

The Cat 5 is more expensive because test weights have to be brought to the building (or rented), the car is out of service for a longer period, and the AHJ often must witness the test in person.

04Who performs which step

In some jurisdictions a Qualified Elevator Inspector (QEI), certified per ASME QEI-1, is required to either perform or witness the test. The QEI is independent of the service company. This is jurisdictional, not federal.

05Documentation: what matters and where it lives

The paperwork is half the value of an elevator inspection. The other half is the physical test.

1. 01Maintenance Control Program (MCP): the written plan describing how the equipment is maintained. ASME A17.1 requires every elevator to have an MCP. The MCP lives in the machine room.
2. 02Maintenance log: every preventive visit, finding, and corrective action. Lives in the machine room with the MCP.
3. 03Cat 1 and Cat 5 reports: signed by the testing mechanic, with results, deficiencies, and follow-up actions. Owner receives a copy. AHJ may require submission.
4. 04Certificate of Operation: issued by the AHJ when the elevator passes inspection. Must be posted in the car or near the controller per jurisdictional rules.
5. 05Violation notices and corrective actions: if the AHJ issues a violation, the owner receives written notice and a deadline. Closure requires written verification of the fix.

06Common Cat 1 and Cat 5 findings

Most elevator inspection failures fall into a small set of recurring categories.

• Door restrictor or interlock failure: doors do not lock properly when the car is between floors
• Phase I / Phase II firefighter service not functioning: a common Cat 1 failure that requires controller adjustment
• Two-way communication not working: the phone in the car must dial out and connect to a 24/7 monitored line
• Stopping accuracy out of spec: car stops more than 3/8 inch from floor level
• Governor overspeed test failure: the governor does not trip at the rated overspeed (Cat 5)
• Buffer compression failure: the buffer does not hold the load test (Cat 5)
• Brake hold-load failure: the brake does not hold rated load (Cat 5)
• Code upgrade items: older elevators flagged for A17.3 retrofits required in the jurisdiction

07How to close an open violation

1. 01Read the violation carefully. It will name the specific code reference and the corrective action required.
2. 02Schedule the corrective work with your service company. Most violations are correctable within a normal maintenance visit or a follow-up repair.
3. 03If parts are needed, document the lead time. Some AHJs will extend the deadline if you can show parts are on order.
4. 04Re-test after correction. Most violations require re-testing and re-inspection before the AHJ closes the file.
5. 05Submit closure paperwork. The AHJ needs written verification. Keep a copy.

Buildings with active violations should treat them as the highest-priority maintenance work. Open violations can compound into bigger problems if the original cause is not addressed.