(May 30, 2023)

SMPG D [2023] No. 5

Attention: all District People's Governments, and Commissions, Offices, Bureaus of the Municipal People’s Government, and the relevant units:

We hereby issue to you the Several Provisions on the Implementation of the Regulations on Reporting, Investigation and Handling of the Production Safety Accidents in Shanghai. You are required to implement them conscientiously.

Several Provisions on the Implementation of the Regulations on Reporting, Investigation and Handling of the Production Safety Accidents in Shanghai

Chapter I  General Provisions

Article 1 (Purpose and Basis)

With a view to further standardizing the reporting, investigation and handling of the production safety accidents in this Municipality, these Provisions are formulated in accordance with the Production Safety Law of the People's Republic of China, the Regulations on Reporting, Investigation and Handling of Production Safety Accidents, the Regulations of Shanghai Municipality on Production Safety and other laws and rules.

Article 2 (Scope of Application)

The reporting, investigation and handling of the production safety accidents within the administrative areas of this Municipality shall be governed by these Provisions.

The environmental pollution accidents, nuclear facility accidents, and national defense research and production accidents are not applicable to these Provisions. If the State has other provisions on the reporting, investigation and handling of the accidents such as fires, road traffic, railway traffic, water traffic, civil aviation, power safety, special equipment, agricultural machinery, etc., such accidents shall be handled in accordance with the State provisions.

Article 3 (Partial Application and Reference Application)

The following accidents and events shall be investigated and handled in accordance with these Provisions:

1. major accidents involving hazards occur; and

2. other accidents or events with significant impacts that the municipal or district people’s governments deem necessary to investigate and handle in accordance with these Provisions.

The competent departments of the units where the accidents occurred shall, with reference to these Provisions, organize the investigation and handling of the accidents that occurred in the course of operations by the state organs, institutions, people's organization and private non-enterprise units.

Article 4 (Basic Principles)

The municipal and district people’s governments shall, in accordance with the principle of "unified government leadership and hierarchical implementation", carry out the accident reporting, investigation and handling work in a pragmatic, scientific and rigorous manner, in accordance with the laws and rules.

The departments and units participating in the accident investigation and handling shall strengthen coordination and cooperation to improve the efficiency of accident investigation and handling work. The town/township people’s governments, sub-districts, industrial park management organizations, etc. in the places where the accidents occurred shall support and cooperate with the superior governments or the relevant departments in the investigation and handling of the accidents, and provide necessary conveniences.

The accident units shall be positively cooperative in the investigation and handling work, truthfully provide the necessary documents and materials for the investigation and handling, and shall not forge or destroy evidences. No unit or individual shall obstruct or intervene in the reporting, investigation and handling of the accidents.

Chapter II  Accident Report

Article 5 (Report Applicability)

Accidents that occur under any one of the following circumstances shall be reported in accordance with the procedural requirements of Article 6 and Article 7 of these Provisions:

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1.

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causing one or more deaths (including those whose whereabouts is unknown, the same below);

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2.

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causing one or more serious injuries (including acute industrial poisoning, the same below);

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3.

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causing direct economic losses of over 1 million yuan (including 1 million yuan, excluding accident compensation costs); or

4. causing major hazardous accidents.

Article 6 (Reporting Procedures of Accident Units)

After accidents occur, the persons concerned at the scenes of the accidents and the persons in charge of the units receiving the accident reports shall report to the Municipal Emergency Linkage Center and the departments responsible for safety production supervision and management within 1 hour. When the situation is urgent, it shall be reported within 30 minutes.

Article 7 (Reporting Procedures of Government Departments)

The departments responsible for safety production supervision and management shall report the accidents to their immediate superior departments at each level. All the departments at each level shall complete their verbal reporting within 1 hour and written reporting within 2 hours. If necessary, it can be reported in the way of bypassing the immediate departments and reporting directly to those at higher levels.

When the departments responsible for safety production supervision and management report the accidents in accordance with the provisions of the preceding paragraph, they shall also report to the local governments and promptly notify the relevant departments in accordance with the law.

Article 8 (Duty System)

The departments responsible for safety production supervision and management shall establish accident reporting duty systems, announce the duty phone numbers to the society, accept accident reports and tip-offs, and promptly circulate the accidents.

The district people’s governments, town/township people’s governments, sub-districts, industrial park management organizations, municipal emergency units, etc. shall incorporate the accident reports into their duty management and emergency response systems, and implement their management.

Chapter III  Accident Investigation Organization

Article 9 (Extraordinarily Serious, Serious, and relatively Serious Accident Investigation Organization)

The extraordinarily serious accidents shall be investigated by the accident investigation teams of the State Council, and the Municipal Government shall organize the relevant departments to cooperate with them.

The serious accidents shall be investigated by the Municipal People’s Government, and the Municipal People’s Government may also authorize or entrust the municipal emergency management department to organize the investigation.

The relatively serious accidents shall be investigated by the municipal emergency management department authorized by the Municipal People’s Government.

Article 10 (Ordinary Accident Investigation Organization)

The ordinary accidents shall be investigated by the departments responsible for safety production supervision and management authorized by the district people’s governments in the areas where the accidents occurred. The main division of labor for each department is as follows:

1. For the accidents that occurred in the housing construction projects that have caused casualties, the emergency management departments concerned shall organize the investigation. If no casualties are caused, the housing and urban-rural construction management departments concerned shall organize the investigation.

2. For the accidents that occurred in the municipal infrastructure projects, causing casualties of the employees, the emergency management departments shall organize the investigation. If no casualties of the employees have been caused, the housing and urban-rural construction managements, transportation, water and other departments shall organize investigations according to their respective responsibilities.

3. For the accidents that occurred in the power production and operation units, causing casualties of the employees, the emergency management departments shall organize the investigation. If no casualties of the employees have been caused, the power regulatory agencies shall organize the investigation.

4. For the accidents that occurred in the gas production and operation units, causing casualties of the employees, the emergency management departments shall organize the investigation; If no casualties of the employees have been caused, the gas regulatory departments shall organize the investigation.

5. For the external damage accidents that occurred in the road pipeline construction units, causing casualties of the employees, the emergency management departments shall organize the investigation. If no casualties of the employees have been caused, the road and pipeline supervisory departments shall organize the investigation.

6. For the accidents that occurred in the fixed locations of the rail transit line operation units, causing casualties of the employees, the emergency management departments shall organize the investigation. The rail transit accidents and other incidents that have not caused casualties of employees shall be investigated by the transportation departments.

7. For the accidents that occurred during the flying process of balloons (including unmanned free balloons and captive balloons), causing casualties of the employees, the emergency management departments shall organize the investigation. If no casualties of the employees have been caused, the meteorological departments shall organize the investigation.

8. For the accidents that occurred in the fixed locations of the railway transportation production and operation units, causing casualties of the employees, the emergency management departments shall organize the investigation. If no casualties of the employees have been caused, the railway safety supervision and management institutions shall organize the investigation.

9. For the accidents that occurred in non aviation operations such as airport management, services, maintenance, warehousing, and other production and operation activities,causing casualties of the employees, the emergency management departments shall organize the investigation. If no casualties of the employees have been caused, the competent civil aviation departments shall organize the investigation.

If there are regulatory requirements for accident investigation and handling in the industries (fields), investigations shall be organized according to their regulatory requirements.

An ordinary accident with a direct economic loss of less than 1 million yuan and not causing casualties shall be investigated by the accident units. If the accidents occurred in the state-owned enterprises, the investigation shall be organized by the concerned state-owned enterprises (groups).

Article 11 (Exceptions and Dispute Handling)

If the Municipal People’s Government has other instructions for the investigation of the serious accidents, the relatively serious accidents, and ordinary accidents, their instructions shall be implemented.

If the departments responsible for safety production supervision and management have disputes over the organizational authority of the accident investigation, it shall be reported to the offices of the safety production commissions at the same level for coordination and resolution. If the offices of the safety production commissions are unable to resolve the issues after coordination, it shall be reported to the safety production commissions at the same level for decision.

Article 12 (Handling of the Cases Exceeding Authority)

In the investigation and handling of the ordinary accidents, if the investigation and handling authority is exceeded due to casualties or direct economic losses, it shall be reported to the Municipal People’s Government or its authorized or entrusted departments to organize the investigation and handling.

Article 13 (Accident Investigation Team)

The accident investigation organization departments shall generally request the governments at the same level to set up accident investigation teams within 3 working days from the date of the accidents, and notify the relevant departments. If the accident casualties or direct economic losses cannot be counted temporarily, the accident investigation teams shall be set up within 3 working days from the date of determination of the casualties and direct economic losses.

The leaders of the accident investigation teams are usually the department heads of the municipal or district people’s government or the departments authorized or entrusted to organize the investigation, and the relevant technical experts may be hired to participate in the investigation. When necessary, the municipal and district people’s governments may directly organize accident investigation teams to conduct investigations and designate the leaders of the accident investigation teams.

The superior departments or units of the accident investigation team members may participate in the accident investigation of the subordinate departments or units according to the needs of the accident investigation.

If ordinary accidents occurred in the central enterprises in Shanghai or in the municipal state-owned enterprises and the situation is complex,the relevant municipal departments may be invited to send their personnel to participate in the accident investigation. When necessary, the municipal departments responsible for safety production supervision and management may directly organize the investigations.

According to the needs of accident investigation, the accident investigation teams may set up comprehensive, management, accountability, technical and other working groups, specifically responsible for the investigating the special affairs. The leaders of the working groups shall be designated by the leaders of the accident investigation teams.

Article 14 (Responsibilities of the Accident Investigation Team Leader)

The accident investigation team leaders shall fulfill the following responsibilities:

1. organizing and leading the accident investigation, determining the responsibilities of each working group of the accident investigation teams;

2. presiding over the accident investigation meetings, coordinating the major issues in accident investigation work, etc; and

3. reporting the progress of the investigation to the governments at the same level on behalf of the accident investigation teams.

Article 15 (Responsibilities of the Accident Investigation Team Members)

The constituent departments and units of the accident investigation teams and their dispatched personnel shall respectively fulfill the following responsibilities:

1.The departments leading the organization of the accident investigation and their dispatched personnel: to investigate the accident scenes, determine the casualties and direct economic losses, investigate and inquire about the relevant persons, collect accident-related information, clarify the courses and causes of the accidents, identify the nature and responsibilities of the accidents, propose handling suggestions for the responsible units and persons for the accidents and propose accident prevention and rectification measures.

2. The departments responsible for safety production supervision and management and their dispatched personnel: to survey the accident scenes, participate in investigations and inquiries with the relevant persons, participate in collecting the accident related information, participate in the accident investigation and analysis, propose handling suggestions for the responsible units and persons for the accidents, propose accident prevention and rectification measures.

3. The public security organs and their dispatched personnel: to maintain public security and order at the accident scenes, survey the accident scenes, investigate and inquire about the relevant persons, determine the causes of death in the accidents that caused death and provide the relevant materials, file the cases for investigation and take compulsory measures against the persons responsible for the suspected crime on the basis of the preliminary investigation.

4. The trade unions and their dispatched personnel: to participate in the investigations and inquiries of the relevant persons, participate in collecting the accident related information, participate in the accident investigation and analysis, safeguard the legitimate rights and interests of the employees, propose suggestions for handling the persons responsible for the accidents propose accident prevention and rectification measures.

Article 16 (Organizational Norms for Self Investigation)

For the accident investigations that shall be organized by the accident units or the state-owned enterprises (groups) in accordance with these Provisions, their functional departments such as production safety, human resources and technology and the trade union shall participate in such investigations, and the investigation work shall be completed within 60 days after the accidents occurred. The process and results of the investigation shall be kept on file for reference for more than 3 years.

Chapter IV  Accident Investigation

Article 17 (Prejudgment)

After receiving accident information, the public security organs shall immediately rush to the scenes, protect the scenes, control the relevant persons in accordance with the law, and eliminate criminal cases. If the accidents are tentatively determined to be production safety accidents, the emergency management departments of the governments at the same level and other departments responsible for safety production supervision and management shall be notified.

Article 18 (Investigation, Appraisal, and Demonstration)

The accident investigation teams shall, in accordance with their responsibilities, conduct on-site investigations, discover, fix, and extract the evidences related to the accidents.

If technical appraisal is required in the accident investigation, the accident investigation teams shall entrust the units with national qualifications to conduct technical appraisal. If necessary, the accident investigation teams may directly organize experts for technical appraisal. The appraisal units and appraisers shall issue appraisal conclusions and be responsible for such conclusions.

Article 19 (Material Supply)

The accident units and the relevant units shall provide the following materials within the time limits specified by the accident investigation teams:

1. copies of business licenses, administrative licenses, and qualification certificates;

2. organizational structure and the relevant personnel qualification certificates;

3. safety production responsibility systems and the related management systems;

4. contracts related to the accidents, identification documents of casualties, and proof of labor relations;

5. equipment, process data, and safety operating procedures related to the accidents;

6. information of personnel safety education and training, as well as qualification certificates for special operation personnel;

7. explanation of the basic situations such as casualties and direct economic losses caused by the accidents;

8. schematic diagram of the accident sites; and

9. other materials related to the accidents.

If confirmation by the relevant departments or social institution is required for the above materials, the relevant departments or social institutions shall provide cooperation.

Article 20 (Investigation Report)

Each working group of the accident investigation teams shall, in accordance with their respective responsibilities, compile professional reports and sign for confirmation. The departments leading the accident investigation shall synthesize various professional reports and organize the writing of the accident investigation reports.

The accident investigation reports shall be discussed and signed by all the members of the accident investigation teams for confirmation, and submitted to the governments at the same level for approval by the departments leading the accident investigation. If the members of the accident investigation teams have different opinions, they may explain their opinions together with their signatures and submit them to the governments at the same level for decision.

For the ordinary accidents directly organized by the municipal emergency management department for investigation, the Municipal People’s Government shall authorize the municipal emergency management department to approve the accident investigation reports.

Article 21 (Supervision)

The Municipal Production Safety Commission shall supervise the relatively serious accidents that occurred within the administrative areas of this Municipality, the serious accidents not included in the supervision of the State Council Production Safety Commission, and other accidents with adverse social impacts. The Office of the Municipal Production Safety Commission is responsible for the specific supervision matters.

For the accidents under supervision, the accident investigation teams shall promptly report the accident investigation to the Office of the Municipal Production Safety Commission, and after the accident investigation reports are approved, make written reports to the Office of the Municipal Production Safety Commission.

Article 22 (Handling of None-production Safety Accidents)

For the accidents determined by the accident investigation teams as non-production safety accidents, the departments leading the accident investigation shall raise proposals and submit them to the governments at the same level for approval. If the relevant departments need to investigate the accidents, the accident investigation teams shall do a good job in the handover work.

Chapter V  Accident Handling

Article 23 (Handling)

The relevant departments shall, in accordance with the approvals of the accident investigation reports, deal with the units and the relevant persons responsible for the accidents, and urge them to implement the rectification measures.

Any illegal or disciplinary acts found during the accident investigation that are not directly related to the accidents shall be investigated and dealt with separately by the relevant departments.

Article 24 (Compensation)

If the accidents involve compensation for damages, laws and rules such as the Civil Code of the People's Republic of China and the Regulations on Industrial Injury Insurance shall apply.

If a party proposes mediation, it shall be handled in accordance with the People's Mediation Law of the People's Republic of China and other laws and rules.

Article 25 (Rectification)

The accident units and the relevant responsible units shall carefully learn from the lessons and implement corrective measures. The relevant departments and units shall, within 10 working days from the completion of the accident handling work, submit the implementation of the approvals to the departments leading the organization of the accident investigation.

Article 26 (Handling and Filing of Accident Investigation Organized by Units Themselves)

The production and business operation units shall complete the accident investigation organized by themselves within the specified time limits, and submit the accident investigation reports, investigation and handling, and implementation of rectification measures to the local town/township governments, sub-districts, industrial park management organizations, and the departments responsible for supervision and management of production safety within 10 working days after the completion of the accident investigation and handling according to the management authority.

Article 27 (Disclosure of Accident Investigation Reports)

The accident investigation reports shall be promptly disclosed to the public by the municipal and district people’s governments in accordance with the law, except for those that shall be kept confidential.

Article 28 (Proposal for Accident Prevention)

The accident investigation teams may, after approval of the investigation reports, issue accident prevention recommendations to the relevant departments or units for the common and typical problems discovered during the accident investigation process.

The accident prevention proposals may include suggestions for modifying local rules, regulations, and standards, or suggestions for organizing professional forces to conduct more in-depth follow-up technical investigations.

Article 29 (Statistical Analysis of Accidents)

The departments responsible for safety production supervision and management shall strengthen their accident statistics and analysis work. They may regularly conduct comprehensive or quantitative analysis of the various forms, related factors, and occurrence patterns of accidents via government procurement services, and raise suggestions and measures to prevent and reduce similar accidents.

Chapter VI  Supplementary Provisions

Article 30 (Interpretation and Definition of Terms)

The major hazardous accidents as mentioned in these Provisions refer to the following accidents that occur during production and business activities:

1. accidents involving 10 or more people at hazard, or causing 3 or more people to be trapped or missing;

2. accidents involving more than 500 emergency evacuation persons; or

3. accidents that endanger the safety of important places and facilities (such as power stations, important water conservancy facilities, hazardous chemical warehouses, oil and gas stations and stations, docks, ports, airports, and other densely populated places).

The serious injury accidents referred to in these Provisions shall be determined in accordance with the "Classification Standards for Enterprise Employee Casualty Accidents" (GB6441-86) and the "Standard for Lost Workdays Due to Accidents" (GB/T15499-1995).

The departments responsible for safety production supervision and management mentioned in these Provisions refer to the emergency management departments and the departments responsible for supervising and managing the safety production work of the industries (fields).

Article 31 (Accident Investigation Guidance Manual)

The Office of the Municipal Production Safety Commission shall prepare an accident investigation guidance manual to further clarify the implementation guidelines for accident reporting, investigation, and handling. Each district people’s government may refer to these Provisions and formulate implementation rules based on the actual situations of their respective administrative regions.

Article 32 (Implementation Date)

These Provisions shall be effective as of July 1, 2023.