Project-Risk-Assessment-(项目风险评估英文版)

1、XXXXXXProjectHSECRiskAssessmentDocumentPreparedBy:CheckedBy:ApprovedBy:NameSignatureDateVersionHistoryVersionHistoryVersionDescriptionofChangesDate0IssuedforSubmission2012-01-12ContentsTOC o 1-5 h z HYPERLINK l bookmark4 o Current Document Section1-Introduction4 HYPERLINK l bookmark6 o Current Docum

2、ent Section2-Purpose4 HYPERLINK l bookmark8 o Current Document Section3-Scope4 HYPERLINK l bookmark10 o Current Document Section4-HighLevelFinding4 HYPERLINK l bookmark12 o Current Document Section5-Definitions5 HYPERLINK l bookmark14 o Current Document Section6-Assumptions56.1Basicprojectdetails66.

3、2Assessmentassumptions6 HYPERLINK l bookmark16 o Current Document Section7-Process6Section1-IntroductionThisExecutionRiskAssessmentdocumentprovidestheconstructionteamwithadetailedassessmentofpotentialrisks/hazardsassociatedwiththeconstructionworktobeperformedduringthecourseoftheXXXXXXProject(SRWCP).

4、Itisalivingdocumentandshallberegularlyupdatedasnewrisks/hazardsaredeterminedandmitigationfactorsresolved.ThecontentoftheExecutionRiskAssessmentshallbeemployedinthedevelopmentofsite-specificriskcontrolmeasures,whichshallbeformallyutilizedinthefieldtoensurethatallworkisundertakeninthesafestmannerpossi

5、ble.Section2-PurposeThefollowinghasbeendevelopedtooutlinetheidentifiedRisksstrategywithinthevariousphasesoftheSRWCP.Theoverallpurposeofthedocumentistooutlinerisksorthreatstowhichtheorganisation,projectandpersonnelareexposed.Thisincludes,butisnotlimitedtothedesignandexecutionphasesoftheProject.Whenas

6、sessingtheriskstotheorganizationthefollowingimpactorconsequencesshallbeconsidered:-Theriskstothehealthandsafetyofemployeestowhichtheyareexposedwhilstatwork;-Theriskstoothersnotinhisemploymentandthosepotentiallyaffectedbyhisactsandomissions;-Subsequentriskstotheenvironment.-Subsequentlosstotheorganiz

7、ation.Section3-ScopeThescopeoftheRiskManagementProgrammeisidentifiedbelowandsimplystatedaddresses:-FEEDContractstage-ExecutionPhase(EPC)TheprocessofriskidentificationandmitigationisrequiredthroughouteachphaseoftheSRWCP,untilcompletion.Toassistinthisprocessitisimperativethatalldisciplinesfocusontheid

8、entificationofhazardspriortothecommencementofanyworkactivityandtakeappropriateactiontoremove,modifyorprotectpersonnel,plant,environmentandequipmentfromsuchhazards.TosupportthehazardidentificationandriskpotentialthisdocumentshallbereadinconjunctiontotheprojectHSEproceduresandinparticulartheprocedure-

9、HazardidentificationandRiskManagement.Section4-HighLevelFindingDuringthisprimaryriskassessmentoftheproject,therewereover200initialrisksidentified,andofthese134weregivenfurtherattentionandqualitativelyassessedagainsttheRioTintoassessmentcriteriaandmatrixbecauseoftheirinitialperceivedimpactlevels.Ofth

10、ese99wereidentifiedascriticalorhighriskspriortoanyriskmanagementactions.Afterreassessingwiththeeffectoftheriskmanagementactions,thisreducedto47(seeappendix1and2).Apointofnoteonthisisthatthemajorityoftheremaining(38)areintherareandunlikelyfrequencyprobabilitybands(seeappendix3PID).Furthercontrolsanda

11、ctionswillbeinvestigatedtomanagetheseasaprioritythroughtheFEEDphase.Theremaininglowerrisklevelriskwillbebroughtintotheoverallriskregisterandalsowillbeassessed,andriskmanagementplansputinplace,alongwithanyfurtherrisksidentified.Asmoreinformationbecomesavailabletheoverallriskregisterwillbeupdatedandre

12、portedasandwhenrequiredSection5-DefinitionsHazardSomethingwiththepotentialtocauseharm.RiskAnuncertaineventorconditionthatifitoccurswillaffectachievementofoneormoreobjectives.Probability/LikelihoodThechancethataparticularriskwilloccur.Thiscanbeexpressedaseitheraprobabilityforasingleeventorcondition,o

13、rafrequencyofoccurrenceforrepeatevents.ConsequeneeTheoutcomeofariskifitoccurs.Threatshaveunfavourableconsequences,andopportunitieshavefavourableconsequences.Consequencesfallintotwotypes:economicandnon-economic.RiskIdentificationTheprocessofidentifyingrisk.Caninclude-physicalinspection,managementande

14、mployeediscussions,audits,jobsafetyanalysis,HAZOPStudies,etcRiskEvaluationTheprocessofevaluatingtherisk,potentialimpactorconsequencesoneconomic,socialandlegalwell-beingoftheorganization.RiskManagementPlanTheoverallplancontainingindividualcontrolsandactionstomitigatetherisk.Alsocancontainfallbacksyst

15、emsmitigateandcontroltheoutcomeiftheriskwastooccur.ControlExistingsystemsandproceduresinplacetomitigatetherisksimpactsandlikelihood.ActionDistinetindividualactionsrequiredtobecompletedtomitigatetherisksimpactsandlikelihood.FallbackArestepswhicharetakentorecoverfromariskwhichhasactuallyoccurredHSECHe

16、alth,Safety,EnvironmentalandCommunitvOpportunityApositiverisk;anuncertainbeneficialeventorconditionthatifitoccurswillresultinfavourableoutcomessuchasimprovedsafety,savedtimeorcost,improvedrelationswithcommunitiesandotherstakeholders,orenhancedreputation.Section6-AssumptionsDuetotheearlynatureofdesig

17、nandconstructionmethodology,assumptionshavebeenmadetoallowinitialhazardidentificationtobegin.Theseassumptionswillchangeasmoredetailedinformationbecomesavailable,andwillthenimpactontheriskidentificationalreadyconducted.6.1Basicprojectdetails-670to700kmofnewrailline-670kmofnewrailsubgrade-67railbridge

18、s(over70kmtotal)-2119Culverts4tunnels3drillandblast,1TBM25railstations30mancamps7explosivemagazines9fueldumps24concretebatchplants7medicalfacilities60kmofnewconstructionroad7WorkshopareasSeveralquarryareasApprox.40,000personsAssumeproject$10BillonUSDcosting(forimpactlevels).Workareadividedinto9secti

19、ons6.2AssessmentassumptionsAfterawardofFEEDcontract,theriskidentificationprocesswillbecontinuethroughaseriesofworkshopswiththevariousteams,theobjectiveofthisistorefinetheinformationgatheredsofar,andtoprovideassurancethatthecontrolmeasuresareincorporatedintothedesignandworkexecutionplanning.RiskandHa

20、zardinformationandHSECincidentsfortheprojectwillberecordedinthesoftware“ActiveRiskManager-ARM”.Thiswillbepurchasedatcontractaward.Categories,codingandotherreportingelementsoftherisksidentified,willchangeovertime,toencompassRioTintosreportingrequirementsastheybecomeknownandfurtherinformationisknownab

21、outstructureoftheprojectetc,.Atthisearlystage,themainassessmentofriskminimisationtechniqueswillbebasedaroundexistingadministrativeandengineeringcontrols.RisksidentifiedhavebeencompiledfromsourceswithintheCompany.Actualownershipofindividualrisksanditsmethodsoftreatmentwillbedeterminedduringtheon-goin

22、greviewprocess.Riskregisterasattachediscurrentasat3Jan2012.Thecontentwillevolvethroughoutthebiddingprocess.Section7-ProcessProjectmanagementwilladoptalifecycleapproach.Thisstructuredapproachidentifies,analyses,andmanagesareasofriskorhazard.Inaddition,otherspecificriskassessmentsandreviewsmaybeusedto

23、analysespecificareasofriskorhazard.TheCompanyhasacommitmenttoachievethehighestpossiblelevelofhazardandriskidentification.Consistentwiththiscommitment,thecompanywillstrivetoexceedtheminimumstandardoflocallegislation,standards,andcodesofpractice.AsasummarytothevariouspartsofRiskAnalysisandHazardIdenti

24、fication,pleaseseediagram(fromISO31000):ilkAna.y&iaRiigkTrelmeotCommimicatiooiandConsolltationMonitoringaiidReviewAsindicated,theriskanalysisandhazardidentificationprocessisareiterativeprocessandwillcontinueforthelifeoftheproject.ProjectmanagementwillverifythattheirHSE&Smanagementsystemsaddressasami

25、nimumthehazardsidentified.TherisksassociatedwitheachofthesehazardsaretobeaddressedthroughthemeansofaHSE&Sworkprocedure.Particularattentionwillbepaidtothetasksthatarecomplexinnatureorthathaveahigherthannormallevelofrisk(e.g.,vehiclesandtransport,aviationwork,workingatheight,blasting,tunnellingetc).Ri

26、sksshallbemanagedbyadheringtotheAsLowAsReasonablePossible(ALARcPi)plep.rinAppendixA-RiskListwithriskrankingatClassIIIorClassIV(CriticalandHighrisklevel)Currentasat3Jan2012RiskRegister-CriticalandHighLevelRiskOnly.Inordertoopenthisfile,pleaserefertotheattachment1.RiskRegister-CriticalandHighrisklevel

27、sonly.xlsofthisPDFFile.AppendixB-RegisterList-withriskrankingatClassIIIorClassIV(CriticalandHighrisklevel),withcontrolsCurrentasat3Jan2012RiskListWithResponses-CriticalandInordertoopenthisfile,pleaserefertotheattachment2.RiskRegister-CriticalandHighrisklevelsonlywithcontrols.xlsofthisPDFFile.Appendi

28、xC-Over-allRiskMatrixSummary(ProbabilityImpactDiagram-PID)Table:PID(riskcountperlevel)CURRENT(PREMITIGATION)PIDAlmostCertainProbakeiyityPossibleUnlikelyRareTARGET(POSTMITIGATION)PIDAlmostCertainAlmostCertainProbakeiyityProbakeiyityPossiblePossibleUnlikelyUnlikelyRareRareTable:Overallscorechangebyris

29、klevel:RiskCountTarget(PostMitigation)PIDLevelNILLowModerateHighCriticalTotalCountMitigatl&n)PID14000014MitCfflggn)040004Moderate01430017High0191318050Critical0101024549TotalCount144726425134AppendixD-Riskcrossanalysis(SourceandTable-Riskcrossanalysis(SourceandCategory)SourceRiskCountCommunityUnrest

30、CountryDeliveryofOreEnvironmentalLogisticalQualityRailInfrastructureSafetyandHealthofPersons22Compliance480112011Design/Engineering21012111819MaterialsandSubstancesMethodofWork000200020120411230Operational1212411015OtherHazards00010003gocyofWork140400124PlantandEquipment000200222Stakeholders43001000

31、Strategic44004000Undefined00030014WorkOrganisation050220016WorkingEnvironment080401137TotalCount412116412055AppendixE-GeneraltotalriskmetricsTable:CountbyCategory:CategoryComplianceRiskCount%6044.8%Design/EngineeringWorkingEnvironmentMethodofWork5641.8%55410%42313%Operational3636269%PlaceofWork269%W

32、orkOrganisation27201%PlantandEquipmentUndefined2619.4%2417.9%MaterialsandSubstances2216.4%Strategic1397%Stakeholders967%OtherHazards43.0%TotalDistinctRiskCount134Table:CountbySource:SourceRiskCount%SafetyandHealthofPersonsRailInfrastructure552041.0%14.9%Environmental16119%Undefined16119%Country1290%

33、CommunityUnrest430%Logistical43.0%22%Weather3WorkforceUnrest215%Quality107%DeliveryofOre107%TotalDistinctRiskCount134AppendixFAssessmentinformationandcriteriaTable:ProbabilityImpactDiagram(PID).(Todeterminerisklevel)ConsequenceLikelihoodMinorMedium一Serious一Majora|asirDphAlmostCertainModerate100likel

34、yModeratePossibleModerate80一UnlikelyModerate70RareModerate60Table:Likelihood(Probability/Frequency)levelsanddescriptionsLikelihoodLikelihoodDescription%ProbabilityFrequencySubstanceExposureAlmostCertainRecurringeventduringthelifetimeoftheproject60%OccursmorethantwiceperyearFrequent(daily)exposureat1

35、0 xOelLikelyEventthatmayoccurfrequentlyduringthelifetimeoftheproject40-60%TypicallyoccursonceortwiceperyearFrequent(daily)exposureatOELPossibleEventthatmayoccurduringthelifetimeoftheproject20-40%Typicallyoccursin1-10yearsFrequent(daily)exposureat50%OEL,infrequentexposureatOELUnlikelyEventthatisunlik

36、elytooccurduringthelifetimeoftheproject10-20%Typicallyoccursin10-100yearsFrequent(daily)exposureat10%OeL,infrequentexposureat50%OELRareEventthatisveryunlikelytooccurduringthelife-timeoftheproject10%Greaterthan100yeareventFrequent(daily)exposureat10%OELTable:ImpactLevelsanddescriptions-Non-Economic(S

37、ocialandEnvironmental)Table:ImpactLevelsanddescriptions-Economic(CostandTime)Economic(basedon10BProjectValue)ConsequenceMINORMEDIUMSERIOUSMAJORCATASTROPHICCapitalexpenditure30%3BUSDSchedule45%702WeeksOperatingcost15%Productionvolumes15%Revenue7%ConsequenceMINORMEDIUMSERIOUSMAJORNon-Economic(Socialan

38、dEnvironmental)HEALTHReversiblehealtheffectsoflittleconcern,requiringfirstaidtreatmentatmost.Canincludeminorirritationsofeyes,throat,noseandorskin,orminorunaccustomedmusculardiscomfort.Reversiblehealtheffectsofconcernthatwouldtypicallyresultinmedicaltreatment.Canincludetemperatureeffects,traveleffec

39、ts,stress;andsunburn.Severe,reversiblehealtheffectsofconcernthatwouldtypicallyresultinalosttimeillness.Canincludeacute/short-termeffectsassociatedwithextremetemperatureeffects,ormusculoskeletaleffects,vibrationeffects,nervoussystemeffects,someinfectiousdiseases;andnon-falciparummalaria.Singlefatairr

40、eversibleordisablingCanincludsuspectedmutagens,reproductivprogressivconditionsacute/shoreffects.SAFETYLowlevelshorttermsubjectiveinconvenienceorsymptoms.Typicallyafirstaidandnomedicaltreatment.Reversibleinjuriesrequiringtreatment,butdoesnotleadtorestrictedduties.Typicallyamedicaltreatment.Reversible

41、injuryormoderateirreversibledamageorimpairmenttooneormorepersons.TypicallyalosttimeiniurySinglefatasevereirredamageorimpairmenpersons.ENVIRONMENT(onsite)Near-sourceconfinedandpromptlyreversibleimpact(typicallyashift).Near-sourceconfinedandshort-termreversibleimpact(typicallyaweek).Near-sourceconfine

42、dandmedium-termrecoveryimpact(typicallyamonth).Impacttharequiringlcrecovery,ldamage.ENVIRONMENT(offsite)NotapplicableNear-sourceconfinedandpromptlyreversibleimpact(typicallyashift).Near-sourceconfinedandshort-termreversibleimpact(typicallyaweek).Near-sourcmedium-teimpact(typCOMMUNITY(communitytrust)

43、Tangibleexpressionsoftrust/mistrustamongstahandfulofcommunitymemberswithnoinfluenceonpublicopinionanddecision-makersTangibleexpressionsoftrust/mistrustamongstafewcommunitymemberswithsomeinfluenceonpublicopinionanddecision-makers.Tangibleexpressionsoftrust/mistrustamongstsomecommunitymemberswithmoder

44、ateinfluenceonpublicopiniondecisionmakers.Tangibleetrust/mistrumostcomnwithsignifiondecisiorKeycivil/p(stakeholdeopposeortoengage/andengagCOMMUNITY(stakeholder)Keycivil/politicalstakeholder(s)expresssupport/dissatisfactioninformally.Keycivil/politicalstakeholder(s)expresssupport/dissatisfactioninformally.Keycivil/politicalstakeholder(s)threatentoopposeordisengage/strengthenofferstosuppor