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China Law Library
Employment
China Occupational Health and Safety Regulations

China Occupational Health and Safety Regulations

CBL’s Introduction

Chinese law structures occupational safety and health very differently from Western legal systems, treating workplace safety as a criminal risk for companies and their executives. Delayed or false reporting, tampering with the scene, or sending staff back into known hazards can turn a compliance failure into a length prison sentence for a company’s responsible person and executives, and heavy penalties for the company itself.

CBL’s translations of China’s Occupational Safety and Health Regulations outline the reporting duties, evidence rules, and accident thresholds businesses in China can incorporate into training, reporting, and board oversight before to minimize criminal exposure after an incident.

Contents

Criminal Occupational Safety and Health Violation Adjudicative Guidelines

Forcing Dangerous Work (§ 5)
Responsible Person Liability (§§ 6-7)
Delaying and Obstructing Rescue Efforts (§§ 8-10)
Enhanced or Reduced Penalties (§§ 11-13)
Government Employee Violations (§§ 14-15)

Establishment Occupational Safety and Health Training Rules

Ch. 1 Governance and Scope
Ch. 2 Responsible Person and Safety Manager Certification
Ch. 3 Staff Training and Hazardous-Work Controls
Ch. 4 Implementation, Budgeting, and Costs
Ch. 5 Regulatory Oversight and Examinations
Ch. 6 Penalties, Suspension, and Certificate Revocation

Criminal Occupational Safety and Health Violation Adjudicative Guidelines

Notice

The Criminal Occupational Safety and Health Violation Adjudicative Guidelines, adopted by the China Supreme Court Judicial Committee during the 1665th Session on November 9, 2015, and the China Supreme Procuratorate during the 44th Session of the 12th Procuratorial Committee on December 9, 2015, are hereby issued and shall take effect on December 16, 2015.

Supreme Court, Supreme Procuratorate

December 14, 2015

The following adjudicative guidelines are issued to specify criminal penalties for criminal occupational safety and health violations under the China Criminal Law Act:

Section 1 A party to a crime in § 134(a) of the China Criminal Law Act means any responsible person, manager, controller, or investor responsible for organizing, directing, managing, or otherwise directly participates in business operations.

Section 2 A party to a crime in § 134(b) of the China Criminal Law Act means any responsible person, manager, controller, or investor responsible for organizing, directing, or managing business operations.

Section 3 Direct supervisor and other directly responsible persons in § 135 of the China Criminal Law Act means any responsible person, manager, actual controller, or investor in an establishment directly responsible for managing and maintaining safety equipment and safety conditions, as well as any other employee responsible for managing and maintaining safety equipment and safety conditions.

Section 4 An individual with reporting obligations in § 139-1 of the China Criminal Law Act means any responsible person, manager, controller, or investor responsible for organizing, directing, or management, as well as any other employee with a duty to make reports.

Section 5 An individual shall be deemed to have forced another person to perform dangerous work under § 134(b) of the China Criminal Law Act if that individual orders work to continue despite being aware of a hazard or accident risk and, in doing so, violates safety management rules by:

(a) Abusing their authority to organize, direct, or manage to force others to perform dangerous work;

(b) Threatening, forcing, or intimidating others to perform dangerous work;

(d) Forcing others to perform dangerous work by any other means.

Section 6 A directly responsible person shall be deemed as having committed an egregious violation if the person violates §§ 132, 134(a), 135, 135-1, 136, or 139 of the China Criminal Law Act and the violation causes a safety accident that results in death or serious injury. The responsible person shall be subject to imprisonment for up to 3 years or to criminal detention if the person:

(a) Causes one or more deaths or serious injuries to three or more individuals;

(b) Causes direct financial losses in excess of 1,000,000 yuan; or

A directly responsible person who violates § 134(b) of the China Criminal Law Act and causes a safety accident described in paragraph (a) of this section that results in death or serious injury shall be deemed as having committed an egregious violation and subject to imprisonment for up to 5 years or to criminal detention.

A directly responsible person who violates § 137 of the China Criminal Law Act and causes a safety accident described in paragraph (a) of this section shall be deemed as having caused a major safety accident and subject to fines and imprisonment for up to 5 years or criminal detention.

A directly responsible person who violates § 138 of the China Criminal Law Act and causes a safety accident described in paragraph (a) of this section shall be deemed as having committed an egregious violation and subject to imprisonment for up to 3 years or to criminal detention.

Section 7 A directly responsible person who violates §§ 132, 134(a), 135, 135-1, 136, or 139 of the China Criminal Law Act and causes a safety accident shall be subject to a fixed-term imprisonment of 3 to 7 years if:

(a) They are the primary responsible person in an accident that causes three or more deaths or serious injuries to ten or more individuals.

(b) They are the primary responsible person in an accident that causes direct financial losses in excess of 5,000,000 yuan; or

A directly responsible person who violates § 134(b) of the China Criminal Law Act and causes a safety accident described in paragraph (a) of this section shall be subject to imprisonment for not less than 5 years.

A directly responsible person who violates § 137 of the China Criminal Law Act and causes a safety accident described in paragraph (a) of this section shall be subject to fines and imprisonment for 5 to 10 years.

A directly responsible person who violates § 138 of the China Criminal Law Act and causes a safety accident shall be subject to imprisonment for 3 to 7 years if:

(a) They are the primary responsible person in an accident that causes three or more deaths or serious injuries to ten or more individuals.

(b) They commit a violation that causes a safety accident described in § 6(a) of these Guidelines and are the primary responsible person in an accident that causes direct financial losses of over 5,000,000 yuan or causes imminent danger to public health or safety.

Section 8 An individual with reporting obligations who fails to report a safety accident or files a false report, thereby delaying rescue efforts, shall be deemed as having committed a major violation under § 139(a) of the China Criminal Law Act if:

(a) They increase the harm caused by the accident, resulting in one or more additional deaths, serious injury to an additional three or more individuals, or additional direct financial losses exceeding 1,000,000 yuan;

(b) They delay prompt and effective rescue efforts by:

Willfully omitting to report, delays, or falsifying an accident report, or instructing or conspiring with others to omit, delay, or falsify an accident report;
Abandoning their post or fleeing the scene of the accident;
Tampering with or destroying the scene of an accident, removing, hiding, or destroying the bodies of the deceased, or moving or hiding the injured;
Destroying, altering, or concealing drawings, records, computer data, or other evidence of the accident;

The following acts shall be deemed as major violations under § 139-1 of the China Criminal Law Act:

Aggravating the harm caused by an accident, resulting in an additional three or more deaths, serious injury to an additional ten or more individuals, or additional direct financial losses exceeding 5,000,000 yuan;
Preventing others from reporting the accident through violence, coercion, order, or other means, thereby increasing the harm caused by the accident;
Any other material violations.

Section 9 An individual who commits an egregious violation by conspiring with the party responsible for reporting a safety accident to conceal the accident or to file a false report, thereby delaying rescue efforts, shall be deemed an accomplice pursuant to § 139-1 of the China Criminal Law Act.

Section 10 A directly responsible person or director shall be prosecuted for intentional homicide under § 232 of the China Criminal Law Act if they obstruct rescue efforts after a safety accident and the obstruction results in death or serious injury. A directly responsible person or director shall be prosecuted for aggravated assault under § 234 of the China Criminal Law Act if they conceal or abandon a victim, thereby hindering rescue efforts causing the victim to die or become disabled.

Section 11 A individual shall be subject to prosecution and penalties § 146 of the China Criminal Law Act if they manufacture safety equipment that does not comply with Chinese or industry standards for personal or property protection or knowingly sells such equipment and causes a major safety accident.

Section 12 An individual who violates § 132 or §§ 134 through 139(a) of the China Criminal Law Act and causes a safety accident shall face enhanced penalties if they:

(a) Conduct business without the legally required safety permit or use an expired, suspended, revoked, or canceled safety permit;

(b) Turn off or destroy the required safety monitoring and alarm equipment;

(d) Have been subject to administrative or criminal penalties for a crime or a criminal occupational safety and health violation during the past year;

(e) Use fraud, bribery, or other means to evade or obstruct regulatory safety oversight or inspections;

(f) Transfer assets after a safety accident to evade liability; or

(g) Other acts warranting enhanced penalties.

An individual shall face additional penalties if the individual commits the act described in (e) above and that act constitutes a violation under § 389 of the China Criminal Law Act.

Section 13 An individual who violates § 132 or §§ 134 through 139(a) of the China Criminal Law Act may receive a reduced penalty if the individual actively organizes or participates in rescue efforts after a safety accident, actively cooperates with the investigation, or voluntarily pays damages.

Section 14 A government employee shall be subject to enhanced penalties if the employee’s unlawful investment in a business constitutes a crime under these Guidelines, or if the employee commits embezzlement or bribery that leads to a safety accident. A government employee shall also be subject to additional penalties for any criminal occupational safety and health violation related to corruption or bribery.

Section 15 A government employee shall be subject to prosecution and penalties under § 397 of the China Criminal Law Act if the employee abuses authority or is negligent in performing safety oversight and thereby causes significant harm to public property or to the Chinese national or public interest, or if the employee engages in abuse of position for personal gain by omitting to refer an alleged criminal offense to law enforcement for prosecution as required by law. Material violations shall be prosecuted as dereliction of duty for personal gain under § 402 of the China Criminal Law Act.

An employee of a company, corporation, or public institution shall be prosecuted for professional misconduct pursuant to Adjudicative Guidelines – China Criminal Law Act, Chapter 9: Professional Misconduct – National People’s Congress Standing Committee if the employee abuses authorities or neglects duties while performing safety oversight.

Section 16 A criminal convicted of an offense that endangers production safety and placed on probation may not engage in occupational safety and health work during the probation period, as necessary based on the severity of the offense. An individual who has completed a criminal sentence may not be employed in positions related to occupational safety and health for an additional 3 to 5 years after the completion of a criminal sentence or release on parole, as necessary based on the severity of the offense and the need to prevent recidivism.

Section 17 These Guidelines shall take effect on December 16, 2015. The Criminal Mine Safety Violation Adjudicative Guidelines issued by the China Supreme Court and Supreme Procuratorate (adjudicative guidelines [2007] No.5) shall be repealed on the same date. These Guidelines shall govern in the event of any discrepancies between any adjudicative guidelines or regulatory documents previously issued by the Supreme Court and the Supreme Procuratorate and these Guidelines.

Establishment Occupational Safety and Health Training Rules

National Occupational Safety and Health Administration Order No. 3

The Establishment Occupational Safety and Health Training Rules approved by the National Occupational Safety and Health Administration during the Director’s Office meeting on December 28, 2005, are hereby issued and shall take effect on March 1, 2006.

Director Li Yizhong

January 17, 2006

Chapter 1 General Provisions

Section 1 The purpose of these Rules is to improve and standardize safety training in establishments, improve staff safety literacy, and prevent injuries, fatalities, and occupational hazards pursuant to the China Occupational Safety and Health Act and other applicable laws and administrative regulations.

Section 2 These Rules cover staff safety training for manufacturing, mining, and commercial establishments (hereafter “Establishments”).

Section 3 An establishment shall be responsible for staff safety training.

An establishment shall provide and improve safety training programs pursuant to the China Occupational Safety and Health Act, these Rules, and other applicable laws and administrative regulations.

Section 4 An establishment shall provide safety training to each director, safety manager, employee assigned to hazardous work, and other applicable staff.

A staff shall receive safety training that covers safety management policies and practices, occupational safety principles, and job-specific safety skills to improve the staff’s ability to prevent accidents, manage occupational hazards, and respond to emergencies.

A staff who has not passed the work safety training shall not be permitted to start work.

Section 5 The China National Occupational Safety and Health Administration shall direct and oversee the administration of occupational safety and health training in China pursuant to law.

The appropriate cabinet-level agencies shall direct and oversee safety training within their jurisdictions and issue administrative procedures pursuant to these Rules.

The National Coal Mining Occupational Safety and Health Administration shall direct and oversee coal mine occupational safety and health training in China.

The local occupational safety and health regulator and the coal mining safety regulator (hereafter “occupational safety and health regulator”) shall oversee and administer establishment safety training in their jurisdictions pursuant to law.

Chapter 2 Safety Training for Responsible Persons and Safety Managers

Section 6 Each establishment responsible person and safety manager shall receive safety training and shall possess occupational safety and health knowledge and management skills appropriate to the establishment’s operations and industry.

Each responsible person and safety manager for a coal mining, mining, hazardous chemicals, or fireworks establishment must receive specialized safety training, pass the occupational safety and health and management skills examination administered by the occupational safety and health regulator, and obtain the necessary safety certification before being assigned to work.

Section 7 Safety training for an establishment responsible person shall cover:

(a) National occupational safety and health guidelines and policies, and occupational safety and health laws, regulations, rules, and standards;

(b) Fundamental knowledge of occupational safety and health management, occupational safety and health technology, and job-specific safety knowledge;

(c) Procedures for controlling major hazard sources, preventing major accidents, emergency response and rescue, and performing accident investigations;

(d) Occupational hazards and precautions;

(e) Domestic and international occupational safety and health management best practices;

(f) Accident and emergency rescue case studies; and

(g) Other matters requiring training.

Section 8 Safety training for an establishment safety manager shall cover:

(a) National occupational safety and health guidelines and policies, and occupational safety and health laws, regulations, rules, and standards;

(b) Knowledge of occupational safety and health management, occupational safety technology, and occupational health;

(d) Emergency management procedures, emergency plan development, and emergency response;

(e) Domestic and international occupational safety and health management best practices;

(f) Accident and emergency rescue case studies; and

(g) Other matters requiring training.

Section 9 Each establishment responsible person and safety manager shall receive at least 32 hours of safety training initially and at least 12 hours of annual continued training.

A responsible person or safety manager employed by an establishment in the coal mining, mining, hazardous chemicals, or fireworks industries shall receive at least 48 hours of safety training initially and at least 16 hours of annual retraining.

Section 10 An establishment responsible person or safety manager shall receive safety that complies with the safety training guidelines issued by the occupational safety regulator.

The China National Occupational Safety and Health Administration shall establish standardized safety training guidelines and examination standards for responsible persons and safety managers employed by establishments in the mining, hazardous chemicals, and fireworks industries.

The National Coal Mining Safety Administration shall establish safety training guidelines and assessment standards for mine responsible persons and safety managers.

Safety training guidelines and examination standards for responsible persons and safety managers in industries other than coal mining, mining, hazardous chemicals, or fireworks shall be established by the appropriate provincial, autonomous region, or home rule city occupational safety and health regulator.

Section 11 Safety training for a responsible person or safety manager employed by an establishment in the coal mining, mining, hazardous chemicals, or fireworks industries shall be administered by a safety training organization designated by the occupational safety and health regulator.

Section 12 The occupational safety and health regulator shall issue a safety qualification certificate to a responsible person or safety manager employed by a coal mining, mining, hazardous chemicals, or fireworks establishment who completes the required safety training and passes the examination.

The training organization designated by the occupational safety and health regulator shall issue a safety qualification certificate to a responsible person or safety manager employed by an establishment in another industry who completes the required safety training.

Chapter 3 Safety Training for Other Workers

Section 13 An establishment in coal mining, mining, hazardous chemicals, or fireworks shall provide safety training to each contingent, contract, temporary, or seasonal, or subcontracted worker to ensure that the worker has the occupational safety and health, self-rescue and assisted rescue, and emergency response knowledge and skills for the position before being assigned to work.

Section 14 A staff in a processing or manufacturing establishment shall receive factory (or mine), workshop (or section, line, team), and shift safety training before being assigned to work.

An establishment shall provide safety training to other staff based on the nature of their work and shall ensure that each staff possesses the occupational safety and health, and emergency response skills required for the position.

Section 15 Each new establishment staff shall receive at least 24 hours of pre-employment training.

A new staff in a coal mining, mining, hazardous chemicals, or fireworks establishment shall receive at least 72 hours of safety training initially and at least 20 hours of annual retraining.

Section 16 Factory (mine) pre-employment safety training shall cover:

(a) Establishment occupational safety and health conditions and fundamental knowledge;

(b) Establishment occupational safety and health policies and rules;

(d) Accident case studies.

In addition to the above items, factory (or mine) safety training for coal mining, mining, hazardous chemicals, and fireworks establishments shall include simulated emergency rescue exercises, emergency drill plans, and precautions.

Section 17 Workshop (or section, line, team) pre-employment safety training shall cover:

(a) Workplace safety conditions and hazards;

(b) Job-specific occupational injuries and hazards;

(d) Self-rescue and assisted rescue, first aid, evacuation, emergency response procedures;

(e) Use and maintenance of safety equipment, safety facilities, and personal protective equipment;

(f) Workshop (or section, line, team) safety conditions and policies;

(g) Accident prevention, occupational hazard controls, and other safety precautions;

(h) Accident case studies; and

(i) Other matters requiring training.

Section 18 Shift pre-employment safety training shall cover:

(a) Job-specific safety procedures;

(b) Safety and occupational health matters in work transfers between different positions;

(d) Other matters requiring training.

Section 19 An establishment staff shall receive workshop (or section, line, team) safety training and shift safety training if the staff is reassigned to a new position or has been absent from the job for more than one year.

An establishment staff assigned to new processes, equipment, or materials shall receive specialized safety training.

Section 20 An establishment worker assigned to hazardous work shall not begin work until the worker has completed the specialized safety training required by law, passed the examination, and obtained the required safety qualification certificate.

Separate rules shall be issued to govern the categories of workers assigned to hazardous work and the administration of training and examinations.

Chapter 4 Organization and Implementation of Safety Training

Section 21 The National Occupational Safety and Health Administration shall organize, direct, and oversee safety training for responsible persons and safety managers at the headquarters (head offices or main factories) of central government enterprises.

The National Coal Mining Safety Administration shall organize, direct, and oversee safety training for responsible persons and safety managers at the headquarters (or head offices) of central government enterprises.

The provincial safety regulator shall organize, direct, and oversee training for responsible persons, safety managers in provincial establishments and the branch offices and subsidiaries of central government industrial, mining, and commercial establishments within its jurisdiction. The provincial safety regulator shall organize, direct, and oversee training for workers assigned to hazardous work.

The provincial coal mining regulator shall organize, direct, and oversee safety training for responsible persons, safety managers, and workers assigned to hazardous work, including workers operating specialized equipment in coal mines, at coal mining establishments in its jurisdiction.

The municipal or county occupational safety and health regulator shall organize, direct, and oversee safety training for responsible persons and safety managers at establishments other than provincial and central government enterprises within their jurisdiction.

An establishment shall provide safety training for all staff other than responsible persons, safety managers, or staff assigned to hazardous work.

Section 22 An establishment shall provide in-house safety training for its staff if it has the capability to do so, or may hire a licensed safety training organization to conduct the training.

An establishment shall hire a licensed safety training organization to conduct safety training for staff if it lacks the capability to provide the training.

Section 23 An establishment shall include safety training in its annual operating plan. An establishment shall ensure that sufficient budget is allocated toward safety training.

Section 24 An establishment shall create and maintain safety training records for staff, including detailed and accurate records of training and assessments.

Section 25 An establishment shall pay wages and cover all necessary costs for staff assigned to receive safety training.

Chapter 5 Oversight

Section 26 The occupational safety and health regulator shall oversee establishment safety training and require establishments to conduct training pursuant to applicable Chinese law and these Rules.

The county coal mining safety regulator and its parent agency shall oversee safety training for underground coal mine workers. The coal mining safety regulator shall oversee safety training and certification for workers assigned to hazardous coal mining work.

Section 27 The occupational safety and health regulator shall oversee establishment safety training and certification, including:

(a) Development of safety training policies, plans, and their implementation;

(b) Safety certification for coal mining, mining, hazardous chemicals, and fireworks establishment responsible persons and safety managers, and safety training for responsible persons and safety managers in other establishments;

(d) Creation of safety training records; and

(e) Other matter requiring oversight.

Section 28 The occupational safety and health regulator shall administer examinations and issue safety certificates for responsible persons and safety managers in coal mining, mining, hazardous chemicals, and fireworks establishments in strict compliance with these Rules. Examinations must be free of charge.

An employee of the occupational safety and healthregulator responsible for examinations or certification shall not neglect duties or abuse their authority.

Chapter 6 Penalties

Section 29 The occupational safety and health regulator shall order an establishment to correct its violation by a specified deadline and shall impose a penalty of up to 20,000 yuan, if the establishment:

(a) Fails to include safety training in its annual operating plan or allocate sufficient budget for safety training;

(b) Fails to create and maintain employee safety training records; or

Section 30 The occupational safety and health regulator shall order an establishment to correct any of the following violations by a specified deadline. The regulator shall order a suspension of operations pending correction and impose a penalty of up to 20,000 yuan if the establishment fails to correct the violation by the deadline:

(a) A coal mining, mining, hazardous chemicals, or fireworks establishment employs a responsible person or safety manager who has not passed the examinations required by these Rules;

(b) A non-coal mining, hazardous chemicals, or fireworks establishment fails to provide staff with the safety training required by these Rules;

(c) A non-coal mining, hazardous chemicals, or fireworks establishment fails to provide staff with accurate information about occupational safety and health matters; or

(d) An establishment assigns a worker to hazardous work when the worker has not completed the required training with a licensed safety training organization or obtained the required certification.

The county coal mining safety regulator or its parent agency shall order a coal mine to correct the violation by a specified deadline and impose a penalty of 100,000 to 500,000 yuan if the mine fails to provide safety training to underground workers. The regulator shall order a coal mine to cease operations pending correction if the mine fails to correct the violation by the deadline.

The coal mining safety regulator shall order a coal mining establishment to correct the violation by a specified deadline and shall impose a penalty of 100,000 to 500,000 yuan if the establishment assigns a worker to hazardous work without the required certification. The regulator shall order the establishment to cease operations pending correction if it fails to correct the violation by the deadline.

Section 31 The occupational safety and health regulator shall issue a warning, revoke the safety certificate, and impose a penalty of up to 30,000 yuan if an establishment:

(a) Falsifies safety training records or documents; or

(b) Fraudulently obtains safety certificates.

Section 32 Staff of the occupational safety and health regulator shall be subject to disciplinary action if the employee neglects duties or abuses authority while performing examination or licensing duties, including a demerit or major demerit imposed by the regulator’s parent agency or administrative agency.

Chapter 7 Miscellaneous

Section 33 “Responsible Person” in these Rules means the chairman or president of a limited liability company or corporation; the factory responsible person, manager or the responsible person of a mining office; or the responsible person or actual controller of an establishment.

“Safety manager” means the responsible person for occupational safety and health in an establishment; the director of the establishment’s occupational safety and health department; or a full-time or part-time manager who performs occupational safety and health duties in an establishment without a dedicated occupational safety and health department.

“Staff” means all staff at an establishment other than the principal responsible person, safety managers, and staff assigned to hazardous work, including responsible persons, managers, technicians, other employees, and temporary staff.

Section 34 Provincial, autonomous region, and municipal occupational safety and health regulators and provincial coal mining safety regulators may issue local rules to implement these Rules and shall file those rules with the China National Occupational Safety and Health Administration and National Coal Mining Safety Administration.

Section 35 These Rules shall take effect on March 1, 2006.

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Translated to American English from the following government publications:

“关于办理危害生产安全刑事案件适用法律若干问题的解释”

https://www.spp.gov.cn/spp/zdgz/201512/t20151216_109414.shtml

“生产经营单位安全培训规定”

https://www.gov.cn/zhengce/2006-01/17/content_5712856.htm