Project-Risk-Assessment-(项目风险评估英文版).docx

XXXXXX ProjectHSEC Risk Assessment DocumentPrepared By:Checked By:Approved By:NameSignatureDatePrinted copies are UncontrolledLast Reviewed: 10 January 2012Version HistoryVersionDescription of Changes Date0Issued for Submission2012-01-12 Version HistoryContentsSection 1 -Introduction4Section 2 -Purpose4Section 3 -Scope4Section 4 -High Level Finding4Section 5 -Definitions5Section 6 -Assumptions56.1Basic project details66.2Assessment assumptions6Section 7 -Process7Section 1 - IntroductionThis Execution Risk Assessment document provides the construction team with a detailed assessment of potential risks/hazards associated with the construction work to be performed during the course of the XXXXXX Project (SRWCP). It is a living document and shall be regularly updated as new risks/hazards are determined and mitigation factors resolved.The content of the Execution Risk Assessment shall be employed in the development of site-specific risk control measures, which shall be formally utilized in the field to ensure that all work is undertaken in the safest manner possible.Section 2 - PurposeThe following has been developed to outline the identified Risks strategy within the various phases of the SRWCP.The overall purpose of the document is to outline risks or threats to which the organisation, project and personnel are exposed. This includes, but is not limited to the design and execution phases of the Project.When assessing the risks to the organization the following impact or consequences shall be considered:- The risks to the health and safety of employees to which they are exposed whilst at work;- The risks to others not in his employment and those potentially affected by his acts and omissions;- Subsequent risks to the environment.- Subsequent loss to the organization.Section 3 - ScopeThe scope of the Risk Management Programme is identified below and simply stated addresses:- FEED Contract stage- Execution Phase (EPC)The process of risk identification and mitigation is required throughout each phase of the SRWCP, until completion.To assist in this process it is imperative that all disciplines focus on the identification of hazards prior to the commencement of any work activity and take appropriate action to remove, modify or protect personnel, plant, environment and equipment from such hazards.To support the hazard identification and risk potential this document shall be read in conjunction to the project HSE procedures and in particular the procedure Hazard identification and Risk Management.Section 4 - High Level FindingDuring this primary risk assessment of the project, there were over 200 initial risks identified, and of these 134 were given further attention and qualitatively assessed against the Rio Tinto assessment criteria and matrix because of their initial perceived impact levels. Of these 99 were identified as critical or high risks prior to any risk management actions. After reassessing with the effect of the risk management actions, this reduced to 47 (see appendix 1 and 2). A point of note on this is that the majority of the remaining (38) are in the rare and unlikely frequency probability bands (see appendix 3 PID). Further controls and actions will be investigated to manage these as a priority through the FEED phase.The remaining lower risk level risk will be brought into the overall risk register and also will be assessed, and risk management plans put in place, along with any further risks identified.As more information becomes available the overall risk register will be updated and reported as and when requiredSection 5 - DefinitionsHazardSomething with the potential to cause harm.RiskAn uncertain event or condition that if it occurs will affect achievement of one or more objectives.Probability / LikelihoodThe chance that a particular risk will occur. This can be expressed as either a probability for a single event or condition, or a frequency of occurrence for repeat events.ConsequenceThe outcome of a risk if it occurs. Threats have unfavourable consequences, and opportunities have favourable consequences. Consequences fall into two types: economic and non-economic.Risk IdentificationThe process of identifying risk. Can include - physical inspection, management and employee discussions, audits, job safety analysis, HAZOP Studies, etcRisk EvaluationThe process of evaluating the risk, potential impact or consequences on economic, social and legal well-being of the organization.Risk Management PlanThe over all plan containing individual controls and actions to mitigate the risk. Also can contain fall back systems mitigate and control the outcome if the risk was to occur.ControlExisting systems and procedures in place to mitigate the risks impacts and likelihood.ActionDistinct individual actions required to be completed to mitigate the risks impacts and likelihood.FallbackAre steps which are taken to recover from a risk which has actually occurredHSECHealth, Safety, Environmental and CommunityOpportunityA positive risk; an uncertain beneficial event or condition that if it occurs will result in favourable outcomes such as improved safety, saved time or cost, improved relations with communities and other stakeholders, or enhanced reputation.Section 6 - AssumptionsDue to the early nature of design and construction methodology, assumptions have been made to allow initial hazard identification to begin. These assumptions will change as more detailed information becomes available, and will then impact on the risk identification already conducted.6.1 Basic project details- 670 to 700 km of new rail line- 670 km of new rail sub grade- 67 rail bridges (over 70km total)- 2119 Culverts- 4 tunnels 3 drill and blast, 1 TBM- 25 rail stations- 30 man camps- 7 explosive magazines- 9 fuel dumps- 24 concrete batch plants - 7 medical facilities- 60km of new construction road- 7 Workshop areas- Several quarry areas- Approx. 40,000 persons- Assume project $10 Billon USD costing (for impact levels).- Work area divided into 9 sections6.2 Assessment assumptionsAfter award of FEED contract, the risk identification process will be continue through a series of workshops with the various teams, the objective of this is to refine the information gathered so far, and to provide assurance that the control measures are incorporated into the design and work execution planning.Risk and Hazard information and HSEC incidents for the project will be recorded in the software “Active Risk Manager - ARM”. This will be purchased at contract award.Categories, coding and other reporting elements of the risks identified, will change over time, to encompass Rio Tintos reporting requirements as they become known and further information is known about structure of the project etc,.At this early stage, the main assessment of risk minimisation techniques will be based around existing administrative and engineering controls. Risks identified have been compiled from sources within the Company. Actual ownership of individual risks and its methods of treatment will be determined during the on-going review process. Risk register as attached is current as at 3 Jan 2012. The content will evolve throughout the bidding process. Section 7 - ProcessProject management will adopt a life cycle approach. This structured approach identifies, analyses, and manages areas of risk or hazard. In addition, other specific risk assessments and reviews may be used to analyse specific areas of risk or hazard. The Company has a commitment to achieve the highest possible level of hazard and risk identification. Consistent with this commitment, the company will strive to exceed the minimum standard of local legislation, standards, and codes of practice.As a summary to the various parts of Risk Analysis and Hazard Identification, please see diagram (from ISO 31000):As indicated, the risk analysis and hazard identification process is a reiterative process and will continue for the life of the project.Project management will verify that their HSE&S management systems address as a minimum the hazards identified. The risks associated with each of these hazards are to be addressed through the means of a HSE&S work procedure.Particular attention will be paid to the tasks that are complex in nature or that have a higher than normal level of risk (e.g., vehicles and transport, aviation work, working at height, blasting, tunnelling etc). Risks shall be managed by adhering to the As Low As Reasonable Possible (ALARP) principle.Appendix A - Risk List with risk ranking at Class III or Class IV (Critical and High risk level)Current as at 3 Jan 2012In order to open this file, please refer to the attachment 1.Risk Register- Critical and High risk levels only.xls of this PDF File.Appendix B - Register List with risk ranking at Class III or Class IV (Critical and High risk level), with controlsCurrent as at 3 Jan 2012 In order to open this file, please refer to the attachment 2.Risk Register-Critical and High risk levels only with controls.xls of this PDF File.Appendix C - Over-all Risk Matrix Summary (Probability Impact Diagram-PID)Table: PID (risk count per level)Table: Overall score change by risk level:Appendix D - Risk cross analysis (Source and Category)Table - Risk cross analysis (Source and Category)Printed copies are UncontrolledLast Reviewed: 10 January 2012Appendix E - General total risk metricsTable: Count by Category:CategoryRisk Count%Compliance6044.8%Design/Engineering5641.8%Working Environment5541.0%Method of Work4231.3%Operational3626.9%Place of Work3626.9%Work Organisation2720.1%Plant and Equipment2619.4%Undefined2417.9%Materials and Substances2216.4%Strategic139.7%Stakeholders96.7%Other Hazards43.0%Total Distinct Risk Count134Table: Count by Source:SourceRisk Count%Safety and Health of Persons5541.0%Rail Infrastructure2014.9%Environmental1611.9%Undefined1611.9%Country129.0%Community Unrest43.0%Logistical43.0%Weather32.2%Workforce Unrest21.5%Quality10.7%Delivery of Ore10.7%Total Distinct Risk Count134Appendix F - Assessment information and criteriaTable: Probability Impact Diagram (PID). (To determine risk level)ConsequenceLikelihoodMinorMediumSeriousMajorCatastrophicAlmost CertainModerate100High170Critical200Critical240Critical250LikelyModerate90High160High150Critical220Critical230PossibleLow50Moderate80High140Critical190Critical210UnlikelyLow30Low 40Moderate70High130Critical180RareLow10Low20Moderate60High40High120Table: Likelihood (Probability/Frequency) levels and descriptionsLikelihoodLikelihood Description % ProbabilityFrequencySubstance ExposureAlmost CertainRecurring event during the lifetime of the project60%Occurs more than twice per yearFrequent (daily) exposure at 10xOELLikelyEvent that may occur frequently during the life time of the project40-60%Typically occurs once or twice per yearFrequent (daily) exposure at OELPossibleEvent that may occur during the life time of the project20-40%Typically occurs in 1-10 yearsFrequent (daily) exposure at 50% OEL, infrequent exposure at OELUnlikelyEvent that is unlikely to occur during the life time of the project10-20%Typically occurs in 10-100 yearsFrequent (daily) exposure at 10% OEL, infrequent exposure at 50% OELRareEvent that is very unlikely to occur during the life-time of the project10%Greater than 100 year eventFrequent (daily) exposure at 10% OELTable: Impact Levels and descriptions- Economic (Cost and Time)Economic (based on 10B Project Value)ConsequenceMINORMEDIUMSERIOUSMAJORCATASTROPHICCapital expenditure30%3B USDSchedule45%70.2 WeeksOperating cost15%Production volumes15%Revenue7%Table: Impact Levels and descriptions- Non-Economic (Social and Environmental)ConsequenceMINORMEDIUMSERIOUSMAJORCATASTROPHICNon-Economic (Social and Environmental)HEALTHReversible health effects of little concern, requiring first aid treatment at most.Can include minor irritations of eyes, throat, nose and or skin, or minor unaccustomed muscular discomfort.Reversible health effects of concern that would typically result in medical treatment.Can include temperature effects, travel effects, stress;and sunburn.Severe, reversible health effects of concern that would typically result in a lost time illness.Can include acute/short-term effects associated with extreme temperature effects, or musculoskeletal effects, vibration effects, nervous system effects, some infectious diseases; and non-falciparum malaria.Single fatality or irreversible health effects or disabling illness.Can include effects of suspected carcinogens, mutagens, teratogens and reproductive toxicants, progressive chronic conditions and/or acute/short-term high-risk effects.Multiple fatalities or serious disabling illness to multiple people. Can include effects of known human carcinogens, mutagens, teratogens and reproductive toxicants, and life-threatening respiratory sensitization and falciparum malaria.SAFETYLow level short term subjective inconvenience or symptoms. Typically a first aid and no medical treatment.Reversible injuries requiring treatment, but does not lead to restricted duties. Typically a medical treatment.Reversible injury or moderate irreversible damage or impairment to one or more persons.Typically a lost time injurySingle fatality and/or severe irreversible damage or severe impairment to one or more persons.Multiple fatalities or permanent damage to multiple peopleENVIRONMENT(on site)Near-source confined and promptly reversible impact(typically a shift).Near-source confined and short-term reversible impact(typically a week).Near-source confined and medium-term recovery impact(typically a month).Impact that is confined and requiring long-term recovery, leaving residual damage.Impact that is widespread unconfined and requiring long-term recovery, leaving major residual damage.(typically years)ENVIRONMENT(off site)Not applicableNear-source confined and promptly reversible impact(typically a shift).Near-source confined and short-term reversible impact(typically a week).Near-source confined and medium-term recovery impact(typically a month).Impact that is widespread unconfined and requiring long-term recovery, leaving residual damage.(typically years)COMMUNITY(community trust)Tangible expressions of trust/mistrust amongst a handful of community members with no influence on public opinion and decision-makersTangible expressions of trust/mistrust amongst a few community members with some influence on public opinion and decision-makers.Tangible expressions of trust/mistrust amongst some community members with moderate influence on public opinion decision-makers.Tangible expressions of trust/mistrust amongst most community members with significant influence on decision-makers.Widespread loss/gain of trust across the community setting the agenda for decision-makers and key stakeholders.COMMUNITY(stakeholder）Key civil/political stakeholder(s) express support/dissatisfaction informally.Key civil/political stakeholder(s) express support/dissatisfaction informally.Key civil/political stakeholder(s) threaten to oppose or disengage/strengthen offers to support or engage.Key civil/political stakeholder(s) actively oppose or actively refuse to engage/actively support and engage.Key civil/political stakeholder(s) actively oppose and actively get others to oppose/engage and actively get others to support.COMMUNITY(cultural heritage)Reparable damage to site or item of low culture significance.Irreparable damage to site or item of low cultural significance.Reparable damage to site or item of cultural significance.Irreparable damage to site or item of cultural significance.Irreparable damage to site or item of international cultural significance.REPUTATIONCommunity complaint revolved via existing site procedures. Impact on reputation of several work areas within an operation. One off public exposure in local media, word of mouth or local mythologies.Impact on reputation of Business Unit. Significant public