On June 10, 2021, the 29th meeting of the Standing Committee of the 13th National People's Congress passed the Decision of the Standing Committee of the National People's Congress on Amending the Work Safety Law of the People's Republic of China, and the dual prevention mechanism was officially included in the revised Work Safety Law of the People's Republic of China.
Among them, Article 4 requires: "Production and operation units must comply with this Law and other laws and regulations related to safety production... to establish a dual prevention mechanism of safety risk grading control and hidden danger investigation and treatment..."
Article 21 requires: "The main person in charge of the production and operation unit shall have the following responsibilities for the safety production work of the unit: (5) organize the establishment and implementation of a dual prevention mechanism of safety risk grading control and hidden danger investigation and treatment, supervise and inspect the safety production work of the unit, and timely eliminate the hidden dangers of production safety accidents;"
Article 41 requires: "Production and operation units shall establish a safety risk classification and control system, and take corresponding control measures according to the safety risk classification. Production and operation units shall establish, improve and implement a system for investigating and treating hidden dangers of production safety accidents, adopt technical and management measures, and timely discover and eliminate hidden dangers of accidents."
This indicates that the dual prevention mechanism of risk grading control and hidden danger investigation and treatment will be carried out in the long term, and must be carried out seriously, normatively, and scientifically. This will be an important means for enterprises to control risks, eliminate hidden dangers, and ensure safety production.
1、 What is a dual prevention mechanism?
In the documents of the Safety Commission Office [2016] No. 3 and the Safety Commission Office [2016] No. 11, it has been clearly pointed out that the dual prevention mechanism is the graded control of safety risks and the investigation and treatment of hidden dangers.
Security risk classification and control refers to the risk management in our daily work, including hazard identification, risk assessment and classification, and risk control. This involves identifying which hazardous substances and energy are present at risk points, identifying potential accidents under certain circumstances, comprehensively investigating whether existing control measures at risk points are in place, using risk assessment criteria to evaluate and classify the risks at risk points, and then having personnel at different levels control the risks to ensure that safety control measures at risk points are in place.
Hazard investigation and control refers to the comprehensive control of risk points through hazard investigation and other methods, timely discovering potential hazards in risk point control measures, and timely treating hazards.
So what is "dual prevention"? Controlling risks well and preventing hidden dangers from appearing in risk control measures is the first priority of prevention; Timely detection and treatment of hidden dangers arising from risk control measures to prevent accidents is the second level of "prevention".
What is the relationship between safety risk grading control and hazard investigation and governance? Are they two parallel tasks? Are there two tasks in sequence? Actually, none of them are. The relationship between safety risk grading control and hazard investigation and governance is interrelated: hazard investigation and governance are included in risk grading control.
Combining the definition of hidden dangers can help us better understand the relationship between risk classification control and hidden danger investigation and governance. The definition of "hidden danger" in the "Guidelines for the Investigation and Treatment of Safety Risks and Hazards in Hazardous Chemical Enterprises" (Emergency [2019] No. 78) is: "When there are defects or deficiencies in the control measures taken for safety risks, it forms an accident hidden danger.". Timely identification and elimination of hidden dangers in risk control measures, ensuring that risk control measures are in good condition, is the control of risks.
The dual prevention mechanism includes three processes, which are also the three specific objectives of the dual prevention mechanism.
The first process, which is the first goal - "identification", identifies the hazardous substances and energy at the risk points (which are the root causes of accidents), and identifies the situations in which these root causes may lead to what accidents.
The second process, also known as the second objective - "evaluation grading", uses risk assessment criteria to evaluate the likelihood and severity of various accidents caused by risk points, and evaluates and grades the risks.
The third process, also known as the third purpose, is to "control", which means to control risks and keep them within an acceptable range.
In the process of "evaluation and grading", it includes the process of identifying hidden dangers, that is, conducting a comprehensive investigation of the existing control measures for risk points: whether the measures are complete and in good condition. If there are deficiencies or deficiencies in the existing control measures for risks, that is, hidden dangers exist, which may constitute significant or significant risks and affect the results of risk grading. In the process of "risk control", it includes the governance of hidden dangers discovered in the second process and the comprehensive and continuous investigation of existing control measures for risk points, timely detection and treatment of hidden dangers, ensuring that risks are always within an acceptable range.
2、 The relationship between dual prevention mechanism and standardization of safety production
What is the relationship between safety production standardization and dual prevention mechanisms? Do the two need to be integrated? Can the dual prevention mechanism replace safety production standardization?
Let's first review what a dual prevention mechanism is. In the Notice of the Office of the State Council Work Safety Committee on Issuing the Guidelines for the Prevention and Control of Major Accidents with Both Symptoms and Symptoms, and the Opinions of the Office of the State Council Work Safety Committee on Implementing the Guidelines for the Prevention and Control of Major Accidents and Building a Dual Prevention Mechanism, it has been clearly pointed out that the dual prevention mechanism includes safety risk grading control and hidden danger investigation and treatment. Security risk classification and control refers to the risk management in our daily work, including hazard identification, risk assessment and grading, and risk control. Hazard investigation and control refers to the comprehensive control of risk points through hazard investigation and other methods, timely discovering potential hazards in risk point control measures, and timely treating hazards.
Let's take a look at the relevant requirements for risk management and hazard investigation and treatment in the documents related to safety production standardization.
The fifth core requirement "5.5 Safety Risk Control and Hidden Danger Investigation and Governance" in the "Basic Norms for Enterprise Safety Production Standardization" (GB/T33000-2016) is precisely the content of the dual prevention mechanism.
The General Specification for Safety Standardization of Hazardous Chemical Industry Units (AQ3013-2008) includes risk management requirements such as "5.2.1 Scope and Evaluation Methods", "5.2.2 Risk Assessment", and "5.2.3 Risk Control" in section 5.2 of Risk Management; "5.2.4 Hazard Management", "5.10.1 Safety Inspection", "5.10.2 Form and Content of Safety Inspection", and "5.10.3 Rectification" are the requirements for hazard investigation and management.
From the above two regulations, it is evident that risk management (i.e. safety risk classification and control) and hazard investigation and control are two important or core elements of safety production standardization. In other words, the dual prevention mechanism is an important or core element of safety production standardization. The document on dual prevention mechanism in a certain province and city mentions that "dual prevention mechanism is an important component of enterprise safety production standardization", and provides a relatively objective relationship positioning between dual prevention mechanism and safety production standardization.
In summary, the dual prevention mechanism and safety production standardization are not parallel, and the two are not completely unrelated tasks. The dual prevention mechanism is not a completely new task. The dual prevention mechanism is an important component and core element of safety production standardization; The dual prevention mechanism includes standardization of safety production, let alone replacing standardization of safety production. So there is no such false proposition as "the integration of dual prevention mechanisms and safety production standardization". The two are inherently integrated and do not require any integration at all. Standardization of safety production is the most fundamental and comprehensive tool for enterprises to do a good job in safety production. The dual prevention mechanism emphasizes the need to do a good job in the two core elements of safety production standardization. Risk classification control and hidden danger investigation and governance have further refined, strictly and scientifically required these two elements.
So, we need to scientifically promote the dual prevention mechanism, without the need for enterprises to abandon safety production standardization and carry out repetitive work of the dual prevention mechanism. We need to further refine and standardize the risk management and hidden danger investigation and governance work in the original safety production standardization according to requirements. We must not artificially complicate, mechanize, or dogmatize work, which leads to the enterprise doing a lot of work without achieving the expected results and making the work superficial.
3、 The Relationship between Risk Grading Control and Hidden Danger Investigation and Governance
What is the relationship between risk grading control and hazard investigation and governance? Are the two parallel? Is it progressive towards each other? Actually, neither is true. The two are mutually inclusive: hazard investigation and control are included in risk grading and control.
The main tasks of risk classification and control include hazard identification, risk assessment, and risk control, with the core work being hazard identification. What are the hazards identified? Firstly, identify the hazardous substances and energy present at the risk points; The second is to identify the existing control measures for hazardous substances and energy, and whether the control measures are intact, that is, whether there are hidden dangers. Managing existing hazards, ensuring effective control measures, and controlling risks within an acceptable range is called risk management.
4、 The relationship between risks and hidden dangers
Risks and hidden dangers are not relatively independent relationships, but interdependent dynamic relationships. The definition of hazards in the Guidelines for the Investigation and Treatment of Safety Risks and Hazards in Hazardous Chemical Enterprises (Emergency [2019] No. 78) is: "When there are defects or deficiencies in the control measures taken for safety risks, it forms an accident hazard." That is, if the control measures for risk points are missing or defective, it forms a hazard, and the risk level will correspondingly increase (the likelihood and severity of accidents will increase). If hidden dangers cannot be addressed in a timely manner, it is likely to lead to accidents; If hidden dangers are managed, the risk level will decrease accordingly.
To accurately understand the phrase "putting safety risk control before hidden dangers, and putting hidden danger investigation and treatment before accidents". Some companies believe that if there are hidden dangers due to poor control, the risks will turn into hidden dangers and disappear. This is not right. Risk and hidden dangers are not in a progressive or substitutive relationship. If risk control is not good, hidden dangers may appear. However, at this time, the risk not only does not disappear, but also becomes even greater. If hidden dangers cannot be timely addressed, accidents are likely to occur. From the presence of hazardous substances and energy to the moment before an accident occurs, regardless of whether there are hidden dangers in the control measures, risks exist.
5、 Manage risks by dividing them into inherent risks and existing risks
Given the differences in understanding of risks across the country, it is recommended to categorize risks into inherent risks and existing risks, and adopt different methods of management.
There is currently no accurate terminology for "inherent risk". In some literature, inherent risk is also known as original risk, initial risk, bare risk, etc. It can be understood as potential risk due to the inherent danger of the risk point. For example, certain units constitute a major hazard source for hazardous chemicals, involving key regulated hazardous chemical processes, highly toxic chemicals, flammable and explosive media, etc. The focus of inherent risk is on the "root cause" of the unit: which hazardous substances and energy are present, without considering various control measures for unit risk.
There are generally two methods for evaluating inherent risks: one is direct judgment, which lists the judgment criteria for each level of risk (significant, significant, moderate, low), and determines the inherent risk level of each unit of the enterprise according to the standards. At present, most provinces and cities have adopted this method, and some provinces and cities only provide direct criteria for determining significant and significant risks. The second is to evaluate in the JHA/SCL table, that is, in the same evaluation table, there will be two evaluation processes. The first evaluation focuses on inherent risks (i.e. potential risks without considering current control measures for risk points), and the second evaluation focuses on existing risks. Some provinces and cities have used both methods simultaneously.
There is also no very clear definition or terminology explanation for "existing risk". Some materials refer to it as residual risk, residual risk, or dynamic risk, which can be understood as the potential risk of risk points considering existing control measures.
The difference between inherent risk and existing risk:
One is "front" and "back". "Front": Inherent risk refers to the potential risk at a risk point without any existing control measures taken; "Post": Existing risk refers to the potential risk in the event that existing control measures are taken at the risk point.
The second is "change" and "unchanging". "Constant": The inherent danger of the risk point (i.e. the nature and quantity of the substance involved) is generally difficult to change, so the inherent risk generally does not change; "Change": The current risk situation is generally dynamic, that is, if there are hidden dangers in the risk point control measures, the risk level will increase. If the hidden dangers are managed, the risk level will decrease accordingly.
The third is that the control measures are different. For inherent risks, daily operational control measures are adopted to ensure that all control measures at risk points are in an effective state. Daily operation control mainly includes: inspection and detection of equipment and facilities, hidden danger investigation, training, emergency management, personnel protection, etc. For existing risks, they are classified into different situations. If there are hidden dangers in the control measures of risk points, risk reduction measures should be taken to address the hidden dangers; If there are no hidden dangers in the control measures of the risk points (within the existing cognitive range), the same as inherent risks, daily operational control measures will be adopted for control.
The fourth is that the risk points are different. Inherent risks generally target units (tank areas, devices, etc.), while existing risks generally target operational activities, equipment and facilities, etc.
Changes in existing risks
Why distinguish between inherent risks and existing risks? As mentioned earlier, there is currently no relatively unified risk management standard nationwide. Some experts believe that high-risk enterprises inevitably have significant and significant risks; However, some experts believe that enterprises may face significant and significant risks at a certain stage, but risk mitigation measures must be taken to reduce the risk level to an acceptable range, meaning that the enterprise will not ultimately face significant and significant risks. These two views may seem completely opposite, but in reality, they are considered from different perspectives. The former considers the inherent danger of the risk point (the root cause of the hazard source), that is, inherent risk; The latter considers the integrity of risk point control measures (the state of the hazard source), that is, the existing risk. The two are not contradictory. So, dividing risks into inherent risks and existing risks for management can effectively explain the perspectives of different experts.
6、 Unacceptable risks only apply to existing risks
The occupational health and safety management system and the Guidelines for the Investigation and Treatment of Safety Risks and Hidden Dangers in Hazardous Chemical Enterprises (Emergency [2019] No. 78) both mention "unacceptable risks" and require measures to be taken to reduce risks to an acceptable range. So, many enterprises have encountered a situation where they classify some units involving major hazardous sources of hazardous chemicals and key regulated hazardous chemical processes as significant or significant risks (inherent risks), and then list existing control measures as risk mitigation measures, believing that this reduces the risk level to an acceptable range. This is actually thinking about mixing inherent risks with existing risks, and the idea of risk reduction is wrong.
Unacceptable risk refers to significant and significant existing risks, rather than inherent risks. Some people may have doubts: existing risk refers to the potential risk of risk points after various control measures have been taken. Since various control measures have been taken, how can there still be significant and significant risks? That's because our understanding may not be comprehensive, and according to relevant document requirements, the existing control measures may still be lacking; Or we may not be proficient in certain standards and regulations, and the risk points may lack certain control measures, but we are not clear about them; Or individual existing control measures may be in a state of failure. When these situations exist, the risk points may constitute significant and significant risks, and there are already real hidden dangers.
7、 The four color risk distribution map is only applicable to inherent risks
At present, most of the risk distribution maps displayed by enterprises are aimed at inherent risks, rather than existing risks (because existing risks, especially major and significant risks, have timeliness and generally only exist for a period of time). That is, on the layout plan of the enterprise's factory area, the inherent risks of each unit are marked with four colors: "red, orange, yellow, and blue". If there are significant changes in the enterprise, it may lead to changes in the inherent danger of certain units, and the risk distribution four color chart will also change accordingly.
Some companies have also drawn both inherent risk and existing risk distribution maps. The inherent risk distribution map generally has four colors: red, orange, yellow, and blue, while the existing risk distribution map only has two colors: yellow and blue. The two maps are side by side and are clear at a glance.
Some companies also plan to draw a three-dimensional four color map of risk distribution, which marks different unit areas on each floor of the factory or production equipment with corresponding risk level colors. This idea is indeed very good, making the risk distribution clearer, but in practical work, its operability is not very strong.
8、 The organic combination of risk grading control and hidden danger investigation and treatment
Based on the relationship between risks and hidden dangers mentioned earlier, enterprises should implement existing control measures for each risk point through hazard investigation and other forms of control. The most ideal approach is to clarify risk points and control measures based on risk classification and control, create a detailed list of hidden dangers, and conduct hidden danger investigation on various control measures of risk points to ensure the effectiveness of control measures.
However, there are some drawbacks in actual operation: there are many risk points, multiple control measures, and a large workload of regular and comprehensive inspections. Enterprises are tired of filling out a large number of inspection forms, but in reality, they may not carry out inspections and only need to fill out the inspection forms. At the same time, enterprises also need to carry out hazard investigation in accordance with the "Guidelines for Safety Risk and Hidden Danger Investigation and Treatment of Hazardous Chemical Enterprises" (Emergency [2019] No. 78), which requires a large workload and repetitive work.
