Procedures of Shanghai Municipality on the Screening, Identification and Control of Work Safety Accident Hazards

• Document Number：Decree of Shanghai Municipal People's Government No. 91
• Area of Law： National Security Public Security
• Level of Authority： Local Government Rules
• Date issued：11-20-2012
• Status： Effective
• Issuing Authority： Shanghai Municipality

Decree of Shanghai Municipal People's Government
(No. 91)
The Procedures of Shanghai Municipality on the Screening, Identification and Control of Work Safety Accident Hazards were adopted at the 155th Routine Meeting of the Municipal People's Government on October 22, 2012, and are hereby promulgated. They shall be effective as of January 1, 2013.
Mayor: Han Zheng
November 20, 2012
Procedures of Shanghai Municipality on the Screening, Identification and Control of Work Safety Accident Hazards
(Promulgated by Decree No. 91 of Shanghai Municipal People's Government on November 20, 2012)
Chapter I General Provisions
Article 1 (Purposes and Basis)
With a view to establishing and improving the mechanisms for the screening, identification and control of work safety accident hazards, implementing production and operation units' responsibility as the subjects for work safety, preventing and reducing accidents, and protecting the life and property safety of the masses of the people, these Procedures are formulated in accordance with the Law of the People's Republic of China on Work Safety, the Regulations of Shanghai Municipality on Work Safety, and other relevant laws and regulations.
Article 2 (Scope of Application)
These Procedures apply to the screening, identification and control of work safety accident hazards and the supervision and administration thereof in the production and operation units within the administrative area of this Municipality.
Should laws, rules or regulations provide otherwise for the screening, identification and control of work safety accident hazards in firefighting, road, railway and water transportation, and civil aviation and for the supervision and administration thereof, such provisions shall prevail.
Article 3 (Definition)
"Work safety accident hazards" (hereinafter referred as the "accident hazards" ) as used in these Procedures refer to the dangerous status of objects, people's unsafe acts and defects in management that may cause accidents in production and operation activities, resulting from violations of provisions of work safety laws, rules, regulations, standards, procedures and management rules or other factors on the part of those enterprises and individually-owned businesses that engage in production and operation activities, as well as other operation organizations that can bear civil liability independently (hereinafter collectively referred to as the "production and operation units").
Article 4 (Subject of Responsibility)
Production and operation units are the subjects of responsibility for the screening, identification and control of accident hazards.
The legal representative of a production or operation unit and the person actually having the highest administrative authority for the unit's production or operation (hereinafter collectively referred to as the "chief person-in-charge") are the first persons responsible for the screening, identification and control of accident hazards in their own units, who are fully responsible for the screening, identification and control of accident hazards in their own units, and shall perform the following duties:
1. presiding over the formulation of various rules and regulations on the screening, identification and control of accident hazards;
2. establishing and optimizing the responsibility system for work safety;
3. ensuring relevant fund input in the screening, identification and control of accident hazards;
4. organizing comprehensive screening and identification of accident hazards on a regular basis; and
5. supervising and inspecting work safety program, so as to eliminate accident hazards in a timely manner.
Article 5 (Government Duties)
The municipal and district/county people's governments shall strengthen leadership in the screening, identification and control of accident hazards within their respective administrative areas.
The work safety commissions under the municipal and district/county people's governments and their offices shall be responsible for overall planning and coordination with regard to major issues involved in the screening, identification and control of accident hazards.
The town/township people's governments, sub-district offices and industrial park administrative institutions shall do well relevant work related to the screening, identification and control of accident hazards within their own jurisdictions according to law.
Article 6 (Division of Work among Departments)
The departments of work safety supervision, public security, construction, quality and technical supervision, transport and port, economy and informatization, water affairs, agriculture, and environmental protection and other departments charged with supervisory responsibilities under law, including examination, approval, and punishment, on matters involving work safety (hereinafter collectively referred to as "departments with supervisory responsibilities for work safety") shall supervise and administrate the screening, identification and control of accident hazards within the scope of their duties, according to the provisions of laws, rules, and regulations, as well as provisions of this Municipality's work safety commission on the duty of the member units with respect to work safety.
Besides undertaking the duties provided for in Clause 1 of this Article, the work safety supervision departments shall guide, coordinate and supervise relevant departments of the people's government at the same level and the people's governments at lower levels in their supervision and administration of the screening, identification and control of accident hazards.
Other relevant departments of development & reform, finance, and state asset administration shall, according to the provisions of this Municipality's work safety commission on the duty of the member units with respect to work safety, cooperate in doing relevant work of supervision and administration of the screening, identification and control of accident hazards.
Article 7 (Division of Work Between Government Levels)
The municipal-level departments with supervisory responsibilities for work safety shall decide on the specific categories of production and operation units to be placed under their supervision, and the district/county departments with supervisory responsibilities for work safety shall be in charge of supervision over other production and operation units within their own administrative areas.
Article 8 (Offence Reporting and Rewarding)
All units and individuals have the right to report to the departments with supervisory responsibilities for work safety any accident hazards that are identified. Upon receiving such reports, the latter shall lose no time in verifying and handling them according to their respective functions and duties. If such reports fall within the scope of another department's duties, they shall be transferred immediately to the department with jurisdiction for verification and handling.
Anyone who reports a production or operation unit's illegal act related to the screening, identification and control of accident hazards that proves to be true upon verification shall be rewarded according to relevant provisions by the departments with supervisory responsibilities for work safety. The departments with supervisory responsibilities for work safety shall maintain the secrecy of the reporter.
Chapter II Production and Operation Units' Responsibility for the Screening, Identification and Control of Accident Hazards
Article 9 (Rules for the Screening, Identification and Control of Accident Hazards)
Production and operation units shall, according to the laws, rules, regulations, standards and procedures on work safety, establish safety management rules for accident hazards screening, identification, registration, reporting and rectification, define the accident hazards screening, identification and control responsibilities of the persons in charge of the units, departments/workshops, and teams, as well as employees at specific posts and see to their implementation.
Article 10 (Education and Training)
Production and operation units shall strengthen safety education and training among their employees, and ensure that they are familiar with the safety management rules and regulations and have corresponding technical capabilities and work safety knowledge required for the duties of their posts.
Article 11 (Day-to-day Screening and Identification of Accident Hazards)
Work safety management personnel and other employees shall carry out regular work safety checks according to the duties of their posts, so as to discover in a timely manner the dangerous status present in the process systems, infrastructures, technical equipment and controlling/monitoring facilities and the defects in fulfilling work safety responsibilities, implementing labor disciplines and conducting on-the-spot management.
In case any accident hazards are discovered, work safety management personnel and other employees shall report them to the person directly responsible and handle them in a timely manner, and, if any emergency situation is discovered, directly endangering personal safety, they shall have the right to stop the operation, or to evacuate the workplace upon taking possible emergency measures.
Article 12 (Periodic Screening, Identification and Control of Accident Hazards)
The chief person-in-charge and the person in charge of work safety in a production or operation unit shall organize work safety management personnel, professional technicians and other relevant personnel on a periodic basis to conduct comprehensive screening, identification and control of accident hazards, including, inter alia:
1. status of implementation of the laws, rules, regulations, standards and procedures on work safety, and of establishing and implementation of work safety responsibility system, rules and regulations, as well as post operation codes;
2. status of formulating and drilling in emergency/rescue procedures, and provision and maintenance of emergency rescue materials and equipment;
3. status of facilities, equipment, devices and tools, and that of their day-to-day repair, maintenance, check and testing;
4. status of on-site safety management of dangerous operations, such as explosion, large equipment/component lifting and installation, trial production of dangerous devices or equipment, work involving the use of fire in dangerous places, operations in a poisonous, harmful or confined space and at sources of major dangers;
5. status of construction of a general survey and filing of major danger sources, risk identification, and monitoring and early warning systems, and of implementing those measures;
6. status of providing, issuing and wearing labor protection supplies, and the employees' physical and mental health conditions; and
7. status of safety education and training received by employees, the safety knowledge and operation skills mastered by them, and special operators' and special equipment operators' training, examination and assignment to posts with relevant certificates.
Article 13 (Classification of Accident Hazards)
Upon discovering an accident hazard, production or operation units shall launch a corresponding emergency procedure, take measures to ensure safety, and organize professional technicians, experts or professional institutions with corresponding qualifications to analyze and determine the level of the accident hazard.
Accident hazards are classified into the following three levels according to the degree of their danger and difficulty of their rectification:
Level III accident hazards refer to those hazards with minor danger and difficulty of rectification which can be eliminated within three days upon discovery or can be eliminated without stopping use of relevant facilities or equipment or stopping production or operation.
Level II accident hazards refer to those with considerable danger and difficulty of rectification whose elimination will take more than 4 days and require stoppage of use of relevant facilities or equipment or will take from 4 to 6 days and require stoppage of production or operation
Level I accident hazards refer to those hazards with extremely grave danger and difficulty of rectification whose elimination will take more than 7 days and require the stoppage of production or operation and those which are not caused by the production or operation units and can't be eliminated by such units themselves.
The municipal-level departments with supervisory responsibilities for work safety may refine and amplify the classification of accident hazards provided in Clause 2 of this Article as needed.
Article 14 (Handling of Accident Hazards)
Production and operation units shall take measures to eliminate Level III accident hazards under the condition of ensuring safety.
Production and operation units shall handle Levels I and II accident hazards according to the following provisions:
1. stopping use of relevant facilities and equipment and stopping production or operation partially or completely as needed;
2. organizing professional technicians, experts or professional institutions with corresponding qualification to conduct risk assessment, so as to determine the current status, causes, degree of danger, and degree of difficulty of rectification of the accident hazards;
3. formulating control plans according to the result of risk assessment, and defining the control goals and measures, persons responsible, expenses and material conditions required, time limit, monitoring safeguards and emergency measures; and
4. implementing the control plans to eliminate the accident hazards.
Once an accident hazard is classified as Level I accident hazard, a production or operation unit shall immediately report its current status to the departments with supervisory responsibilities for work safety and submit in a timely manner the result of risk assessment and the control plan.
Article 15 (Monitoring Safeguards)
In the process of accident hazards control, production and operation units shall take necessary monitoring safeguards. If safety can not be guaranteed before or in the process of accident hazard elimination, operators shall be evacuated from the dangerous area, other persons who may be endangered shall also be evacuated, warning signs shall be put up, and personnel shall be assigned to guard the area if necessary.
Article 16 (Information Archives)
Production and operation units shall establish information archives of accident hazards screening, identification and control to keep detailed records of accident hazards screening, identification and control.
The information archives of accident hazards screening, identification and control shall include the following contents:
1. time of accident hazards screening and identification;
2. specific positions or sites of accident hazards screening and identification;
3. number, level and specific conditions of accident hazards identified;
4. people participating in hazards screening and identification and their signatures; and
5. result of accident hazards control and findings of review, time of review, reviewers and their signatures.
The information archives of accident hazards screening, identification and control shall be kept for at least two years.
Article 17 (Monthly Report)
The following production and operation units shall collect and analyze the information on accident hazards screening, identification and control in their own units on a monthly basis and submit monthly reports to the departments with supervisory responsibilities for work safety:
1. units of high-risk industries such as mining, construction and dangerous articles production and operation, and those using, storing, transporting or handling dangerous articles;
2. units of relatively high-risk industries such as metal smelting, ship building and repair, electricity, loading and unloading, and road transport; and
3. other production and operation units decided upon by the municipal-level departments with supervisory responsibilities for work safety.
The format of the monthly reports shall be decided upon by the municipal work safety supervision department in conjunction with all other departments with supervisory responsibilities for work safety.
Article 18 (Contracting and Leasing Management)
If a production or operation unit contracts or leases a production or operation project or site to another unit, it shall have the responsibility for unified coordination and administration of the contractor's or leasee's accident hazards screening, identification and control; if an accident hazard is identified in the contractor or leasee, it shall promptly urge the contractor or leasee to institute control measures.
The contractor or leasee shall obey the production or operation unit in the latter's unified coordination and administration of accident hazards screening, identification and control.
Article 19 (Awarding and Punishment System)
Production and operation units shall establish an awarding and punishment system for accident hazards screening, identification and control and encourage their employees to discover and eliminate accident hazards, awarding and commending those who perform meritorious acts in discovering and eliminating accident hazards, and punishing as provided for those who conceal accident hazards or fail to screen, identify or control such hazards effectively.
Article 20 (Fund Support)
Production and operation units shall guarantee the fund needed for accident hazards screening, identification and control, which shall be disbursed from the annual fund for work safety and used exclusively for its specified purpose; if the fund needed for accident hazards screening, identification and control exceeds the annual budget for work safety, the budget shall be adjusted in a timely manner.
Chapter III Supervision and Administration
Article 21 (Formulation and Implementation of the Annual Supervision and Inspection Plan)
The departments with supervisory responsibilities for work safety shall formulate annual supervision and inspection plans to define the frequency, way, key industries and contents of supervision and inspection, and keep corresponding supervision and inspection records. If an accident hazard is discovered in the supervision and inspection, the departments with supervisory responsibilities for work safety shall order immediate control or control within a time limit, and organize recheck in a timely manner.
Article 22 (Day-to-day Supervision and Inspection by Sub-districts, Towns/Townships and Industrial Parks)
Upon discovering accident hazards in the course of their day-to-day supervision and inspection of work safety conducted according to law, town/township people's governments, sub-district offices and industrial park administrative institutions shall order the production or operation unit to eliminate them immediately or to control them within a time limit, and report to the departments with supervisory responsibilities for work safety.
Article 23 (Verification of Level I Accident Hazards)
Upon receiving a report of a Level I accident hazard, the departments with supervisory responsibilities for work safety shall make on-site verification as needed, and urge the production or operation unit to eliminate the accident hazard according to the control plan, so as to prevent the occurrence of accidents; when necessary, they may require the production or operation unit to stop production or operation, put up safety warning signs or take other emergency measures.
Article 24 (Transfer)
Upon discovering an accident hazard that falls within another department's competence, the departments with supervisory responsibilities for work safety shall transfer in a timely manner relevant documents to the department that has the jurisdiction, and shall keep the record for reference.
Article 25 (Collection and Analysis of Supervision and Inspection Information)
This Municipality shall establish an information system for accident hazards screening, identification and control, the day-to-day operation and management of which shall be in the charge of the municipal work safety supervision department, to accept, collect, analyze and report the information on accident hazards screening, identification and control.
The district/county departments with supervisory responsibilities for work safety shall collect and collate on a monthly basis such information as the supervision and inspection records, and the monthly reports submitted by production and operation units, and transmit them to the departments with supervisory responsibilities for work safety at the next higher level and to the work safety supervision departments at the same level.
The municipal-level departments with supervisory responsibilities for work safety and district/county work safety supervision departments shall collect and collate on a month basis such information as the supervision and inspection records and the monthly reports submitted by production and operation units, and transmit them to the municipal work safety supervision department.
Article 26 (Preparation of Annual Supervised Implementation Plans)
The municipal and district/county work safety supervision departments shall prepare annual supervised implementation plans for accident hazards control (hereinafter referred to as the "annual supervision implementation plans") respectively and carry out such plans upon their submission to and approval by the people's governments at the same level.
The annual supervised implementation plan shall specify the supervised implementation projects, the supervisor departments, the production and operation units undertaking the responsibility of control (hereinafter referred to as the "control units") and matters such as control goals, measures and time limit. Where more than one department is involved in the supervised implementation, the work safety supervision department shall report to the people's government at the same level, requesting the latter to designate a leading supervisor department and supporting supervisor departments.
If the annual supervised implementation plan involves major issues, the work safety commissions under the municipal and district/county people's governments and their offices shall provide overall planning and coordination therefor.
Article 27 (Submission and Determination of Supervised Implementation Projects)
The district/county departments with supervisory responsibilities for work safety shall submit those projects that need to be listed in the next year's supervised implementation plans of their own districts/county to the work safety supervision departments of the same level before the end of September each year. The municipal departments with supervisory responsibilities for work safety shall submit the projects that need to be listed in the next year's supervised implementation plan of the Municipality to the work safety supervision department of the same level before the end of October each year.
When the district/county departments with supervisory responsibilities for work safety believe that the supervised implementation of a project will involve more than one district/county or require the coordination from relevant municipal departments, they shall report to the municipal-level departments with supervisory responsibilities for work safety, which shall request the municipal work safety supervision department to list it in the next year's municipal supervised implementation plan.
The municipal and district/county work safety supervision departments shall, in conjunction with departments with supervisory responsibilities for work safety at the same level, consider comprehensively such factors as the current status, causes, degree of danger of the accident hazards and the degree of difficulty of their rectification and control, and determine the projects to be listed in the annual supervised implementation plans.
Article 28 (Execution of Annual Supervised Implementation Plans)
The control units shall control accident hazards according to the goals, measures and time limit determined in the annual supervised implementation plans.
The supervisor departments shall check on the progress at least once a month, and hold one update meeting at least once a quarter, so as to guide and coordinate efforts to solve the problems encountered in the process of control, and they shall provide technical support for the control of accident hazards which are not caused by the production or operation unit and are difficult for the control unit to eliminate.
If a control project is completed in the main, the control unit shall organize professional technicians, experts or entrust professional institutions with corresponding qualifications to make control assessment. If the assessment proves that control goals have been achieved, the supervisor department shall organize relevant professional technicians and experts to make on-site verification. If the verification proves that the control goals have been achieved, the supervised implementation shall be lifted and the work safety supervision department shall be notified thereof; if the control goals have not been achieved, the supervisor department shall, according to law, order the control unit to make corrections or issue the order to stop production for rectification.
If the supervised implementation is not lifted, the control unit may not resume production or operation without authorization. The control unit shall carry out the order of correction or rectification issued by the supervisor department.
If the control goals can not be achieved on time due to objective reasons, the control unit shall explain the reasons and the adjusted control plan to the supervisor department. Upon granting approval for the delay after verification, the supervisor department shall report to the work safety supervision department for filing on record.
Article 29 (Professionals' Participation in Supervision and Administration)
The departments with supervisory responsibilities for work safety, town/township people's governments, sub-district offices and industrial park administrative institutions may invite professional technicians, experts and scholars to participate in the supervision and administration according to the actual need, to listen to their opinions on professional and technical issues.
Article 30 (Credit Information Recording and Reporting)
The work safety supervision department shall publicize relevant information on the progress of the annual supervised implementation plan on a regular basis.
If a production or operation unit fails to control an accident hazard effectively and is held responsible, the department with supervisory responsibilities for work safety shall, as provided for, put that into the credit information record of the unit and the chief person-in-charge thereof, report relevant information to the departments of commerce and industry administration, development & reform, land and resources, construction and transport, and finance supervision, and publicize such information via government websites or news media.
Chapter IV Legal Liabilities
Article 31 (Punishment I of Production and Operation Units for Illegal Acts)
In case of any of the following acts committed by a production or operation unit, the department with supervisory responsibilities for work safety shall order it to make corrections and may impose a fine of not less than 5,000 yuan but not more than 30,000 yuan thereon, and may concurrently impose a fine of not less than 1,000 yuan but not more than 10,000 yuan on the chief person-in-charge of the unit:
1. failing to establish a set of safety management rules and regulations for accident hazards screening and identification, registration, reporting and rectification, in violation of the provisions of Article 9 of these Procedures;
2. failing to establish information archives of accident hazard screening, identification and control in violation of the provisions of Article 16 of these Procedures; or
3. failing to submit monthly reports in violation of the provisions of Article 17 of these Procedures.
Article 32 (Punishment II of Production and Operation Units for Illegal Acts)
In case of any of the following acts committed by a production or operation unit, the department with supervisory responsibilities for work safety shall order it to make corrections and may impose a fine of not less than 10,000 yuan but not more than 50,000 yuan on the unit, and, concurrently, a fine of not less than 2,000 yuan but not more than 5,000 yuan on the chief person-in-charge of the unit; if the case is serious, the department may impose a fine of not less than 50,000 yuan but not more than 100,000 yuan on the unit, and a fine of not less than 5,000 yuan but not more than 10,000 yuan on the chief person-in-charge of the unit:
1. failing to stop use of relevant facilities and equipment, to stop production or operation partially or completely as needed, to conduct risk assessment, or to formulate and implement control plans for those accident hazards determined as Level II or Level I, in violation of the provisions of Clause 2 of Article 14 of these Procedures;
2. in the case of a production or operation unit wherein a Level I accident hazard is identified , failing to report the current status of the hazard or to submit the result of the risk assessment and the control plan, in violation of the provisions of Clause 3 of Article 14 of these Procedures; or
3. failing to take necessary monitoring safeguards in the process of accident hazards control, in violation of the provisions of Article 15 of these Procedures.
Article 33 (Punishment for Control Units' Illegal Acts in Executing Projects under the Annual Supervised Implementation Plan)
If a control unit fails to implement accident hazards control measures according to the goals, measures and time limit determined in the annual supervised implementation plan, in violation of the provisions of Clause 1 of Article 28 of these Procedures, the supervisor department shall order it to make corrections and impose a fine of not less than 30,000 yuan but not more than 100,000 yuan thereon, and may concurrently impose a fine of not less than 5,000 yuan but not more than 30,000 yuan on the chief person-in-charge of the unit.
If a control unit refuses to make corrections or to carry out the order of rectification, or resumes production or operation without authorization before the supervised implementation is lifted, in violation of the provisions of Clause 4 of Article 28 of these Procedures, the supervisor department shall impose a fine of not less than 30,000 yuan but not more than 100,000 yuan thereon, and concurrently impose a fine of not less than 5,000 yuan but not more than 30,000 yuan on the chief person-in-charge of the unit; if the control unit has no conditions for work safety, the supervisor department shall, according to law, report that to the municipal or district/county people's government, requesting the latter to close it down according to the power purview provided for by the State Council.
Article 34 (Legal Liabilities of the Supervision Department)
The personnel of the departments with supervisory responsibilities for work safety shall be subjected to administrative sanctions according to law if they have committed any of the following acts; if their acts constitute a crime, they shall be prosecuted for criminal liability according to law:
1. failing to handle the accident hazards report received as provided for;
2. failing to perform their duties of supervising and inspecting the situation of work safety accident hazards screening, identification and control in production and operation units as provided by these Procedures, with grave consequences;
3. failing to investigate and punish in a timely manner production and operation units wherein illegal acts are found in work safety accident hazards screening, identification and control, or shielding or conniving at their illegal acts, with grave consequences;
4. imposing administrative sanctions illegally; or
5. other acts of neglecting their duties, abusing their power, or playing favouritism and committing irregularities.
Chapter V Supplementary Provision
Article 35 (Effective Date)
These Procedures shall be effective as of January 1, 2013.