ProjectRiskAssessment项目风险评估英文版

XXXXXXProject

HSECRiskAssessmentDocument

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2012-01-12

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Contents

Section1- Introduction

4

Section2- Purpose

4

Section3- Scope

4

Section4- HighLevelFinding

4

Section5- Definitions

5

Section6- Assumptions

5

6.1 Basicprojectdetails

6

6.2 Assessmentassumptions

6

Section7- Process

7

Introduction

ThisExecutionRiskAssessmentdocumentprovidestheconstructionteamwithadetailedassessmentofpotentialrisks/hazardsassociatedwiththeconstructionworktobeperformedduringthecourseoftheXXXXXXProject(SRWCP).

Itisalivingdocumentandshallberegularlyupdatedasnewrisks/hazardsaredeterminedandmitigationfactorsresolved.

ThecontentoftheExecutionRiskAssessmentshallbeemployedinthedevelopmentofsite-specificriskcontrolmeasures,whichshallbeformallyutilizedinthefieldtoensurethatallworkisundertakeninthesafestmannerpossible.

Purpose

ThefollowinghasbeendevelopedtooutlinetheidentifiedRisksstrategywithinthevariousphasesoftheSRWCP.

Theoverallpurposeofthedocumentistooutlinerisksorthreatstowhichtheorganisation,projectandpersonnelareexposed.Thisincludes,butisnotlimitedtothedesignandexecutionphasesoftheProject.

Whenassessingtheriskstotheorganizationthefollowingimpactorconsequencesshallbeconsidered:

Theriskstothehealthandsafetyofemployeestowhichtheyareexposedwhilstatwork;

Theriskstoothersnotinhisemploymentandthosepotentiallyaffectedbyhisactsandomissions;

Subsequentriskstotheenvironment.

Subsequentlosstotheorganization.

Scope

ThescopeoftheRiskManagementProgrammeisidentifiedbelowandsimplystatedaddresses:

FEEDContractstage

ExecutionPhase(EPC)

TheprocessofriskidentificationandmitigationisrequiredthroughouteachphaseoftheSRWCP,untilcompletion.

Toassistinthisprocessitisimperativethatalldisciplinesfocusontheidentificationofhazardspriortothecommencementofanyworkactivityandtakeappropriateactiontoremove,modifyorprotectpersonnel,plant,environmentandequipmentfromsuchhazards.

TosupportthehazardidentificationandriskpotentialthisdocumentshallbereadinconjunctiontotheprojectHSEproceduresandinparticulartheprocedure–HazardidentificationandRiskManagement.

HighLevelFinding

Duringthisprimaryriskassessmentoftheproject,therewereover200initialrisksidentified,andofthese134weregivenfurtherattentionandqualitativelyassessedagainsttheRioTintoassessmentcriteriaandmatrixbecauseoftheirinitialperceivedimpactlevels.Ofthese99wereidentifiedascriticalorhighriskspriortoanyriskmanagementactions.Afterreassessingwiththeeffectoftheriskmanagementactions,thisreducedto47(seeappendix1and2).Apointofnoteonthisisthatthemajorityoftheremaining(38)areintherareandunlikelyfrequencyprobabilitybands(seeappendix3PID).FurthercontrolsandactionswillbeinvestigatedtomanagetheseasaprioritythroughtheFEEDphase.

Theremaininglowerrisklevelriskwillbebroughtintotheoverallriskregisterandalsowillbeassessed,andriskmanagementplansputinplace,alongwithanyfurtherrisksidentified.

Asmoreinformationbecomesavailabletheoverallriskregisterwillbeupdatedandreportedasandwhenrequired

Definitions

Hazard

Somethingwiththepotentialtocauseharm.

Risk

Anuncertaineventorconditionthatifitoccurswillaffectachievementofoneormoreobjectives.

Probability/Likelihood

Thechancethataparticularriskwilloccur.Thiscanbeexpressedaseitheraprobabilityforasingleeventorcondition,orafrequencyofoccurrenceforrepeatevents.

Consequence

Theoutcomeofariskifitoccurs.Threatshaveunfavourableconsequences,andopportunitieshavefavourableconsequences.Consequencesfallintotwotypes:economicandnon-economic.

RiskIdentification

Theprocessofidentifyingrisk.Caninclude-physicalinspection,managementandemployeediscussions,audits,jobsafetyanalysis,HAZOPStudies,etc

RiskEvaluation

Theprocessofevaluatingtherisk,potentialimpactorconsequencesoneconomic,socialandlegalwell-beingoftheorganization.

RiskManagementPlan

Theoverallplancontainingindividualcontrolsandactionstomitigatetherisk.Alsocancontainfallbacksystemsmitigateandcontroltheoutcomeiftheriskwastooccur.

Control

Existingsystemsandproceduresinplacetomitigatetherisksimpactsandlikelihood.

Action

Distinctindividualactionsrequiredtobecompletedtomitigatetherisksimpactsandlikelihood.

Fallback

Arestepswhicharetakentorecoverfromariskwhichhasactuallyoccurred

HSEC

Health,Safety,EnvironmentalandCommunity

Opportunity

Apositiverisk;anuncertainbeneficialeventorconditionthatifitoccurswillresultinfavourableoutcomessuchasimprovedsafety,savedtimeorcost,improvedrelationswithcommunitiesandotherstakeholders,orenhancedreputation.

Assumptions

Duetotheearlynatureofdesignandconstructionmethodology,assumptionshavebeenmadetoallowinitialhazardidentificationtobegin.Theseassumptionswillchangeasmoredetailedinformationbecomesavailable,andwillthenimpactontheriskidentificationalreadyconducted.

Basicprojectdetails

670to700kmofnewrailline

670kmofnewrailsubgrade

67railbridges(over70kmtotal)

2119Culverts

4tunnels–3drillandblast,1TBM

25railstations

30mancamps

7explosivemagazines

9fueldumps

24concretebatchplants

7medicalfacilities

60kmofnewconstructionroad

7Workshopareas

Severalquarryareas

Approx.40,000persons

Assumeproject$10BillonUSDcosting(forimpactlevels).

Workareadividedinto9sections

Assessmentassumptions

AfterawardofFEEDcontract,theriskidentificationprocesswillbecontinuethroughaseriesofworkshopswiththevariousteams,theobjectiveofthisistorefinetheinformationgatheredsofar,andtoprovideassurancethatthecontrolmeasuresareincorporatedintothedesignandworkexecutionplanning.

RiskandHazardinformationandHSECincidentsfortheprojectwillberecordedinthesoftware“ActiveRiskManager-ARM”.Thiswillbepurchasedatcontractaward.

Categories,codingandotherreportingelementsoftherisksidentified,willchangeovertime,toencompassRioTinto’sreportingrequirementsastheybecomeknownandfurtherinformationisknownaboutstructureoftheprojectetc,.

Atthisearlystage,themainassessmentofriskminimisationtechniqueswillbebasedaroundexistingadministrativeandengineeringcontrols.

RisksidentifiedhavebeencompiledfromsourceswithintheCompany.

Actualownershipofindividualrisksanditsmethodsoftreatmentwillbedeterminedduringtheon-goingreviewprocess.

Riskregisterasattachediscurrentasat3Jan2023.Thecontentwillevolvethroughoutthebiddingprocess.

Process

Projectmanagementwilladoptalifecycleapproach.Thisstructuredapproachidentifies,analyses,andmanagesareasofriskorhazard.Inaddition,otherspecificriskassessmentsandreviewsmaybeusedtoanalysespecificareasofriskorhazard.

TheCompanyhasacommitmenttoachievethehighestpossiblelevelofhazardandriskidentification.Consistentwiththiscommitment,thecompanywillstrivetoexceedtheminimumstandardoflocallegislation,standards,andcodesofpractice.

AsasummarytothevariouspartsofRiskAnalysisandHazardIdentification,pleaseseediagram(fromISO31000):

Asindicated,theriskanalysisandhazardidentificationprocessisareiterativeprocessandwillcontinueforthelifeoftheproject.

ProjectmanagementwillverifythattheirHSE&Smanagementsystemsaddressasaminimumthehazardsidentified.TherisksassociatedwitheachofthesehazardsaretobeaddressedthroughthemeansofaHSE&Sworkprocedure.

Particularattentionwillbepaidtothetasksthatarecomplexinnatureorthathaveahigherthannormallevelofrisk(e.g.,vehiclesandtransport,aviationwork,workingatheight,blasting,tunnellingetc).

Risksshallbemanagedbyadheringtothe‘AsLowAsReasonablePossible’(ALARP)principle.

RiskListwithriskrankingat‘ClassIII’or‘ClassIV’(CriticalandHighrisklevel)

Currentasat3Jan2023

Inordertoopenthisfile,pleaserefertotheattachment[1.RiskRegister-CriticalandHighrisklevelsonly.xls]ofthisPDFFile.

RegisterList–withriskrankingat‘ClassIII’or‘ClassIV’(CriticalandHighrisklevel),withcontrols

Currentasat3Jan2023

Inordertoopenthisfile,pleaserefertotheattachment[2.RiskRegister-CriticalandHighrisklevelsonlywithcontrols.xls]ofthisPDFFile.

Over-allRiskMatrixSummary(ProbabilityImpactDiagram-PID)

Table:PID(riskcountperlevel)

Table:Overallscorechangebyrisklevel:

Riskcrossanalysis(SourceandCategory)

Table-Riskcrossanalysis(SourceandCategory)

Generaltotalriskmetrics

Table:CountbyCategory:

Category

RiskCount

%

Compliance

60

44.8%

Design/Engineering

56

41.8%

WorkingEnvironment

55

41.0%

MethodofWork

42

31.3%

Operational

36

26.9%

PlaceofWork

36

26.9%

WorkOrganisation

27

20.1%

PlantandEquipment

26

19.4%

Undefined

24

17.9%

MaterialsandSubstances

22

16.4%

Strategic

13

9.7%

Stakeholders

9

6.7%

OtherHazards

4

3.0%

TotalDistinctRiskCount

134

Table:CountbySource:

Source

RiskCount

%

SafetyandHealthofPersons

55

41.0%

RailInfrastructure

20

14.9%

Environmental

16

11.9%

Undefined

16

11.9%

Country

12

9.0%

CommunityUnrest

4

3.0%

Logistical

4

3.0%

Weather

3

2.2%

WorkforceUnrest

2

1.5%

Quality

1

0.7%

DeliveryofOre

1

0.7%

TotalDistinctRiskCount

134

Assessmentinformationandcriteria

Table:ProbabilityImpactDiagram(PID).(Todeterminerisklevel)

Consequence

Likelihood

Minor

Medium

Serious

Major

Catastrophic

AlmostCertain

Moderate

100

High

170

Critical

200

Critical

240

Critical

250

Likely

Moderate

90

High

160

High

150

Critical

220

Critical

230

Possible

Low

50

Moderate

80

High

140

Critical

190

Critical

210

Unlikely

Low

30

Low

40

Moderate

70

High

130

Critical

180

Rare

Low

10

Low

20

Moderate

60

High

40

High

120

Table:Likelihood(Probability/Frequency)levelsanddescriptions

Likelihood

LikelihoodDescription

%Probability

Frequency

SubstanceExposure

AlmostCertain

Recurringeventduringthelifetimeoftheproject

>60%

Occursmorethantwiceperyear

Frequent(daily)exposureat>10xOEL

Likely

Eventthatmayoccurfrequentlyduringthelifetimeoftheproject

40-60%

Typicallyoccursonceortwiceperyear

Frequent(daily)exposureat>OEL

Possible

Eventthatmayoccurduringthelifetimeoftheproject

20-40%

Typicallyoccursin1-10years

Frequent(daily)exposureat>50%OEL,infrequentexposureat>OEL

Unlikely

Eventthatisunlikelytooccurduringthelifetimeoftheproject

10-20%

Typicallyoccursin10-100years

Frequent(daily)exposureat>10%OEL,infrequentexposureat>50%OEL

Rare

Eventthatisveryunlikelytooccurduringthelife-timeoftheproject

>10%

Greaterthan100yearevent

Frequent(daily)exposureat<10%OEL,infrequentexposureat>10%OEL

Table:ImpactLevelsanddescriptions-Economic(CostandTime)

Economic(basedon10BProjectValue)

Consequence

MINOR

MEDIUM

SERIOUS

MAJOR

CATASTROPHIC

Capitalexpenditure

<1.6%

1.6%-5%

5%-10%

10%-30%

>30%

<160MUSD

160M-500MUSD

500M-1BUSD

1B-3BUSD

>3BUSD

Schedule

<2.5%

2.5%-7.5%

7.5%-15%

15%-45%

>45%

<3.9Weeks

3.9-11.7Weeks

11.7-23.4Weeks

23.4to70.2Weeks

>70.2Weeks

Operatingcost

<0.6%

0.6%-2.5%

2.5%-7.5%

7.5%-15%

>15%

Productionvolumes

<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:ImpactLevelsanddescriptions-Non-Economic(SocialandEnvironmental)

Consequence

MINOR

MEDIUM

SERIOUS

MAJOR

CATASTROPHIC

Non-Economic(SocialandEnvironmental)

HEALTH

Reversiblehealtheffectsoflittleconcern,requiringfirstaidtreatmentatmost.

Canincludeminorirritationsofeyes,throat,noseandorskin,orminorunaccustomedmusculardiscomfort.

Reversiblehealtheffectsofconcernthatwouldtypicallyresultinmedicaltreatment.

Canincludetemperatureeffects,traveleffects,stress;andsunburn.

Severe,reversiblehealtheffectsofconcernthatwouldtypicallyresultinalosttimeillness.

Canincludeacute/short-termeffectsassociatedwithextremetemperatureeffects,ormusculoskeletaleffects,vibrationeffects,nervoussystemeffects,someinfectiousdiseases;andnon-falciparummalaria.

Singlefatalityorirreversiblehealtheffectsordisablingillness.

Canincludeeffectsofsuspectedcarcinogens,mutagens,teratogensandreproductivetoxicants,progressivechronicconditionsand/oracute/short-termhigh-riskeffects.

Multiplefatalitiesorseriousdisablingillnesstomultiplepeople.

Canincludeeffectsofknownhumancarcinogens,mutagens,teratogensandreproductivetoxicants,andlife-threateningrespiratorysensitizationandfalciparummalaria.

SAFETY

Lowlevelshorttermsubjectiveinconvenienceorsymptoms.

Typicallyafirstaidandnomedicaltreatment.

Reversibleinjuriesrequiringtreatment,butdoesnotleadtorestrictedduties.Typicallyamedicaltreatment.

Reversibleinjuryormoderateirreversibledamageorimpairmenttooneormorepersons.

Typicallyalosttimeinjury

Singlefatalityand/orsevereirreversibledamageorsevereimpairmenttooneormorepersons.

Multiplefatalitiesorpermanentdamagetomultiplepeople

ENVIRONMENT

(onsite)

Near-sourceconfinedandpromptlyreversibleimpact(typicallyashift).

Near-sourceconfinedandshort-termreversibleimpact(typicallyaweek).

Near-sourceconfinedandmedium-termrecoveryimpact(typicallyamonth).

Impactthatisconfinedandrequiringlong-termrecovery,leavingresidualdamage.

Impactthatiswidespreadunconfinedandrequiringlong-termrecovery,leavingmajorresidualdamage.(typicallyyears)

ENVIRONMENT

(offsite)

Notapplicable

Near-sourceconfinedandpromptlyreversibleimpact(typicallyashift).

Near-sourceconfinedandshort-termreversibleimpact(typicallyaweek).

Near-sourceconfinedandmedium-termrecoveryimpact(typicallyamonth).

Impactthatiswidespreadunconfinedandrequiringlong-termrecovery,leavingresidualdamage.(typicallyyears)

COMMUNITY

(communitytrust)

Tangibleexpressionsoftrust/mistrustamongstahandfulofcommunitymemberswithnoinfluenceonpublicopinionanddecision-makers

Tangibleexpressionsoftrust/mistrustamongstafewcommunitymemberswithsomeinfluenceonpublicopinionanddecision-makers.

Tangibleexpressionsoftrust/mistrustamongstsomecommunitymemberswithmoderateinfluenceonpublicopiniondecision-makers.

Tangibleexpressionsoftrust/mistrustamongstmostcommunitymemberswithsignificantinfluenceondecision-makers.

Widespreadloss/gainoftrustacrossthecommunitysettingtheagendafordecision-makersandkeystakeholders.

COMMUNITY

(stakeholder）

Keycivil/politicalstakeholder(s)expresssupport/dissatisfactioninformally.

Keycivil/politicalstakeholder(s)expresssupport/dissatisfactioninformally.

Keycivil/politicalstakeholder(s)threatentoopposeordisengage/strengthenofferstosupportorengage.

Keycivil/politicalstakeholder(s)activelyopposeoractivelyrefusetoengage/activelysupportandengage.

Keycivil/politicalstakeholder(s)activelyopposeandactivelygetotherstooppose/engageandactivelygetotherstosupport.

COMMUNITY

(culturalheritage)

Reparabledamagetositeoritemoflowculturesignificance.

Irreparabledamagetositeoritemoflowculturalsignificance.

Reparabledamagetositeoritemofculturalsignificance.

Irreparabledamagetositeoritemofculturalsignificance.

Irreparabledamagetositeoritemofinternationalculturalsignificance.

REPUTATION

Communitycomplaintrevolvedviaexistingsiteprocedures.Impactonreputationofseveralworkareaswithinanoperation.Oneoffpublicexposureinlocalmedi