标签： 夜上海论坛

　　　　Scientific research environment is a general term for all kinds of direct and indirect factors that affect scientific and technological personnel to engage in scientific research activities. A good scientific research environment is conducive to researchers to concentrate on research and stimulate their creative vitality, which is of great significance to promoting scientific and technological progress and implementing the innovation-driven development strategy.

　　　　In recent years, the basic situation of scientific research environment in China has aroused widespread concern and debate from all walks of life, and has been highly valued by the relevant national science and technology management departments. In order to deeply understand the cognition of scientific researchers in various provinces (autonomous regions and municipalities directly under the Central Government) on the scientific research environment in their respective regions, the research group of the Institute of Science and Technology Policy and Management Sciences of the Chinese Academy of Sciences, with the support of the China Association for Science and Technology, selected five types of sites, including universities, research and development institutions, park enterprises, large and medium-sized industrial enterprises and medical and health institutions, and distributed 8,074 questionnaires to scientific researchers directly engaged in R&D activities, with 7,868 returned and 7,691 valid questionnaires. On the basis of this investigation, combined with the statistical data of science, technology, economy and society in 2012, this paper made a comprehensive evaluation of China’s scientific research environment.

The researchers gave positive comments on the current scientific research environment as a whole.

　　　　First, the conditions of scientific research infrastructure have improved significantly, and nearly 30% of researchers feel that they have sufficient funds and full tasks.

　　　　According to the survey, nearly 80% of the researchers think that the basic conditions of scientific research have improved obviously, among which 65% think that the basic conditions of scientific research in their institutions are at the middle and upper-middle level in China, 10% think that they are at a higher level in China, and only a little over 20% think that the basic conditions of their institutions are poor. At the same time, when it is necessary to obtain relevant experimental materials or consult scientific research references in scientific research activities, more than half of them feel convenient or very convenient, and only 20% think it is inconvenient or inconvenient. In terms of scientific research intensity and task fullness, nearly 30% feel full of funds and tasks, nearly 30% spend more than 40 hours a week directly engaged in scientific research activities, and nearly 30% feel that scientific research tasks are challenging. This reflects that in recent years, with the continuous increase in the total amount of scientific research funds invested by the central and local governments, the basic conditions of scientific research work in China have been greatly improved, and the tasks of scientific researchers are generally full, especially those who study abroad, have high academic qualifications, and have high professional titles. The recognition of the basic conditions of scientific research in their units is the highest.

　　　　Second, the degree of scientific research cooperation and professional division of labor has been significantly strengthened, and researchers generally recognize the norms of teamwork.

　　　　Institutions are equipped with full-time, high-level scientific research assistants, and the formation of a relatively close network of partners among scientific researchers is an important factor to improve the efficiency and level of scientific research work. The survey results show that the cooperation and professional division of labor among researchers have improved to some extent. In the same organization, the frequency ratio of other colleagues to undertake and complete the scientific research auxiliary work reaches 30%, which is higher than the frequency ratio of handling the scientific research auxiliary work by themselves without auxiliary personnel at all; At the same time, the frequency ratio of scientific research collaborators from their own institutions is as high as 44%, and the units where more than 85% of scientific researchers work actively encourage cross-departmental or inter-institutional cooperation. However, it is common for graduate students to help teachers undertake scientific research auxiliary work, which is much higher than the proportion of full-time auxiliary personnel, which shows that there is still much room for improvement in the scale of teamwork in scientific research units. About 40% of the team leaders’ influence comes from their academic level and strategic vision. About 40% of the team members have consultation and communication, and respect each member’s own choice. Another three quarters of the team results are distributed according to actual contributions, and more than half of the researchers have a strong sense of belonging to the team, which reflects the recognition of most researchers on the existing team cooperation model.

　　　　Third, researchers give positive comments on the scientific research management ability of their units and are optimistic about the career development space.

　　　　The survey shows that about 90% of researchers give positive comments on the overall impression of the scientific research management department of the unit, among which nearly 60% think that the auxiliary scientific research services and the overall innovation atmosphere of the unit are "generally acceptable" or "very good", and nearly 70% think that the current performance evaluation mechanism is reasonable. At the same time, most researchers have remained relatively stable in their work. From the observation of the flow of researchers in their own units in the past two years, more than 80% of researchers have not felt the frequent outflow of other researchers, and they are satisfied with the career development space in their own units. Only less than 15% researchers are "not satisfied" or "very dissatisfied" with the career development space in their own units, hoping for other better development opportunities. The work of the party and government organs is still attractive to a considerable number of researchers. If there is an opportunity to transfer to the party and government organs at the same level or to start a business, more than 50% of researchers will consider moving. Generally speaking, good working environment, personal development space, stable work, more learning opportunities, and giving full play to their abilities are the main reasons why most researchers choose to stay in their current work units.

　　　　Fourth, the scientific and technological innovation policy has been well received by researchers, and the implementation and implementation need to be further strengthened.

　　　　In recent years, the central and local governments have issued a series of policies and supporting measures to encourage scientific and technological innovation, attract high-level talents and promote the development of high-tech industries. Researchers generally recognize these incentive policies, and nearly 40% of them think that the policies are good and fully affirm them. More than half of the researchers still hope that the government will increase its encouragement and support. For the implementation of these policies, 8% of researchers think that the effect is very good, and 38% think that "some encouragement policies have been implemented, and the overall effect is ok", which is basically the same as the overall proportion of "the implementation is not good, the effect is not great, and these policies are basically not felt". This shows that the implementation of relevant science and technology policies has not been widely recognized, and the urgent task is to enhance the scientific nature of policies and further increase publicity and implementation.

Six outstanding problems reflected by scientific researchers

　　　　First, a large number of institutions lack systematic and efficient innovation management capabilities.

　　　　All kinds of institutions in Industry-University-Research generally don’t know enough about the law of creative activities in scientific research, which is manifested in the weak ability of specialized division of labor and cooperative management of scientific research organizations, and they are used to managing scientific researchers by means of administrative management and engineering management, and lack of supporting for truly valuable "creative" work, which makes a large number of scientific researchers’ enthusiasm consumed in low-level repetitive daily chores. On the one hand, scientific researchers frequently work overtime, on the other hand, about 70% of scientific researchers directly engage in scientific research activities for less than 40 hours a week. According to the survey, only 16% of the researchers think that the unit attaches great importance to innovation, and about 50% of the researchers think that the incentive effect of scientific research and innovation in their unit is not good; 34% of the respondents think that although the company has formulated some incentive measures, the overall incentive atmosphere for innovation has not yet emerged, and 8% of the respondents think that there is basically no difference between innovation and non-innovation in the company.

　　　　Second, the investment and allocation of science and technology funds are not targeted to people.

　　　　In recent years, China’s investment in scientific research has increased rapidly, and it has become the third largest country in the world. These greatly increased scientific and technological funds have achieved remarkable results in improving the basic conditions of scientific research and other "hardware facilities", but they are insufficient in investing people, especially young and middle-aged researchers with more innovative vitality. The survey shows that the current research funding, task pressure and work intensity basically present three "one-third" situations, that is, in terms of sufficient research funding and full tasks, there are one-third of people who feel full, average and lacking; In terms of the pressure and challenge of scientific research work, one-third of the people feel very stressed, less stressed and more moderate; At the same time, the proportion of people who spend more than 40 hours, less than 20 hours, and between 20 hours and 40 hours is also one-third of three. In addition, researchers with different professional titles have significant differences in their cognition of individual environment. The actual working time intensity and the proportion of challenging scientific research work of deputy senior and intermediate researchers are higher than those of senior researchers, but their satisfaction in scientific research activities, funding commitment and academic exchanges is lower than that of senior researchers, which also shows that the allocation of scientific and technological resources is insufficient to support this group.

　　　　Third, most researchers still lack high-level and international academic exchange opportunities.

　　　　It is found that the internationalization level of scientific and technological research in China has become an important factor that restricts the improvement of scientific researchers’ ability. 44% of researchers "mainly participate in academic conferences or scientific and technological group exchanges organized by domestic organizations", and two-thirds of researchers choose to publish their scientific research results in China because "there will be some language or channel barriers abroad". Less than 15% of researchers can publish their academic research results internationally without obstacles, and only 11% can participate in foreign academic exchanges relatively freely and conveniently. More than 40% of researchers said that they "seldom have academic exchanges" and "lack relatively high-level academic exchange opportunities", and 16% of researchers still have obvious obstacles in terms of regions, institutions or languages even if they publish their scientific research results in China, reflecting that some researchers’ channels for participating in academic exchanges are not smooth enough, and their academic exchange ability needs to be further strengthened.

　　　　Fourth, the publicity and transparency of the allocation mechanism of scientific and technological resources are not enough.

　　　　For the research funding mechanism of local government departments, except for 32% researchers who did not give a clear judgment, less than 5% clearly chose "the whole funding mechanism is open and transparent", while the proportion that "the process is very opaque and all kinds of hidden rules are very serious" is as high as 13%, and 30% researchers think there are some unfair and unreasonable places, "but not very serious"; Another nearly 20% of the staff think it is not bad on the whole, which has greatly improved compared with the past. In addition, some researchers specifically mentioned the problem of "unfair project application" in the allocation of scientific research funds, which is reflected in the prevalence of "learning hegemony" in the formulation, application and evaluation of project guides. I hope that the setting and funding mechanism of related scientific research projects will be more open and transparent.

　　　　Fifth, the academic community and scientific and technological associations have not played a sufficient role.

　　　　Academic communities and scientific and technological societies are important carriers to strengthen the education of scientific values and integrity of researchers and promote academic exchanges. According to the survey, nearly one-third of the researchers’ overall impression of the scientific and technological associations in this region said that they seldom contact with scientific and technological organizations, more than half thought that the scientific and technological organizations in this region were not active enough, nearly 8% said they knew something about a certain scientific and technological association, and less than 3% of the researchers had a better understanding of the society and gave a "good impression" evaluation. It can be seen that the majority of scientific researchers have obviously insufficient understanding and participation in scientific and technological associations, and the scientific and technological associations that should play an important role as carriers and intermediaries in developing academic norms, shaping scientific values and promoting academic exchanges have not fully played their roles at present. Strengthening the self-construction of "academic communities" and enhancing the value recognition of scientific researchers are the weak links in the current development of China’s scientific community.

　　　　Sixth, the overall cultural atmosphere of social innovation is not ideal.

　　　　A good social innovation atmosphere is an important prerequisite to stimulate the innovation enthusiasm and vitality of researchers, and it is also an important aspect that researchers pay attention to. It is found that the atmosphere of social tolerance failure, challenge to academic authority and academic independence, which are necessary for creative work, is not highly evaluated by researchers. Nearly half of the researchers think it is general, and the proportion of ideal or unsatisfactory is about 20%. In terms of improving the social image and political status of scientific and technological personnel, 50% of scientific and technological personnel think that there is no obvious difference from other occupations. Among them, only 19% think that the social status of researchers in this area has been greatly improved, and nearly a quarter of researchers think that despite a lot of publicity in various aspects, there has been no substantial improvement; Generally speaking, most researchers think that compared with other groups, the social status has not improved much.

　　　　Analysis of the crux of the above problems mainly lies in the lack of creativity of scientific researchers and the low level of independent management of scientific research activities.

　　　　First, the substantial increase in investment in science and technology has improved the working conditions of researchers, but it will not automatically bring about the same improvement in the satisfaction of researchers with the scientific research environment.

　　　　According to the survey, the higher the level of researchers, the more scientific and technological resources they occupy, and the higher the quality requirements for the scientific research environment. Senior and senior researchers who have studied abroad and are at the top of the group of researchers are significantly superior to other groups in terms of basic conditions for scientific research, research funds, publication of achievements and opportunities for academic exchange, and they are also in a dominant position in teamwork. At the same time, they attach great importance to the norms of teamwork and have higher requirements for the scientific research management level of their units. This situation shows that innovation management and cultural issues are replacing the lack of investment in science and technology, and become the main problems restricting the improvement of the current scientific research environment in China. It requires government management departments and various scientific research institutions to explore macro-and micro-management mechanisms that are more in line with the laws of scientific and technological innovation activities.

　　　　Second, the conflict between the increasing demand for scientific autonomy and the administrative science and technology management system has become one of the main contradictions in the macro-management system of science and technology in China.

　　　　The intervention of too many external administrative forces makes the degree of independent management of scientific researchers, scientific research institutions and scientific communities insufficient, which not only reduces the efficiency of scientific research and management, but also affects the enthusiasm and sense of accomplishment of scientific researchers as knowledge workers. In particular, some scientific research institutions and management departments lack of attention to the laws of scientific research and innovation activities, and the management methods focus on planning and administration. There is a big gap between the management ability of creative activities and the actual needs of scientific researchers, which leads to the phenomenon of simple management methods, repeated work by scientific researchers and a lot of work in vain to some extent. In addition, the imperfect public participation mechanism in the allocation mechanism of scientific and technological resources leads to the insufficient participation of the scientific community and the public in public scientific and technological affairs, and the low recognition of the fairness and impartiality of the government in allocating resources is also an important reason that affects the positive evaluation of the scientific research environment by researchers.

　　　　In short, although the scientific research infrastructure conditions of various units have improved significantly in recent years, all units and government scientific and technological management departments are also vigorously strengthening scientific research performance management, promoting scientific research cooperation, and actively introducing a series of incentive policies for scientific and technological innovation; However, the survey found that researchers still generally feel that it is difficult to give full play to their creativity, and their units and scientific and technological management departments lack systematic and efficient innovation management capabilities, which has become the main obstacle to improving the scientific research environment. This also means that innovation management and cultural issues are replacing the overall lack of investment in scientific and technological resources, becoming an important factor affecting researchers to judge the quality of scientific research environment, and further requiring government management departments and various scientific research institutions to explore macro-and micro-management mechanisms that are more in line with the laws of scientific and technological innovation activities.

Suggestions on respecting the law of scientific research activities and promoting the process of independent management of scientific research institutions and researchers

　　　　To improve the scientific research environment, we must strengthen the regular understanding of scientific research activities and management, give full play to the initiative and creativity of scientific and technological personnel, and greatly expand the participation scope and discourse power of scientific communities and the public in government scientific and technological affairs. The research group suggested that:

　　　　Efforts should be made to ensure the time for scientific researchers to directly engage in scientific research activities.

　　　　Increase the steady support for public scientific research institutions, simplify the scientific research management and evaluation mechanism, and shorten the time for scientific researchers to participate in administrative affairs and other social affairs activities; With the positive attitude of "releasing water to raise fish", we will support scientific researchers to concentrate on their scientific research work, and guide front-line scientific researchers to gradually increase their time directly engaged in scientific research activities to three-fifths or even more than four-fifths of their normal working hours.

　　　　Piloting the reform of the comprehensive supporting system of different types of scientific research institutions.

　　　　Actively explore the governance model of public scientific research institutions in the new period, and select some basic and public research institutes with high scientific research level to carry out pilot reform of comprehensive supporting system. The pilot work focuses on rationalizing the operating mechanism of scientific research institutions in terms of personnel, finance, materials, activities and comprehensive management, and establishes a coordinated scientific research management system of personnel-post-funds-activities-evaluation; While fully mobilizing the initiative and enthusiasm of researchers, we should strengthen the independent management of scientific research at all levels and stimulate the creativity of researchers.

　　　　Strengthen the right to speak of scientific community in scientific and technological affairs of the whole society.

　　　　Give full play to the academic norms and value guidance functions of the scientific community. Gradually reduce all kinds of scientific and technological awards led by the government; Strengthen the leading role of professional societies, trade associations and other professional groups and social organizations in academician selection, scientific and technological awards and evaluation, suppression of academic misconduct, establishment of academic journals, and dissemination of scientific and technological news; Strengthen peer review in scientific research organization evaluation, project evaluation, talent recruitment and other matters; Let the scientific community rebuild academic norms and innovative values.

　　　　Establish a more transparent and higher social participation mechanism for the allocation of scientific and technological resources.

　　　　Reform the allocation mechanism of public scientific and technological resources, improve the participation of scientists and the public in the process of public scientific and technological decision-making and project organization and implementation, and reduce the direct intervention of government departments in the process of scientific and technological project organization and implementation. Strengthen the construction of social supervision and management mechanism, and promote the opening of all kinds of scientific and technological projects and scientific and technological infrastructure supported by public finance to the whole society.

　　　　Significantly increase the budget for supporting scientific researchers to "go global".

　　　　Implement the strategy of "going out" for researchers, and rapidly improve their research vision and international communication ability. Significantly increase the amount of international scientific and technological cooperation and exchange funds of the National Scholarship Fund Committee, China Academy of Sciences and other departments, while building a high-level international academic exchange platform, increase support for front-line scientific researchers and young and middle-aged scientific research management backbones, and maintain the growth rate of more than 30% for three to four consecutive years.

　　　　Explore the implementation of "inclusive" science and technology policies and encourage "mass innovation".

　　　　Taking generate, which encourages and stimulates the creativity of the whole society, as an important part of the construction of innovative cities, we should not explore and implement the "inclusive" all-staff innovation project for all kinds of enterprises, institutions and the public based on the qualification theory of innovative subjects; Continue to promote the work deployment of "Several Opinions on Strengthening the Work of Innovative Methods" by the four national ministries and commissions, and constantly promote and popularize the knowledge of innovation methodology such as TRIZ in society and various enterprises and institutions; Increase the creative methods and scientific aesthetic education content in primary and secondary education, vocational education and training, and higher education, and form a pluralistic and inclusive mass innovation culture atmosphere for all social subjects. (Author of research group of Institute of Science and Technology Policy and Management Science, Chinese Academy of Sciences: Leng Min, Song Qi)　

作者 admin

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