Notice on Printing and Distributing the Operational Guidelines for Safety Risk Assessment of Scientific Research Experiments (Trial)

Municipal Science and Technology Bureau, Education Bureau, scientific research institutes, institutions of higher learning and relevant units:

In order to further strengthen the safety management of scientific research laboratories in the province and create a good safety environment for scientific research, the Science and Technology Department of Jiangsu Province and the Education Department of Jiangsu Province organized the compilation of the ".Operational guidelines for safety risk assessment of scientific research experiments(Trial). Is issued to you, please scientific research institutes, colleges and universities, enterprise research and development institutions with reference to the relevant requirements, conscientiously do a good job.Safety risk assessment of scientific research experimentWork.

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Jiangsu Provincial Department of Science and Technology education department of jiangsu

2022yearninemoonsevensun

       (This piece is made public voluntarily)

Operational guidelines for safety risk assessment of scientific research experiments

(Trial)

Further strengthen the laboratory safety management of scientific research institutes, universities, enterprise R&D institutions and other units, implement the policy of "safety first, prevention first, comprehensive management", strengthen risk awareness, enhance risk prevention and control capabilities, and create a good safety environment for scientific research. According to the Law of People’s Republic of China (PRC) on Safety in Production, Regulations on Safety Management of Hazardous Chemicals, Regulations on Safety in Production in Jiangsu Province, Risk Management Risk Assessment Technology (GB 27921-2000

one Purpose of evaluation

Control the safety risks in the process of scientific research experiments from the source, standardize the activities of hazard identification, risk evaluation and risk control of experiments and experimental projects, reduce or eliminate the occurrence of safety accidents in laboratories and experimental projects, ensure the safe and orderly development of scientific research activities, and earnestly safeguard scientific research.unitLaboratory safety and personnel life safety.

2 area of application

This guide is mainly used forLaboratories of scientific research institutes, universities, enterprise R&D institutions and other units.In the process of scientific research and experiment (or experimental project), the possibility of safety accidents and the risk of potential accident consequences are analyzed and evaluated. Experimental safety risk assessment targets include experimental sites, experimental materials and equipment, experimental personnel, experimental operations, preventive measures, emergency plans, etc. Applicable to existing or new experiments and experimental projects involving dangerous chemicals (including controlled chemicals such as toxic chemicals, explosive chemicals and precursor chemicals, etc.), biology, radiation, electromechanical, laser, special equipment and other possible risks; It can also be used to evaluate the safety status of existing experiments and experimental projects.

This guide cannot replace the risk assessment of biological safety and radiation safety. For projects that may have biological safety risks and radiation safety risks, special risk assessment should also be made according to the requirements and provisions of relevant national laws, regulations and norms.

three management responsibility

unitThe main person in charge is the first person in charge of the safety management of scientific research experiments in this unit, and is fully responsible for the risk management and control of experimental safety.In charge of experimentThe leader of safety work is an important responsible person, assisting the first responsible person to be responsible for the safety management of scientific research experiments. The person in charge of the laboratory or the person in charge of the experimental project is directly responsible for the safety management of scientific research experiments, and is responsible for the risk assessment of the risk factors and risk levels of the experiments and experimental projects. unitLaboratory safety function department in conjunction withScientific research management departments organize, inspect, supervise and guide the risk assessment of experimental safety.

Safety risk assessment should be conducted in advance for experiments or experimental projects that may have safety risks. The unit can only approve whether experiments or experimental projects can be carried out after the conclusion of safety risk assessment and the implementation of rectification measures.

four Basic procedure

4.1 Experiment and experimental project, by the project leader to the unit.Laboratory safety function department in conjunction withThe scientific research management department applies for safety risk assessment.

4.2 After receiving the application for safety risk assessment,Laboratory safety function department in conjunction withThe scientific research management department organized a risk assessment team composed of experimenters, managers and safety experts in related fields.,Formulate an evaluation plan.

4.3 The assessment team conducts safety risk analysis, draws assessment conclusions, puts forward suggestions and measures, forms a safety risk assessment report (table), and returns the assessment results to the person in charge of the experiment or experimental project.

4.4The unit shall record the assessment report of the safety risk assessment project that has been approved; For experiments or experimental projects with significant risks, they shall be submitted to the competent business department for review according to the requirements of the competent business department.

4.5 Experiments and experimental projects can only be carried out after examination and approval.

five Evaluation content

The safety risk assessment of experiments and experimental projects mainly includes:

(oneThe types, quantities, characteristics and possible risks of the hazards involved in the experiment.

(2) the satisfaction and conformity of the conditions, facilities, equipment, technology and management personnel of the experimental site.

(three) The scientificity, rationality and operability of experimental scheme design, experimental operation, protective equipment allocation and safety guarantee measures.

(four) safety education, training and access scheme, laboratory safety management system and measures.

(five) emergency plan, the implementation of the safety responsibility system and other matters of preparation.

(six) storage and disposal of experimental wastes.

six Evaluation process

Basic steps: preliminary preparation, identification and analysis of dangerous and harmful factors, selection of evaluation methods, qualitative or quantitative evaluation, putting forward safety countermeasures and suggestions, making evaluation conclusions, and compiling safety risk assessment reports (tables).

6.1 Preparatory stage

The preliminary preparation work includes: defining the evaluation target and scope, setting up an evaluation team, compiling various questionnaires, preparing technical documents (collecting relevant domestic laws, regulations, rules, standards and specifications, etc.), conducting on-the-spot investigation on the basic data of the evaluated object, and conducting on-the-spot investigation and accurately recording the investigation results.

6.1.1 Establish the objectives, scope and principles of risk assessment.

6.1.2 Set up an evaluation team.

6.1.3 Collect relevant information and conduct preliminary investigation and analysis, including:

①Relevant domestic laws, regulations, rules, standards, norms, etc.;②Basic information of the experimental project: the main items involved in the experimental projectexperimentMaterials (including chemicals/Types, quantities, storage methods, physical and chemical properties and hazardous characteristics of reagents, special gases, etc.); Main experimental instruments/Type, quantity and safety protection of equipment (especially special equipment); Experimental steps and operation methods; Measures, conditions and facilities for explosion prevention, fire prevention and poisoning prevention in the experimental site; Qualification and training of laboratory personnel; Safety management system; Emergency plans and drills, etc.;③On-site investigation;④Seek expert advice;⑤Other supplementary information, such as similar safety accident cases.

6.1.4 Develop a risk assessment plan.

The assessment team formulates a risk assessment plan.The contents of the evaluation plan generally include:①Purpose of evaluation;②Evaluation basis;③Evaluation principle;④Scope of assessment;⑤ Division of tasks; ⑥appraisal procedure;⑦Work plan for each stage of risk assessment;⑧Time schedule of implementation.

The risk assessment plan should be issued and implemented by the main person in charge of the unit (or its authorized person in charge)..

If there is too little relevant information, so that the risk assessmentworkWhen it is difficult to carry out, some risk reduction measures can be introduced in a targeted manner to reduce the risk of some key links and simplify the evaluation scheme.

6.2 Evaluation stage  

Carry out analysis and evaluation according to the risk assessment plan. Through hazard identification and analysis, field investigation, and qualitative and quantitative evaluation of hazard factors.

6.2.1 Identification and analysis of dangerous and harmful factors. Identify hazards and various dangerous and harmful factors, identify risks, and analyze and judge the degree of safety risks. Focus on the analysis and listing of dangerous chemicals, experimental procedures and operating methods, the use of special equipment, emergency treatment and other aspects of the dangerous and harmful factors.

6.2.2 Select evaluation method. According to the characteristics of experiments and experimental projects, scientific, reasonable and applicable qualitative and quantitative evaluation methods are selected for overall evaluation and analysis. Capable of quantitative evaluationsuitableUse quantitative evaluation methods, and semi-quantitative or qualitative evaluation methods can be used if quantitative evaluation is not possible. For different experimental stages or links, different evaluation methods can be selected according to the needs of evaluation and the characteristics of experimental links. When necessary, several analysis and evaluation methods can be selected to evaluate the same evaluation object, which are complementary, comprehensive and mutually verified to improve the accuracy of the analysis and evaluation results.

6.2.3 Qualitative or quantitative evaluation. Using the selected evaluation method, combined with field investigation, and referring to the possibility and severity of accidents or acute occupational hazards caused by dangerous and harmful factors in similar experimental activities, qualitative and quantitative evaluation and analysis can be carried out.

6.2.4 Safety countermeasures and suggestions. According to the identification, analysis results and qualitative and quantitative analysis results of dangerous and harmful factors, this paper puts forward targeted safety countermeasures and suggestions from the aspects of experimental site conditions, experimental materials and equipment, experimental methods, personnel education and training, emergency response capability and safety management.

6.2.5 Evaluation conclusion.Summarize the evaluation results of experimental materials, instruments and equipment, experimental process (technology), safety management and protective measures; List the experimental itemsThe existing risks, as well as the hazards and hazardous factors that should be mainly prevented and controlled, point out the existing problems, determine the hazard categories, predict the possibility and severity of major accidents, and put forward the key safety countermeasures to be taken.andFeasibility of reducing security risks.

6.3 Prepare safety risk assessment report

refer toAQ 8001See appendix for the format of safety risk assessment report.D.

seven reappraise

experimentScheme orExperiment (technology)If there is any major adjustment in the process.Whole or wholeappearoriginallyMajor safety risks not found during the assessment, the project leadershouldRe-evaluate the safety risk according to the process, and take effective control and preventive measures in time.

(oneRelevant policies, regulations and standards have changed;

(2) After a safety accident or incident;

(threeWhen new equipment, materials, methods, personnel, environment, etc. are changed or the structure and function of the laboratory are changed, including before the tasks performed by the laboratory partition where substances are stored or used are changed; 

(four) change the workflow.

eight Risk grade determination

From high to low, the risk level of experimental safety is divided into major risk (level 1), major risk (level 2), general risk (level 3) andLow risk (level 4) four levels.

Level 1 (red): significant risk. It is extremely dangerous and cannot be carried out.In the experiment, control measures should be supplemented immediately in order to reduce the risk level, and regular inspection, measurement and evaluation should be carried out;

Level 2 (orange): greater risk. High risk, immediate rectification, supplementary control measures, regular inspection, measurement and evaluation;

Level 3 (yellow): general risk. Significant danger, need to be rectified, establish goals, establish operating procedures, and strengthen training and communication;

Level 4 (blue): low risk.lowerDanger, need to pay attention to, improve the control measures in time.

The conclusions obtained by different risk analysis and evaluation methods may be different, so the one with the highest risk level should be selected as the risk level of the project.

Experiments and experimental projects adopt a safety risk classification and classification management mechanism. Effective safety prevention and control measures and emergency plans should be formulated and strictly implemented for experiments and experimental projects with risk level above level 3, and experiments can be carried out only after being examined and confirmed by the unit, and relevant materials should be filed.

According to the relevant national and industrial regulations, norms and standards, the classification of experiments and experimental projects and the division of risk levels are adjusted in a timely manner (see AnnexC）。

Appendix A 

Risk assessment flow chart

 

 

picture1  Risk assessment flow chart

appendixB

 Risk assessment method

 According to the characteristics of experiments and experimental projects, comprehensive analysis, qualitative and quantitative evaluation are generally carried out by using hazard analysis method of working conditions, pre-hazard analysis method, analogy method and checklist analysis method.

(1)Hazard analysis method (LEC)

Hazard analysis method for working conditions (Graham–Ginny method is a semi-quantitative risk assessment method for workers working in occupational hazardous environment. The evaluation principle is: the quantitative risk value of operating conditions (D) depends on three factors, (one) the possibility of an accident (L）； (2) Frequency of exposure of workers to dangerous working environment (E）； (three) The severity of possible consequences in the event of an accident (C）。 Represented by a simplified formula is:D=L×E×C

amongDThe greater the value, the greater the danger of the operation. Danger of working conditionsDSee table for the classification of values.2.

table1  Hazard classification table

L、E、CSee table for the range of the three factors.2, tablethree, tablefour.

table2   L-Accident possibility score

table3   E-Frequency score of exposure to dangerous environment

table4   C-Consequence score caused by accident

 

(2) Pre-hazard analysisway

Pre-hazard analysis (PHA) is a system safety analysis method that makes a macro and general analysis of various risk factors (categories and distributions), occurrence conditions and possible consequences of accidents in the system before an activity (such as an experiment). Its purpose is to find the potential risk factors of the system at an early stage, determine the risk level of the system, and put forward corresponding preventive measures to prevent these risk factors from developing into accidents and avoid thoughtlessness.The losses caused are qualitative evaluation. That is to say, discuss, analyze and determine the dangerous and harmful factors existing in the system, their triggering conditions and phenomena, the causes and events that caused the accident, the accident types, the accident consequences and the danger level, and put forward the safety precautions that should be taken.

(one) Pre-hazard analysis step

① Fully investigate the purpose, process, operating conditions and surrounding environment of the experiment;

② Collect past experience and accidents in similar experiments, judge whether similar situations will occur in the objects to be analyzed, and find out the dangers that can cause material losses and personal injuries;

③ Determine the hazard source according to experience, technical diagnosis and other methods;

④ Identify the conditions of dangerous transformation and study the trigger conditions of dangerous factors transforming into accidents;

⑤ Carry out risk classification, determine the degree of risk, and find out the dangerous sources that should be controlled emphatically;

⑥ Formulate risk prevention measures.

(2) risk classification

PHAThe result of the analysis is expressed by the risk grade. Danger can be divided into four grades, as shown in table.five.

tablefive  Hazard classification table

(three) evaluation results

Pre-risk assessment analysis adopts the following tabular form (Tablesix) Submit the results.

table6  Hazard pre-analysis table (sample table)

 

(four) analysis summary

Through the pre-risk assessment and analysis, the main risks and risk grades of experiments or experimental projects are obtained.

For all kinds of possible dangers and harmful factors, preliminary preventive countermeasures and measures are put forward one by one in the risk pre-analysis table.

(3) analogy method

Through the safety investigation of the same or similar projects as the experimental projects to be evaluated, and the analysis of relevant experimental documents and technical data, it is proposed to evaluate the types and degree of hazards and harmful factors of the experimental projects by analogy, assess the possible hazards and harmful factors, and predict the control effect of the proposed safety protection measures.

(4) Checklist analysis method

According to the national laws, regulations, technical specifications and standards related to occupational safety and health, as well as operating procedures and production safety accident cases, through detailed analysis and research on the experimental items to be evaluated, the inspection units, parts, items, contents and requirements are listed, and a table is compiled to check the compliance one by one to determine the safety problems, defects and potential hazards of the experimental items to be evaluated.

appendixC

Classification and risk level of experiments and experimental projects

 

1. According to the characteristics of hazardous sources involved in experiments and experimental projects, they can be divided into six categories: chemistry, biology, radiation, electromechanical, special equipment and others from the perspective of safety.

(a) experimental sites (or experimental projects) involving chemical reactions and chemicals belong to the chemical category. The main hazards areExplosive,Flammable and explosive,be poisonedSexual, corrosive and other dangers.chemistryProduct.

(two) experimental sites (or experimental projects) involving microorganisms and experimental animals belong to the biological category. The main hazards are microorganisms (infectious disease pathogens, etc.), animals and other biological factors that endanger the safety of individuals or groups.

(3) Experimental sites (or experimental projects) involving radioactive sources and radiation devices are classified as radiation. The main hazard source is radioactive material.

(four) experimental sites (or experimental items) involving mechanical, electrical, high temperature and high pressure equipment and instruments.Item) belongs to electromechanical category. The main hazards are machining high-speed equipment and high-speed equipment.electricityPressure and high current equipment, excitationOptical equipment, heating equipment, etc.

(five) experimental sites (or experimental projects) involving lifting machinery, boilers and pressure vessels (including gas cylinders) belong to special equipment. The main hazard source is the equipment itself, and the lifting machinery may cause heavy objects falling, crane instability, tilting, squeezing, falling from a height and other hazards; Boiler may cause material failure, explosion or leakage due to overtemperature and overpressure, resulting in mechanical damage, scald and other hazards; The pressure vessel may cause explosion or gas leakage and other hazards due to thermal overpressure, mechanical damage and unqualified pressure reducing valve.

(six) experimental sites (or experimental projects) that do not involve the above-mentioned hazard sources belong to other categories. The main hazard source is the safety risk of electricity and water caused by facilities and equipment such as electricity and water.

Second, according to the hazards used in the experiment.(experimental materials, instruments and equipment, etc.)The degree of danger,And whether a large number of dangerous experimental materials are stored in the experimental site,The experimental safety risk levels of experiments and experimental projects are divided into four levels from high to low: major risk (level I, red), major risk (level II, orange), general risk (level III, yellow) and low risk (level IV, blue).

(a) involving the use ofExplosives, spontaneous combustion,Inflammable and explosivewait forDangerous chemicals with physical hazards, andHighly toxic and easy to make drugs.Easy to explode, narcotics and psychotropic substancesControl chemicals or drugs, etc.Highly pathogenic microorganisms, radioactive sources, etc.; Or a large number of dangerous chemicals or controlled drugs are stored on site than the experimental requirements.It is a first-class safety risk experiment and experimental project.

(two) involving the use of other dangerous chemicals, low pathogenic microorganisms, experimental animals, pressure vessels, laser equipment, strong magnetic equipment, etc., for the second-level safety risk experiments and experimental projects.

(3) It involves the use of hoisting machinery, high-speed equipment, rotary machinery, cold and hot equipment (refrigerators, ovens, muffle furnaces, etc.), high-power charging and discharging devices, high-voltage equipment, etc., and is a three-level safety risk experiment and experimental project.

(4) Experiments or experimental projects not listed in the above three categories are four-level safety risk experiments and experimental projects.

Three, the above division of experimental safety risk level, after the experimental materials, equipment, experimental technology, operation methods, personnel qualifications, environmental conditions,Protective measures, etcAfter the comprehensive risk assessment of factors, if the risk degree increases, it should be adjusted according to the comprehensive assessment results.Experimental safety risk level of experiments and experimental projects.
appendixD Compilation format of safety risk assessment report

 

××××××Experimental safety risk assessment report

I. Overview of experimental projects

one. Brief introduction of experimental project

2. Purpose of evaluation

three. Evaluation basis

four. Scope of risk assessment

five. Risk assessment method

Second, the experimental process (process) introduction

Third, hazard identification.Identification and analysis

Fourth, qualitative and quantitative evaluation

one. Qualitative and quantitative evaluation

2. assessment result

V. Safety countermeasures and suggestions

one. Put forward targeted safety countermeasures and measures.

2. Supplementary suggestion

VI. Conclusion of Safety Risk Assessment

 

××××××Experimental safety risk assessment form

Instructions for filling in the form:

1.Please fill in the corresponding column when the laboratory does not involve dangerous sources.“without"; When the form is not enough, please add it yourself.

2.This report is made in triplicate, one for the project leader, the secondary unit and the competent business department, and the copy is valid.

riverIssued by the Office of Science and Technology Department of Jiangsu Province on September 13, 2022

Attachment:Notice on printing and distributing guidelines for risk assessment of scientific experiments