Procedures of Shanghai Municipality on the Safety

Management of Rail Transport Operation

(Promulgated by Decree No.22 of Shanghai Municipal

People’s Government on December 9, 2009)

Chapter I  General Provisions

Article 1 (Purposes and Basis)

With a view to strengthening the safety management of this Municipality’s rail transport operation, safeguarding the operation safety and protecting passengers’ legitimate rights and interests, theses Procedures are formulated in accordance with the provisions of the Production Safety Law of the People’s Republic of China, the Regulations of Shanghai Municipality on Management of Rail Transport (hereinafter referred to as the Regulations), and other relevant laws and regulations, and in the light of the actual circumstances of this Municipality.

Article 2 (Application Scope)

These Procedures apply to the operation safety guarantee of this Municipality’s rail transport and management activity relating thereto.

Article 3 (Supervisory Departments)

The municipal administrative department of production safety supervision shall exercise comprehensive supervision management in respect of rail transport operation safety in accordance with relevant State provisions.

The municipal administrative department of transportation shall be responsible for supervision management of rail transport operation safety according to these Procedures within its area of responsibility, and the municipal transportation agency under its jurisdiction shall be responsible for daily supervision work of this Municipality’s rail transport operation safety. 

The municipal administrative department of development and reform, construction, public security as well as every district/county people’s government shall, according to respective duties and functions, assist in the implementation of these Procedures.

Article 4 (Operating Unit)

The rail transport line operating unit (hereinafter referred to as operating unit) shall do well in daily management work of rail transport operation safety within its operating scope, establish the control system, and draw up the rules, of operation safety, fix safety responsibility in order to ensure the rail transport operation safety.

Chapter II  Safety Facilities and Protection Zone Management

Article 5 (Operation Safety Requirements for Development Unit)

In constructing engineering projects, the development unit of rail transport project (hereinafter referred to as development unit) shall construct simultaneously the safety monitoring and rescue guaranteeing systems for rail transport, and ensure the functions of the systems comply with the needs of operation safety.

Upon completion acceptance of rail transport engineering, the development unit shall file the overall layout plan of the completed rail transport line with the municipal transportation agency.

Article 6 (Safety Facilities)

The operating unit shall, according to the standards of the State and this Municipality concerning safety facilities and equipment of rail transport, set up at stations and inside carriages the following safety facilities and equipment:

1. emergency facilities and equipment such as alarming, fire extinguishing, escapes, flood control, explosion protection, emergency illuminating and communication, and emergency   guide systems;

2. signs of safety, fire, evacuation guide and such others; and

3. video security surveillance systems.

Safety facilities and equipment that passengers are required to operate in emergency shall have use conditions and operating methods indicated explicitly and conspicuously.

Article 7 (Maintenance and Renovation of Facilities)

The operating unit shall make daily maintenance and detection of safety facilities and equipment and make safety evaluation according to the requirements of the Subway Operation Safety Evaluation Standards of the State, ensuring the facilities and equipment are in normal and good condition. 

With any change in the norms and standards for safety facilities and equipment, the operating unit shall make adjustment to the safety facilities and equipment in a timely manner.

If the safety facilities and equipment are incapable of meeting actual needs of operation safety, the operating unit shall, according to requirements of the municipal transportation agency, make renovation of the existing safety facilities and equipment in a timely manner.

Article 8 (Safety Protection Zone)

Upon the proposal approval of a rail transport engineering construction project, the municipal administrative department of transportation shall, according to the provision set out in Article 30 of the Regulations, designate the specific range of the rail transport safety protection zone and notify the planning, housing, and other relevant administrative departments.

With respect to operations conducted in the range of the rail transport safety protection zone as provided in Article 31 of the Regulations, the planning, housing, and other relevant administrative departments shall notify relevant working units to complete the examination and approval formalities of the safety protection zone with the municipal transportation agency.

Article 9 (Working Management in Safety Protection Zone)

After acquiring the construction permit for a rail transport engineering construction project, the development unit shall exercise safety management on the rail transport safety protection zone designated for the rail transport engineering.

The working unit shall conduct construction at the time set out in the operation scheme approved by the municipal transportation agency upon examination, and shall take corresponding safety protection measures. The working unit that fails to start operations according to the construction term set out in the working scheme shall complete the examination and approval formalities of the working scheme once more with the municipal transportation agency.

The development unit or operating unit shall draw up a safety supervision plan for construction conducted by the working unit in the rail transport safety protection zone, and shall exercise daily supervision on the safety of construction work.

Article 10 (Construction Management outside the Safety Protection Zone)

Where a engineering construction project is progressing outside the rail transport safety protection zone with construction machines possibly crossing or touching the rail transport ground station, elevated station and line rails, the construction unit shall take necessary safety protection measures so as not to affect the operation safety of rail transport, and shall notify in writing the operating unit prior to construction.

The operating unit shall appoint inspectors to conduct safety inspection on the construction site. Where the construction unit fails to take any safety protection measures or where the rail transport operation safety is possibly endangered in the course of construction, the operating unit shall request the construction unit to stop construction promptly and take corresponding safety measures, and shall report to the municipal transportation agency at the same time.

Chapter III  Management of Safe Operation

Article 11 (Affirmation of Basic Operating Conditions)

Where the rail transport engineering needs to be put into trial operation after completion, the operating unit shall apply to the municipal administrative department of transportation for affirmation of basic operation conditions, and the municipal administrative department of transportation shall organize for the affirmation of the basic operation conditions within 30 work days after the operating unit lodges the application.

The rail transport engineering that conforms to the basic operation conditions may be put into trial operation after the municipal administrative department of transportation obtains approval from the Municipal People’s Government; in the case of non-compliance with the basic operation conditions, the municipal administrative department of transportation shall notify the development unit or operating unit of relevant problems and requirements for rectification within the prescribed time limit.

The specific standards for basic operation conditions of this Municipality’s rail transport shall be drawn up by the municipal administrative department of transportation jointly with the municipal administrative department of development and reform, construction.

Article 12 (Employment Requirements)

The operating unit shall, according to relevant provisions of the State and this Municipality, conduct safety training and assessment for employees to ensure that the employees have corresponding knowledge about, and management ability of, rail transport operation safety.

Train drivers of the operating unit shall receive training of no less than 5000 km driving mileage, and pass the examination before getting on duty with certificate; dispatchers and train attendants on duty shall receive training of no less than 300-hour operation, and pass the examination before getting on duty with certificate.

Article 13 (Safety Duties of Staff)

Station staff of the operating unit shall perform the following duties:

1. maintaining order in the station, guiding passengers aboard in order;

2. guiding prompt evacuation of passengers in case of danger;

3. dissuading, checking any behavior possibly leading to occurrence of danger, and referring the case of dissuasion or check without effect to the public security department; and

4. making prompt report upon discovery of hidden peril of accident.

Train drivers of the operating unit shall perform the following duties:

1. observing the train driving safety operation specifications; and

2. seeing about passengers getting on and off the train, ensuring the safe opening and closing of platform screen doors (safety separation doors) and train carriage doors.

Article 14 (Requirements for Passengers)

Passengers shall observe provisions of the Regulations and the Rules for Rail Transport Passengers and the following provisions in addition:

1. no article or thing beyond the provided size shall be carried into the station or on board;

2. no bicycle (including folding bike) shall be carried into the station or on aboard;

3. no cat, dog or other pet shall be carried into the station or on aboard; and

4. no slide-board, roller skates, or such other apparatus shall be used inside the station or carriage.

The operating unit shall strengthen management of the riding order. The operating unit may refuse any passenger violating the provisions in the preceding clause admittance to the station or aboard, and if the passenger ignores the rule, the operating unit may refer the passenger to the public security department.

Article 15 (Safety Inspection)

No passenger shall carry into the station or aboard any flammable, explosive, toxic, radioactive, corrosive or other dangerous goods that possibly jeopardize personal and property safety. The catalogue and pattern of specific dangerous goods shall be announced by the operating unit through putting up posters and on display in the station according to provisions.

The operating unit shall, according to relevant provisions and standards, install in the station safety inspection facilities and equipment, and appoint safety inspectors with specialized training to conduct safety inspection, according to provisions, on articles that passengers are carrying.   

Passengers shall accept and cooperate in safety inspection; whoever refuses to do so shall be denied admittance to the station and aboard.

Upon finding any dangerous goods in the safety inspection, the operating unit shall forthwith take safety measures to avoid occurrence of danger and promptly report to the public security department as provided.

Safety inspectors shall, in exercising safety inspection, carry the safety inspection certificate; in respect to safety inspection exercised without the certificate, passengers have right to turn him down. 

Persons other than passengers entering the station and riding the train shall observe the provisions of this Article.

Article 16 (Management of Advertising Facilities and Commercial Networks)

The setting up of advertising facilities and commercial networks in the station shall not affect the rail transport operation safety.

No commercial networks other than the outlets and vending machines on platforms installed as specified in the rail transport station layout scheme shall be installed at the entrance, exit, platform or passage of the station.

The operating unit shall strengthen safety inspection of advertising facilities and commercial networks. The material used for advertising facilities and commercial networks shall be fire resistant and comply with provisions of laws, rules and regulations, and technical specifications concerning fire protection.

Except for emergency, the advertising facilities and commercial networks shall be set up or maintained during the non-operation period of rail transport.

Article 17 (Suspension for Reconstruction or Extension)

Where the rail transport operation needs to be suspended or the operating time to be shortened due to the reconstruction or extension of rail transport or the renovation of facilities, the operating unit shall draw up and file a safety protection scheme with the municipal transportation agency. The operating unit shall, ten days before the suspension of rail transport or the shortening of operating time, perform the obligation of informing passengers through the intercom system at the station and on board, or notice, or media.  

In the case of suspended operation or shortened operation time of rail transport, the municipal transportation agency shall do well in arrangement and dispatch to ensure the traveling safety and convenience for passengers

Article 18 (Inspection and Rectification)

The operating unit shall strengthen inspection on rail transport operation safety, remove in time any hidden peril in respect to operation safety; in the case of difficulty in timely removal, the operating unit shall take safety protection measures and draw up a special rectification scheme.

The operating unit shall file the safety protection measures and special rectification scheme with the municipal transportation agency.

Article 19 (Entrusted Management)

The operating unit that intends to entrust the management items or facilities or equipment relating to rail transport operation safety to other unit shall entrust such things to a unit with corresponding qualifications.

The operating unit shall make unified coordination of the operation safety work and assume safety liability.

Article 20 (Supervision and Inspection)

The relevant municipal administrative department of production safety supervision, transportation shall exercise supervision and inspection on rail transport operation safety matters in accordance with the law.

Law enforcement officials of the municipal administrative department of production safety supervision, transportation in exercising inspections shall keep written records of the inspection time, place and contents, the problems found out and disposition thereof.

The law enforcement officials in exercising inspections shall produce the law enforcement certificate, and shall not affect the normal operation of rail transport.

Chapter IV  Emergency Response and Accident Handling

Article 21 (Preparation of Emergency Preplan)

The municipal administrations of production safety supervision, transportation and public security shall, according to provisions of relevant laws, rules, and this Municipality’s overall emergency preplan for contingency, prepare their department’s emergency preplan for rail transport contingency within their respective duty area and submit them to the Municipal People’s Government for approval.

The operating unit shall, according to the emergency preplan for rail transport contingency, have its specific emergency preplan prepared and filed with the municipal administrative department of transportation.

Article 22 (Emergency Disposition)

Where a rail transport contingency comes up to conditions for starting the emergency preplan, the municipal administrative department of transportation shall, according to the provision, start the corresponding emergency preplan, and the relevant administrative departments, and operating unit shall handle the contingency according to relevant provisions of the State and this Municipality as well as the emergency preplan.

Having dealt with a contingency, the operating unit shall conduct safety inspection on rail transport facilities and equipment involved therein to ensure the facilities and equipment are in good condition.

Article 23 (Accident Disposition)

The operating unit shall reasonably set up accident rescue spots and appoint rescuers.

In case of an accident involving rail transport operation safety, the operating unit shall promptly organize rescue according to disposition requirements in respect thereto so as to lessen casualty and property loss.

If a safety accident affects the rail transport operation, the operation unit shall promptly notify passengers of relevant operation information through the intercom system at the station and on board, or notice or media, and do well in the evacuation and transfer of passengers. Relevant administrative departments shall, according to respective duties, rush to the accident scene to make treatment, and restore the normal operation of rail transport as soon as possible.

The provisions on handling this Municipality’s rail transport operation safety accident shall be formulated by the municipal administrative department of transportation.　

Article 24 (Ridership Restricted and Operation Suspended)

In the case of surging rail transport ridership or other situation that endangers operation safety, the operating unit may take temporary measures of restricting ridership to ensure operation safety. 

When operation safety is not ensured by taking the measures of restricting ridership, the operating unit may suspend operation in part of sections or in the whole line, and shall forthwith report to the municipal administrative department of transportation.

When taking measures of restricting ridership or suspending operation, the operating unit shall perform the obligation of notifying passengers at the same time through the intercom system at the station and on board, or notice or media; when the rail transport operation can not return to normal in time, the operating unit shall issue delay certificates to passengers, give notice of ticket refund or deferral and do well in the evacuation of passengers.

Article 25 (Information Reporting)

Where the rail transport operation is delayed for more than 15 minutes, the operating unit shall forthwith report to the municipal administrative department of transportation and submit to the said administrative department a written report on the delay reason and disposition within 3 days after the operation recovery. 

Chapter V  Legal Liability

Article 26 (Punishment to Development Unit)

A development unit that violates the provision of Clause 2 of Article 5 of these Procedures, failing to perform the filing obligation as required shall be ordered by the municipal administrative department of transportation to make correction within the prescribed time limit; for failure to do so, a fine of not less than 1000 yuan but not more than 3,000 yuan shall be imposed.

Article 27 (Punishment to Operating Unit)

For violation of these Procedures by the operating unit, the municipal administrative department of transportation shall impose punishment according to the following provisions:

1. for violation of the provision of Article 6 or Clause 1 of Article 23 of these Procedures, failing to set up safety facilities or accident rescue spots and rescuers as required, an order shall be made for correction within the prescribed time limit; for failure to do so, a fine of not less than 10,000 yuan but not more than 30,000 yuan shall be imposed.

 2. for violation of the provision of Article 13 of these Procedures, failing to perform safety duties as required, a warning shall be given, and a fine of not less than 3,000 yuan but not more than 10,000 yuan shall be cumulatively imposed.

3. for violation of the provision of Article 16 of these Procedures, failing to set up or maintain advertising facilities or commercial networks as required, an order shall be made for correction within the prescribed time limit; for failure to make correction, a fine of not less than 10,000 yuan but not more than 30,000 yuan shall be imposed.

4. for violation of the provision of Clause 1 Article 17 of or Article 25 of these Procedures, failing to perform the obligation of notification or reporting as required, a fine of not less than 1,000 yuan but not more than 3,000 yuan shall be imposed.

5. for violation of the provision of Clause 1 of Article 18 of these Procedures, failing to perform the obligation of safety inspection or take safety protection measures or draw up a special rectification scheme as required, a fine of not less than 10,000 yuan but not more than 30,000 yuan shall be imposed.

Article 28 (Punishment to Construction Unit)

A construction unit violating the provision of Clause 1 of Article 10 of these Procedures, failing to conduct construction as required and affecting the rail transport operation safety shall be ordered by the municipal administrative department of transportation to make correction within the prescribed time limit; for failure to do so, a fine of not less than 10,000 yuan but not more than 50,000 yuan shall be imposed.

Article 29 (Authorized Administration of Punishment)  

The municipal administrative department of transportation may authorize the municipal traffic administrative law enforcement agency to administer the administrative punishment as provided in these Procedures.  

Article 30 (Other Punishment)

Where the Regulations or other laws or rules have provided for punishment for violation of these Procedures, the relevant administrative department shall follow such provisions on punishment.

Chapter VI  Supplementary Provisions

Article 31 (Reference)

The operation safety management of maglev transportation shall take reference from these Procedures.

Article 32 (Effective Date)

These Procedures shall be effective as of March 1, 2010.