赛科事故报告和调查.doc

SECCO IPMT Site Safety Practice
SECCO IPMT现场安全规程

HSE DOCUMENT
健康、安全和环保文件

Shanghai BAYER Petrochemicals Company Limited
上海赛科石油化工有限公司

Integrated Project Management Team
一体化项目管理组

Caojing, Shanghai, P R China
中国，上海，漕泾

Document Title
文件名
INCIDENT REPORTING AND INVESTIGATION
事故报告和调查
PR-00-SIJ-SE-0003

A01
For approved after updated更新后供审批
MYQ
06/01//04
MD
15/01/04
MJT
18/01/04
JHB/ZZL
12/05/04
A00
Approved 审批

P02
For Review 供审核

MJT
01/07/02

P01
For IPMT review 供IPMT审核

12/04/02
LYB
01/05/02

P00
For Review 供审核
P.G
19/03/02
LYB
12/04/02

Issue Rev
Issue or Revision Description
Origin by
Date
Check by
Date
Approve
by
Date
Approve by
Date
This Document is Owned by
本文件持有人
Michael Tousignant
IPMT Authority
IPMT授权批准

INDEX 目录

1 INTRODUCTION 介绍

2 TYPES OF INCIDENTS TO REPORT 要报告的事故类型

3 INCIDENT REPORTING AND RESPONSIBILITIES
事故报告和责任

4 INJURY CLASSIFICATIONS 伤害等级

5 INVESTIGATION PROCEDURES调查程序

6 RECOMMENDATION FOLLOW-UP PROCEDURES
建议措施跟踪程序

7 ATTACHMENT 附件

Attachment 附件A – Initial Investigation Report 初始调查报告

1 INTRODUCTION 介绍

The incident investigation procedure provides a means to measure and communicate incidents that occur throughout the duration of the project. Timely reporting and analysis of such events is an essential part of any effective safety management system. The information gathered through reporting and investigating incidents is helpful in understanding what happened and how future activities can be focused to prevent the recurrence of the same or a similar incident in the future.
意外事故调查程序在整个项目期间为调查和通报事故提供了一种方法。及时地报告和分析这些事故是任何一个有效安全管理系统的一个重要部分。通过报告和调查事故收集到的材料有助于查明事故的原因以及如何关注今后的作业活动，防止将来再次发生同样的或类似的事故。

The procedures are applicable to any injury or incident that occurs on the project site.
本程序适用于项目现场上发生的任何伤害或事故。

As part of this procedure labor hours worked by all contractor personnel will be collected on a daily basis and tracked along with the incident reports. The BAYER HSE Department will compile monthly reports regarding the rate of incidents in relation to the number of hours worked.
作为此程序的一部分，所有承包商人员的劳动时间将以每个工作日为基础采集，并附在事故报告上。赛科HSE部门将有关事故发生率与工作小时数的关系每月汇编成报告。

The BAYER HSE Team has developed a set of procedures to assist in the communication of incidents to the BAYER organization. This procedure is depicted in section 3 of HSE management plan.
赛科HSE小组已经制定了一套程序来协助将事故通报给赛科。该程序在HSE管理计划的第8章中加以描述。

2 TYPES OF INCIDENTS TO REPORT 要报告的事故类型

Examples of the types of incidents required that must be reported are:
必须要报告的意外事故类型举例如下：

Ø Struck by an Object 物体打击

Ø Machine related injuries 机械伤害

Ø Electrical shock 触电

Ø Falling at height 高处坠落

Ø Vehicle accidents involving injuries 交通事故；

Ø Fires or explosions 火灾或爆炸；

Ø Spills or releases 泄漏或释放；

Ø Toxicosis and asphyxia accidents中毒和窒息事故

Ø Collapse accidents 坍塌事故

Ø Burn injuries 烧伤事故

Ø Loss of assets or property damage in excess of US$5000;
超过5仟美元以上的资产损失或财产损坏

Ø Any near miss that has a potential for causing an incident as described above
有可能造成上述意外事故的任何一个未遂事件

3 INCIDENT REPORTING AND RESPONSIBILITIES事故报告和责任

All personnel are responsible for reporting any injury or accident, no matter how insignificant, immediately to their supervisor.
不论伤害或事故的大小，任何人员都有责任立即向其主管报告任何伤害或意外事故。

Once an incident occurs, contractor should 一旦发生意外事故，承包商要：

Ø Immediate Notification (Verbal) - Contractor must immediately notify BAYER Project and Construction HSE Manager
立即通告（口头）- 承包商必须立即告知赛科项目/施工HSE经理。

Ø Submit written Initial Investigation Report (see attachment A) to BAYER Project and Construction HSE Manager by end of the shift.
在该班作业结束前，必须向赛科项目/施工HSE经理提交书面的初步调查报告(见附件A)。

Ø Decide on further investigation based on contractor’s internal procedure or BAYER advice.
根据承包商的内部程序或赛科的建议决定是否需要进行进一步的调查。

No personnel will be disciplined for reporting an injury or incident.
没有人会因为报告伤害或事故而受到惩罚。

The following procedure will be followed if an incident has occurred that requires the BAYER medical Team:
如果发生的事故需要赛科医疗小组来处理，则应遵守以下程序:

Ø The area shall be secured to prevent further injury and to preserve evidence.
保护事故现场，防止造成进一步伤害以及保存证据。

Ø Aid for the injured shall be provided or obtained.
对伤者提供或使其得到救助。

Ø The Project Manager and Project / Construction HSE Manager will be notified.
要通知项目经理和项目/施工HSE经理。

Ø An investigation to determine the root cause(s) of the incident will be conducted.
要展开确定事故根本原因的调查。

Ø Recommendations will be developed and implemented to prevent recurrence.
要提出意见并落实以防止事故再次发生。

Ø Recommendations will be monitored to ensure they are fully implemented.
监督整改意见的执行以保证它们被完全落实。

The contractor / subcontractor management will report all injury incidents to the BAYER organization.
承包商/分包商管理层要将所有的伤害事故通报给赛科。

In addition, BAYER HSE Team has developed procedures to communicate and assists in responding to these incidents.
另外，赛科HSE小组已经建立对此类事故的通报以及援助响应程序。

4 INJURY CLASSIFICATIONS 伤害等级划分

The following are the types of injury classifications:
以下为伤害等级类别

Occupational Injury or Illness - Any death, injury or illness which arises out of and in the course of employment as a result of an incident or exposure, on or off the employer's premises resulting from work activity or environment of employment.
职业病或职业伤害---由于事故和接触有害物质，在工作期间内外造成的任何死亡、伤害或疾病。这种伤害是由于工作性质和职业环境所造成的，不管是发生在雇主厂内或厂外。

First Aid - Limited to a one-time treatment and any follow-up visits for the purpose of observation of injuries that do not require medical care.
急救—仅限于一次性治疗及其后的随访观察，不需要进一步的医疗护理。

Recordable - An injury that results in any of the following:
记录在案 - 造成下列任何一种的意外伤害:

Ø Requires sutures 需要缝合

Ø Requires a prescription medication 需要处方药

Ø 2nd degree burn or greater 二级或以上级别的烧伤

Ø Loss of consciousness 昏迷

Ø Broken bone 骨折

Ø Day Away From Work (DAFW) 损失工时

Day Away From Work (DAFW) - An injury that results in the employee not being able to return to work on his next workday. These injury incidents will be tracked and totaled until the employee returns to work.
损失工时 (DAFW) - 致使雇员下一个工作日不能工作的伤害事故。跟踪这些伤害事故，并统计损失工时直到此雇员返回工作为止。

In addition, Medical Treatment includes treatment (other than first aid) administered by a physician or by registered professional personnel under the standing orders of a physician. Medical treatment does not include first aid treatment even though provided by a physician or registered professional personnel.
除此之外，由医生或注册的专业人士按照医生的治疗方案进行治疗的医疗处理（不同于急救）。即使是由医生或注册的专业人士提供的急救处理也不包括在医疗处理内。

5 INVESTIGATION PROCEDURES 调查程序

As a general guideline all injury accidents and near misses that could have resulted in a recordable injury must be investigated

作为一个总的原则，所有受伤事故以及可能导致一个可记录伤害事故的未遂事件均必须进行调查。

The process of doing an investigation should be broken down into the following steps:
一起事故的调查过程应分为以下几个步骤:

Ø Take care of the injured workers and secure the scene.
救助受伤的员工并且保护现场

Ø Interview witnesses and Collecting and preserving evidence
和见证人面谈，收集和保存证据

Ø Gather and organize the needed data 收集并组织有用的数据

Ø Analyze the data to determine causal factors and identify root causes of the incident
分析数据确定事故发生的主要原因和根本原因

Ø Develop the effective recommendations 制定有效的建议措施

Ø Write the required incident reports 起草必需的事故报告

It is very important that once an incident has occurred and after the injured have been attended, that the accident site be secured. No one is allowed to remove anything from the scene until the investigation has been completed. All witnesses need to be secured and separated. These two items are vital in order to preserve evidence and eyewitness accounts so that the incident may be properly investigated.
重要的是一旦发生一起意外事故并对伤员进行处理后，应保护事发现场。在调查完成之前，不允许任何人从现场移动任何物件，所有的证人要受到保护并隔开。为了保护证物，并为证人考虑，使事故得以正确调查，上述二项措施是至关重要的。

In all cases, the immediate supervisor will initiate the investigation. The supervisor will then solicit assistance from his management or the Project / Construction HSE Manager. All management and supervision will receive training on how to investigate an accident.
在发生任何事故情况下，直接主管人员将开始进行调查。主管人员可以请求管理层或项目/施工HSE经理协助。所有的管理人员和监督人员都要接受如何调查意外事故的培训。

All reports, recommendations and follow-up actions will be communicated to all potentially affected site personnel.
所有的报告、建议和随后的行动要通报给所有会受到潜在影响的现场人员。

The following are the procedures to investigate particular injury incidents:
以下为调查典型伤害事故的程序：

First Aid - If the injury can be treated without calling the BAYER medical team, then the immediate supervisor can conduct the investigation with the aid of the injured employee. The Project / Construction HSE Manager can be called for assistance. A written report with recommendations and follow-up actions will be submitted to the Project Manager and the Project / Construction HSE Manager. However, if the injury requires the BAYER medical team, then the Project Manager will be notified immediately along with the Project / Construction HSE Manager. The Project / Construction HSE Manager will lead the investigation with the immediate supervisor, injured employee and possibly management from another work area.
急救：如果伤害事件不需要赛科医疗小组处理，那么直接主管人员可在受伤员工的帮助下进行调查。项目/施工HSE经理可以协助处理。整改措施的书面报告将提交给项目经理和项目/施工HSE经理。然而，如果需要伤害事件需要赛科医疗小组来处理，就要立即通知项目经理和项目/施工HSE经理。项目/施工HSE经理将领导调查，直接主管人员、受伤员工和可能来自于其他工作区的管理人员一起参加。

Recordable and DAFW - The investigation will be lead by the Project Manager or an alternate person skilled in conducting a Root Cause Analysis Investigation. The investigation team will be comprised of a senior BAYER representative, Project / Construction HSE Manager, the Immediate Supervisor and the Contractor HSE Manager / Engineer. Interrogation must be strictly avoided and the atmosphere should remain informal during the investigation in order to foster cooperation to attain input from all involved.
可记录事故和损失工时--- 由项目经理或一名能熟练开展根本原因分析调查的替代人员领导调查。调查小组将由下列人员组成：赛科高级代表、项目/施工HSE经理、直接主管人员和承包商HSE经理/工程师。在调查期间必须严格避免审问，尽量应保持不拘束的气氛，鼓励互相协作以便于从所涉及的人员那里获得客观的陈述。

Fatality or multiple injuries requiring hospitalization – BAYER must be notified immediately as well as the appropriate local authorities. Owner must also receive a copy of the report regarding any and all disabling injuries.
死亡事故和需要入院治疗的多处受伤事故- 必须立即报告赛科和有关地方当局。对于任何以及所有致残的伤害事故，都要向业主提交一份报告的副本。

If a fatality should occur, BAYER will specially appoint a fatality investigation team, which will be lead by the HSE Director and supported by a Root Cause Analysis Specialist. Appropriate local authorities may also conduct an investigation at the same time. The report by the BAYER investigation team will be issued within two weeks after the date of the occurrence of the incident.
如果发生死亡事故，赛科要专门委派一个死亡调查小组，该小组由HSE主任领导，并得到根本原因分析专业人员的支持。与此同时有关的地方当局也在展开调查。赛科调查小组准备的调查报告应在事故发生日后的两周内发出。

6 RECOMMENDATION FOLLOW-UP PROCEDURES
建议措施跟踪程序

Once a written report of an incident has been issued, the follow-up of recommendations begins. No report can be submitted without at least one recommendation to prevent occurrence. Each recommendation must have an individual stated that is responsible for its completion.
一旦事故的书面报告公布以后，就要开始跟踪建议的整改措施。提交的事故报告至少要有一个建议措施防止事故再次发生。每一项建议措施都必须落实到具体的责任人。

Recommendations that were completed immediately should also be noted in the report.
已经即刻完成的建议整改措施也要在报告中注明。

The BAYER construction manager and construction HSE manager will review all injury reports and the construction manager will be responsible to ensure that all recommendations are completed. Some recommendations, due to their nature may take longer to complete than others, however, for as long as a recommendation remains open, the person responsible for completing the recommendation must submit a status report of the recommendation. Any such status report must include target completion date for each open recommendation and the reasons for the recommendation remaining incomplete.
赛科施工经理和施工HSE经理将审查所有的事故报告，并负责确保所有建议措施的落实。有些建议措施的落实由于其性质可能会比其它措施花费较长时间。然而，只要一个整改措施没有得到落实，整改人就必须提交一个整改措施落实情况报告。任何此类状况报告必须包括每个未完成项的目标完成日期，以及措施尚未落实的原因。

7 ATTACHMENT 附件

ATTACHMENT 附件A – INITIAL INVESTIGATION REPORT 初始调查报告

PR-00-SIJ-SE-0003 A01 PAGE 8 of 9 3/3/2025

INITIAL INVESTIGATION REPORT
初始调查报告

GENERAL INFORMATION
基本信息
1 COMPANY/DEPARTMENT公司/部门
2 PROJECT项目
3 REPORT DATE报告日期
4 INCIDENT LOCATION 事件发生地点
5 INCIDENT DATE事件发生日期
6 INCIDENT TIME事件发生时间
7 INVESTIGATOR(S)调查人员

8 REPORTED BY (NAME/DEPT/ COMPANY/TEL.) 报告人（姓名/部门/公司/联系电话）
9 CONTRACTOR REF. NO. 承包商:

10 BAYER REF. NO. 赛科部门编号

INCIDENT TYPE & RISK EVALUATION
事件类型和风险评估
11 INJURY/ILLNESSES 伤/病at

12 OTHER INCIDENT其他事件

13 POTENTIAL RISK EVALUTION潜在危险评估
First Aid急救

Fatality死亡

Property Damage财产损坏

Probability of Occurrence
发生机率
Severity Potential 严重程度倾向
Medical Treatment医疗

Occupational Illness职业病

Vehicle车辆

High高
Medium中
Low低
High
高
H，高
H，高
M,中
Medium
中
H，高
M,中
M,中
Low
低
M,中
M,中
L,低

DAFW 脱岗天数

Others其他.

Fire火灾

Injured Name伤员姓名
…………………………………….

Electrical电气

Sex/Age 性别/年龄
……………………………………..….

Environment环境

Occupation职业
……………………………………..

Theft偷窃

Loss Days损失天数
……………………………………...

Near Miss未遂事故

Experience in Current Job当前岗位工作经验…………..验……………………

Other (specify)其他(具体描述）

Nature of Injury伤害性质 ……………………………

Estimated Loss预计损失((失….(((（RMB）………...……
………………………………………………………………………….

Nature of Loss损失性质………质…………质……………..……
…………………………………………………………………………..

………………………………………………….

DESCRIPTION
描述
14 DECSCIBE HOW INCIDENT OCCURRED 描述事件发生经过：

CAUSE ANALYSIS
原因分析
15 IMMEDIATE CAUSE(S) – UNSAFE ACTS AND USAFE CONDITIONS – WHAT ARE THE ACTS/CONDITIONS CONTRIBUTED DIRECTLY TO THE INCIDENT 直接原因 - 不安全行为和不安全条件-对事件发生有直接影响的行为和条件有哪些？

16 INDIRECT CAUSE(S) – PERSONAL FACTORS AND JOB FACTORS – WHAT ARE THE REASONS FOR THE EXISTENCE OF ABOVE UNSAFE ACT & UNSAFE CONDITION 间接原因 - 人为因素和工作因素 -上述不安全行为和不安全条件存在的原因有哪些？

PREVENTION ACTION (S)
预防措施
17 IMMEDIATE ACTION TAKEN AND COMPLETED AT THE TIME OF THE INITIAL REPORT
在初始调查报告签发之时已采取并完成的改进措施有哪些？

18 FOLLOW UP ACTION REQUIRED – (THIS CAN ALSO BE A REQUEST FOR FURTHER INVESTIGATION) 跟踪规定措施实施情况-（也可以是开展进一步调查的要求）
19 TARGET DATE
目标日期
20ACTION PARTY
措施实施方
21 STATUS
事态

STATUS事态: - C- Completed C-完成；O – Outstanding O-尚未完成
BAYER REVIEW
赛科审查
DEPARTMENT部门
NAME姓名
DATE日期
24FURTHER INVESTIGATION REQUIRED (YES/NO)是否要求进行进一步调查（是/否）
22 LINE DEPARTMENT (specify) 主管部门（具体指出）

23 HSE DEPARTMENT 健康、安全和环境部门