Project-Risk-Assessment-(项目风险评估英文版)

1、XXXXXX ProjeCtHSEC RiSk ASSeSSme nt DOCUme ntPrePared By:CheCked By:APPrOVed By:NameSignatUreDateVerSio n HiStoryVerSiOn HiStOryVerSiOnDeSCriPtiOn of ChangeSDate0ISSUed for SUbmiSSiOn2012-01-12ContentsSection 1 - Introduction 4Section 2 - Purpose 4Section 3 - Scope 4Section 4 - High Level Finding 4S

2、ection 5 - Definitions 5Section 6 - Assumptions 56.1 Basic project details 66.2 Assessment assumptions 6Section 7 - Process 6Section 1 - IntroductionThis Execution Risk Assessment document provides the construction team with a detailed assessment of potential risks/hazards associated with the constr

3、uction work to be performed during the course of the XXXXXX Project (SRWCP).It is a living document and shall be regularlyupdated as new risks/hazards aredetermined and mitigationfactors resolved.The content of the Execution Risk Assessment shall be employed in the development of site-specific risk

4、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

5、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 he

6、alth 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 Pro

7、gramme 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 identificat

8、ion 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 P

9、roCedUreS and in PartiCUlar the ProCedUreHazard ide ntificati On and RiSk Man ageme nt.Section 4 - High Level FindingDUring thiS Primary riSk aSSeSSment of the ProjeCt, there were over 200 initial riSkS identified, and of theSe134 were given fUrther attention and qUalitatively aSSeSSed againSt the R

10、io Tinto aSSeSSment Criteria and matrix beCaUSe of their initial PerCeived imPaCt levelS. Of theSe 99were 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

11、 note on this is that the majority of the remaining (38) are in the rare and UnIikeIy frequency PrObabiIity bands (See appendix 3 PID). FUrther controls and actions will be in VeStigated to man age these as a PriOrity through the FEED phase.The remaining lower risk level risk will be brought into th

12、e 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 requiredSeCti on 5 - Defin iti onsHaZardSOmething With the poten

13、tial to CaUSe harm.RiSkAn Un Certa in eve nt or con diti on that if it OCCUrS will affect achieveme nt of one or more objectives.PrObabiIity / LikeIihoodThe Chance that a PartiCUIar risk will occur. ThiS Can be expressed as either a PrObabiIity for a Sin gle eve nt or COn diti on, Or a freque ncy of

14、 OCCUrre nce for repeat eve nts.ConSeqUenceThe outcome of a risk if it occurs. ThreatS have Un favourable con SeqUe nces, and opportu nities have favourable con SeqUe nces. Con SeqUe nces fall into two types: econo mic and non-econo mic.RiSk Ide ntificati onThe PrOCeSS of identifying risk. Can inclu

15、de - PhySiCaI inSPeCtion, man ageme nt and employee discussi ons, audits, job Safety an alysis, HAZOP StUdies, etcRiSk EVaIUati onThe PrOCeSS of evaluating the risk, potential impact or conSeqUences on economic, social and legal well-being of the organiZation.RiSk Man ageme nt Pla nThe over all pla

16、n COntaining in dividual con trols and acti ons to mitigate the risk. Also Can COntain fall back SyStemS mitigate and con trol the outcome if the risk WaS to occur.Co ntrolEXiSting SyStemS and PrOCedUreS in place to mitigate the risks impacts and likelihood.Actio nDiSti net in dividual acti ons requ

17、ired to be completed to mitigate the risks impacts and likelihood.FallbackAre StePS WhiCh are take n to recover from a risk WhiCh has actually OCCUrredHSECHealth, Safety, Environmental and CommunityOPPOrtU nityA PQSitiVe risk; an Un Certa in ben eficial eve nt Qr COn diti On that if it QCCUrS will r

18、esult in favourable QUtCQmeS SUCh as improved safety, SaVed time Qr cost, improved relati OnS With CQm mun ities and Qther stakeholders, Qr enhanced reputati on.SeCti on 6 - ASSUmPti onsDUe to the early nature of design and conStrUCtion methodology, assumptions have been made to allow initial hazard

19、 ide ntificati on to beg in. TheSe assumpti ons will Cha nge as more detailed in formati on becomes available, and will the n impact on the risk ide ntificati on already con ducted.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 tot

20、al)- 2119 CUIVertS- 4 tunn els -3 drill and blast, 1 TBM- 25 rail Stati ons- 30 man CamPS- 7 explosive magaz ines- 9 fuel dumps- 24 con Crete batch pla nts- 7 medical facilities- 60km of new con StrUCti on road- 7 WOrkShOP areas- SeVeraI quarry areas- APProx. 40,000 perso ns- ASSUme PrOjeCt $10 Bill

21、 on USD cost ing (for impact levels).- Work area divided into 9 SeCti ons6.2ASSeSSme nt assumpti onsAfter award of FEED con tract, the risk ide ntificati on PrOCeSS will be COntinUe through a SerieS of WOrkShOPSWith the VariOUS teams, the ObjeCtiVe of this is to refine the information gathered so fa

22、r, and to PrOVide assurance that the control measures are incorporated into the design and work execution planning.RiSk and HaZard in formatio n and HSEC in Cide nts for the PrOjeCt will be recorded in the SOftWare“ ACtiVe RiSkMan ager - ARM . ThiS will be PUrChaSed at con tract award.Categories, co

23、ding and other reporting elements of the risks identified, will Change over time, to enCOmPaSSRio Tinto ' S 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 minimisationtechniques wil

24、l be based around existingadm ini StratiVe and engin eer ing con trols.RiSkS identified have been compiled from SOUrCeS Within the Company.ACtUaI own ership of in dividual risks and its methods of treatme nt will be determ ined duri ng the on-going review process.RiSk register as attached is CUrre n

25、t as at 3 Jan 2012. The COntent will evolve throughout the bidd ing process.SeCti on 7 - PrOCeSSProjeCt management WiIl adopt a Iife cycle approach. ThiS StrUCtUred approach identifies,analyses,andman ages areas of risk or hazard. In additi on, other SPeCifiC risk assessme nts and reviews may be USe

26、d to an alyse SPeCifiC areas of risk or hazard.The Company has a COmmitmentto achieve the highest POSSibIe level of hazard and risk identification.ConSiStent With this COmmitment, the company will StriVe to exceed the minimum Standard of local legislation,Sta ndards, and codes of practice.AS a SUmma

27、ry to the VariOUS PartS of RiSk An alysis and HaZard Ide ntificati on, PIeaSe See diagram (from ISo31000):U 1 叭一 =一ConYmUnliCatiorII and ConsijttationiMOnifOring Shnd ReVieWAS indicated, the risk analysis and hazard identification PrOCeSS is a reiterative PrOCeSS and will continue for the life of th

28、e project.PrOjeCt man ageme nt will Verify that their HSE&S man ageme nt SyStemS address as a mini mum the hazardsidentified. The risks associated With each of these hazards are to be addressed through the means of a HSE&S work procedure.PartiCUIar attention will be Paid to the tasks that ar

29、e complex in nature or that have a higher than normal level of risk (e.g., VehiCIeS and transport, aviation work, working at height, blasting, tunnelling etc).RiSkS shall be man aged by adheri ng to the AS Low AS ReaS on able POSSibIe ' (ALARPpprj nAPPe ndix A -RiSk LiSt With risk ranking at Cla

30、ssIII ' or Class IV ' (CritiCaI and High risk level)CUrrent as at 3 Jan 2012JRiSk RegiSter- CritiCal and High Level RiSk Only.In order to OPen this file, PIeaSe refer to the attachment 1.Risk RegiSter- CritiCaI and High risk levels only.xls Of this PDF File.APPe ndix B - RegiSter LiSt-Vith r

31、isk ranking atClass III ' CraSS IV ' (CritiCaI and High risk level), With Con trolsCUrrent as at 3 Jan 2012片RiSk LiSt WithReSPOnSeS - CritiCaI andIn order to open this file, PIeaSe refer to the attachment 2.Risk RegiSter-CritiCaI and High risk levels OnIy With Con trols.xls of this PDF File.

32、APPe ndix C -Over-all RiSk MatriX SUmmary(PrObabiIity ImPaCt Diagram-PID)Table: PlD (risk CoU nt Per level)CURRENT (PRE MITIGA TloN) PIDAlmost Certa inLikeIyPOSSibIePrObJUbiIiItyyRareMediUmSeriOUSMajorCataStrOPhiC21011271224TA RGET (POST MITIGA TION) PIDTable: OVeraIl score Cha nge by risk level:RiS

33、k CountTarget (Post MitigatiOn) PID LevelNILLowMOderateHighCritiCaITotal CountMitiCatiNIL14000014LoW040二 004MOderate01430017High019131824050CritiCaI01010549TnPPDUnt144726425134APPe ndix DRiSk cross an alysis (SoUrCe and Category)Table - RiSk cross an alysis (SOUrCe and CategOry)RiSk Cou ntSOUrCeComm

34、 Un ityUn restCou ntryDeIiVery ofOreEnVironmen talLOgiStiCaIQUaIityRailIn frastructureSafety andHeaIth ofPerS onsUn defi nedWeatherWorkforceUn restTotal CountComPlianCe4801120112201160DeSig n/Engin eeri ng2101211181902056MateriaIS andSUbStan CeS00020002000022MethOd of Work12041123000142OPerational12

35、1241101500036Other HaZardS000100030004Place of Work14040012411036PIantand EqUiPme nt00020022200026elLyStakeholders430010000019StrategiC440 J0400000113Un defi ned00030014151024Work Orga ni Sati On05022001600227Working EnVirOnment08040113711255Total Count4121164120551632134APPe ndix EGen eral total ri

36、sk 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%MateriaIS and SUbStanCeS2216.4%StrategiC139.7%Stakeho

37、lders96.7%Other HaZardS43.0%Total DiStinCt RiSk Count134Table: Count by Source:SOUrCeRiSk Count%Safety and HeaIth of PerSOnS5541.0%Rail InfraStrUCtUre2014.9%EnVirOnmentaI1611.9%Undefined1611.9%COUntry129.0%COmmUnity UnreSt43.0%LOgiStiCaI43.0%Weather32.2%Workforce UnreSt21.5%QUaIity10.7%DeIiVery of O

38、re10.7%Total DiStinCt RiSk Count134APPe ndix F -ASSeSSme nt in formati On andCriteriaTable: PrObabiIity ImPaGt Diagram (PID). (To determine risk level)Table: LikeIihood(PrObability/FreqUency) levels and descriptionsLikeIihoodLikeIihood DeSCriPtiOn% PrObabiIityFreqUenCySUbStanCe EXPOSUreAlmost Certai

39、nReCUrring event during the Iifetime of the PrOjeCt>60%OCCUrS more than twice Per yearFreqUent (daily) exposure at >10XOELLikeIyEVent that may occur frequently during the life time of the PrOjeCt40-60%TyPically OCCUrS once or twice Per yearFreqUent (daily) exposure at >OELPOSSibIeEVent that

40、 may occur during the life time of the PrOjeCt20-40%TyPically OCCUrS in1-10 yearsFreqUent (daily) exposure at >50% OEL, infrequent exposure at >OELUnIikeIyEVent that is UnIikeIy to occur during the life time of the PrOjeCt10-20%TyPically OCCUrS in10-100 yearsFreqUent (daily) exposure at >10

41、% OEL, infrequent exposure at >50% OELRareEVent that is Very UnIikeIy to occur during the life-time of the PrOjeCt>10%Greater than 100 year eVentFreqUent (daily) exposure at <10% OEL, infrequent exposure at >10% OELTable: Impact LeVelS and descriptiOnS- EConomic (Cost and Time)Economic (

42、based on 10B PrOjeCt VaIUe)COnSeqUenCeMINORMEDIUMSERIOUSMAJoRCATASTROPHICCaPitaI expenditure<1.6%1.6% - 5%5% - 10%10% - 30%>30%<160 M USD160M -500M USD500M - 1B USD1B - 3B USD>3B USDSChedUIe<2.5%2.5% - 7.5%7.5% - 15%15% - 45%>45%<3.9 WeekS3.9-11.7 WeekS11.7-23.4 WeekS23.4 to 70.

43、2 WeekS>70.2 WeekSOPerating cost<0.6%0.6% - 2.5%2.5% - 7.5%7.5% - 15%>15%PrOdUCtiOn volumes<0.6%0.6% - 2.5%2.5% - 7.5%7.5% - 15%>15%ReVenUe<0.25%0.25% - 1%1% - 3.5%3.5% - 7%>7%Table: Impact LeVelS and descriptiOnS- Non-ECOnomic (SoCial and EnVirOnmentai)COnSeqUenCeMINORMEDIUMSER

44、IOUSMAJoRCATASTROPHICNon-Economic (SOCiai and Environmental)HEALTHReVerSibie health effectS of Iittie concern, requiring firSt aid treatment at moSt. Can include minor irritationS of eyes, throat, noSe and or Skin, or minor UnaCCUStOmed muSCular diSComfort.ReVerSibie health effects of COnCern that w

45、oUld 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 mUSCUlo

46、skeletal effects, VibratiOn effects, nervoUS SyStem effects, some infectioUS diseases; and non-falciparUm malaria.Singie fatality or irreversible health effects or disabling illness. Can inclUde effects of SUSPeCted carcinogens, mUtagens, teratogens and reprodUCtive toxicants, PrOgreSSiVe ChrOniC CO

47、nditiOnS and/or acUte/ShOrt-term high-risk effects.MUitiPie fatalities or SeriOUS disabling illness to mUltipie people.Can inclUde effects of known hUmanCarCinogens, mUtagens, teratogens and reprodUCtive toxicants, and life-threatening respiratory SenSitiZatiOn and falciparUm malaria.SAFETYLow level

48、 Short term SUbjeCtiVe inconvenience or SymptomS.TyPiCaiiy a firSt aid and no medical treatment.ReVerSibie injUries reqUiring treatment, bUt does not lead to restricted dUties. TyPiCaiiy a medical treatment.ReVerSibie injUry or moderate irreversible damage or impairment to one or more persons. TyPiC

49、aiiy a lost time injUrySingie fatality and/or SeVere irreversible damage or SeVere impairment to one or more persons.MUitiPie fatalities or Permanent damage to mUltipie PeOPieENVIRONMENT (on Site)Near-SOUrCe COnfined and PrOmPtiy reverSible impact(typically a Shift).Near-SOUrCe COnfined and ShOrt-te

50、rm 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, IeaVing residUal damage.ImPaCt that is WideSPread UnCOnfined and reqUiring long-term recovery, IeaVing major residUal damage.(typic

51、ally years)ENVIRONMENT (off Site)Not applicableNear-SOUrCe COnfined and PrOmPtiy 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 a

52、nd reqUiring long-term recovery, IeaVing residUal damage.(typically years)COMMUNITY (COmmUnity truSt)Tangibie expressions of trUSt/mistrUSt amongst a handfUl of COmmUnity members With no inflUence on PUbiiC opinion and decision-makersTangibie expressions of trUSt/mistrUSt amongst a few COmmUnity mem

53、bers With some inflUence on PUbiiC opinion and decision-makers.Tangibie expressions of trUSt/mistrUSt amongst some COmmUnity members With moderate inflUence on PUbiiC opinion decisionmakers.Tangibie expressions of trUSt/mistrUSt amongst most COmmUnity members With SignifiCant inflUence on decision-m

54、akers.WideSPread loss/gain of trUSt across the COmmUnity Setting the agenda for decision-makers and key Stakeholders.CoMMUNlTY (Stakeholder )Key civil/political Stakeholder(S) express SUPPOrt/dissatisfaction informally.Key civil/political Stakeholder(s) express SUPPOrt/dissatisfaction informally.Key

55、 civil/politicalStakeholder(s) threaten to oppose ordisengage/Strengthen OfferS to SUPPOrt or engage.Key civil/political Stakeholder(s) actively oppose or actively refuse to engage/actively SUPPOrt and engage.Key civil/politicalStakeholder(s) actively oppose and actively get OtherS to oppose/engage and actively get OtherS to support.COMMUNITY (CUItUraI heritage)ReParabIe damage to Site or item of low CUItUre significance.IrreParabIe damage to Site or item of low CUItU