1、Site and Pla nt Audit I0 Organization0 1SE Directives 安全環保導則0.2Responsibilities 職責0.3Objectives 目標0.4Permits 許可0.5Training 培訓0.6Inspections, audits 檢查 審計0.7Incidents 事件0.8Contractors 承包商0.1 SE Directives安全環保導則0.1.1 Corporate Policy 公司政策 是 否 不適用 檢查情況Are there any written documents available on the sa

2、fety and environmental policy with signature of the unit head (ISO 14001)?你們是否有負責人簽字的關于安全與環境方針方面的書面文件Are Responsible Care and Sustainable Development main elements of the corporate policy (ISO 14001)?責任關懷和可持續發展是否是公司政策的主要方面？0.1.2 Management Review 管理評審 是 否 不適用 檢查情況Are all important site- and plant-re

3、levant activities and required behavior regulated by procedures?是否有程序規定了與工廠和車間相關的所有重要活動和要求的行 Are the procedures approved by the corresponding site- or plant manager?程序是否由相應的裝置或工廠的經理批準？Have the employees been involved in the development of procedures for their work areas?員工是否參加了他們工作范圍程序的發展。Are proced

4、ures easily accessible to all employees?是否所有的員工能夠很容易的獲取程序Do you have an overview about the last revision dates of all procedures to ensure a regular review?你們是否有所有程序最終版本的日期清單以確保定期的進行評審Does the existing filing system of procedures guarantee that all documents can be found quickly (e.g. RC code struct

5、ure)?目前是否有程序文件歸檔以確保所有的文件能被快速找到 (例如 RC code 結構) ？Are Management Reviews performed annually to assess the site/plant compliance with all legal, BASF, site and plant regulations?是否每年都進行管理評審來評估工廠對法律法規、巴斯夫和工廠 規章制度的遵守情況。Are the following aspects regulated for the Management Review process:以下幾個方面是否在管理評審程序中

6、進行了規定# appointments are set up?規定了會議時間？111# participants are defined?明確了與會人員？# reports of the service departments and audit results are taken into consideration?部門的報告和審計報告是否管理評審時給以評審？# all RC codes are covered and the results are documented? 所有的RC code 都涵蓋了？評審結果是否進行了記錄？Is there an effective document

7、ation system in place to ensure that defined action items from all different sources are tracked through completion (e.g. Management Review, plant inspection, accident investigation):是否有有效的文件以確保跟蹤所有的確定的不同來源的行動項 目，直到其完成。# measures?措施# responsibilities?責任人# deadlines?期限# completion?完成確認Is ensured that

8、 a risk assessment is performed in case of non- compliance with a defined deadline before a new due date is fixed?一旦沒有在確定的期限完成，而新的期限沒有確定之前，是否確 保開展了一個風險評估項目Is also determined and documented, whether additional measures are required in case of non-compliance with a deadline?一旦沒有在期限能完成，是否要求了額外的措施，確定并且記

9、錄 0.2 Responsibilities職責0.2.1 Line responsibility線性職能 是 否 不適用 檢查情況Did you allocate the SE responsibilities to the line functions and is it displayed in an organizational chart?你們是否規定了線性職能(組織結構圖)中各層次的安全環保職責?Are the responsibilities and accountabilities documented for all employees and has each person

10、 confirmed the allocated duties by signature (e.g. function/job description)?是否有經過簽字確認的關于所有員工的職責和義務方面的文件(例 如轉崗通知，職責描述等)？Is the area of responsibilities for the plant manager specified in detail (e.g. building numbers, layout plan)?是否詳細定義裝置經理的負責區域(如建筑物編號、平面布置圖)Did you clearly define the responsibilit

11、ies between BASF and a Joint Venture partner?是否明確規定了巴斯夫和合資方的職責？Are service departments available for all RC-codes? 對于RC 條款，是否有對應的職能部門？Is the independence of the service departments ensured? 是否確保有獨立的職能部門？How many safety representatives are available on each shift? 每個班組有幾名安全代表？0.2.2 Compliance with du

12、ties合規性 是 否 不適用 檢查情況Do the responsible managers (e.g. plant manager) have the material, personnel and financial resources required?職能經理 (如車間經理) 是否有所需要的物料，人員及財務資How much time does the plant manager need to work on tasks which are not directly related to his plant responsibilities?車間經理需要多少時間完成與其車間無直接關

13、系的工作任務？0.2.3 Regulations for deputies代理制度 是 否 不適用 檢查情況Do you have clear deputy regulations?你們是否有明確的代理制度?Is there any written documentation on the responsibilities of the deputies for site/plant managers including accountabilities that can not be delegated?裝置經理的代理人職責是否有書面規定？包括不能被委派的責任111Do the deputi

14、es have sufficient plant know-how and do they receive the respective training?代理人是否有足夠的能力并接受過相關的培訓？0.3 Objectives目標0.3.1 Target agreement system目標管理體系 是 否 不適用 檢查情況Is a target agreement system implemented as a management tool?目標管理是否作為管理工具？W hat kind of targets are defined to improve safety and enviro

15、nmental protection (ISO 14001)?制定了哪些目標來改進安全和環境保護?Are the site targets cascaded down to plant and/or personal targets?工廠目標是否細分到部門/個人？Are specific programs defined to achieve the targets (ISO 14001):# measures?措施# time frame?時間段# responsibilities?責任人Did you document the target agreements and the measu

16、res in writing (ISO 14001)?是否有書面的目標協議和措施？How do you check and evaluate the achievement of the targets (ISO 14001)?如何檢查和評價目標的達成？0.3.2 ISO 14001 certification體系證書 是 否 不適用 檢查情況Is there an overview about all activities with possible impact on the environment?是否有潛在環境影響活動的清單 (環境因素一覽表) ？Were all possible i

17、mpacts on the environment considered for each activity?是否每一個活動都考慮了可能的環境影響？111Was the relevance of these impacts on the environment evaluated (without consideration of existing protective measures)?這些環境影響是否進行了評估？ (不考慮目前采取的保護措施)W hich protective measures have already been implemented? 已經采取了哪些保護措施？Is t

18、here an evaluation, whether these protective measures are sufficient?這些保護措施的充分性是否被評估過？Were additional measures defined and are these measures implemented systematically?是否采取了補充措施？0.4 Permits許可0.4.1 Permit documents許可文件 是 否 不適用 檢查情況Are the plants subject to the Seveso II Directive or another major ha

19、zard regulation?車間受歐共體薩維索有毒有害物質管理指令或其它重大危險源法 規要求的約束嗎?W hat kind of requirements do you have to comply with based on this regulation?你們應遵守哪類要求?Do you have an overview about all permits?你們有包括所有批文的一覽表嗎?Does this overview include:此一覽表包括# date of the permits?批準日期# limitations in the application for the p

20、ermits (e.g. substances, volumes, process parameters)?申請批文的項目范圍限制 (如物質，體積，工藝參數)# maximum quantities of handled/stored substances/waste? 物資/廢棄物最大處置/儲存量?# emissions/monitoring requirements?排放/監測要求# period of validity?有效期？Are the permit documents complete regarding each: 批文是否完整111# production plant?生產車

21、間# tank farm/warehouse/intermediate waste storage facility? 槽區/倉庫/中間廢物儲存設施# loading/unloading station?裝卸區# other buildings?其他建筑物0.4.2 Permit implementation許可執行情況 是 否 不適用 檢查情況Do you ensure that all activities of the plants are in compliance with laws and permits?是否確保工廠的所有活動都符合相應的法規和批文要求？Do you regula

22、rly check compliance with the permits? 是否定期檢查工廠的法規符合性？是 否 不適用檢是 否 不適用檢查情況0.5.1 Qualification培訓資質How is it ensured that qualified personnel is chosen and deployed for all functions?如何確保為不同的崗位選擇有資質的人員？是 否 不適用檢查情況0是 否 不適用檢查情況Do you have a formal initial SE training program for new employees on the firs

23、t days before starting work?第一天，新員工是否在開始工作之前接受安全與環境培訓方案?Does the initial training focus only on essential information and cover the following topics:入職培訓知否包含以下內容# no activities without operational procedures or permit forms? 沒有操作程序和許可不允許作業# hazardous substances?危險物質# personal protective equipment?個人

24、勞防用品# eating, drinking, smoking?飲食與吸煙？# reporting accidents/illness?事故/生病的報告程序？# prohibition to use forklifts without training/drivers license? 沒經過培訓、沒有叉車駕駛證不允許使用叉車# First Aiders?急救# safety equipment such as safety showers, fire extinguishers, etc.?安全設施，如洗眼器，滅火器，等？111# alarm plan, escape route, asse

25、mbly point?報警方案，逃生路線，緊急集合點Are the topics of the initial training documented?新員工培訓的課題是否文件化？Do you confirm the attendance of the initial training by signature?How do you check whether the training was successful? 如何檢查入職培訓的有效性？是 否 不適用檢查情況0是 否 不適用檢查情況Is there a systematic, job-specific training at the n

26、ew workplace (mentor system, training program)?是否對新工作場所有崗位培訓計劃 (師徒制度)Is the mentor/training supervisor appointed in writing? 有書面規定的師父任命？Are training sections defined?培訓范圍明確？Is the training documented for each section and signed by mentor/training supervisor and employee?師徒制度培訓的每一項內容是否簽字并存檔？Is the en

27、d of the mentorship/training program documented with signature of the superior?師徒培訓結束是否有上級領導的書面確認？0.5.4 Regular training法規培訓是 否 不適用檢查情況Is the regular training of employees regulated in writing? 你們是否書面規定員工定期的復訓？Are required training topics and frequencies defined in writing? 對于必須的復訓是否書面明確培訓內容和頻率？Is a

28、ll training documented for each employee individually? 是否為每一位員工復訓內容存檔了？How often do you conduct SE-training?安全環境復訓多長時間一次？W ho conducts the training?何人進行復訓？Do you keep attendance lists with prepopulated names? 是否保存事先預計參加人員名字的名單？Does each participant confirm his attendance by signature? 每位出席者都在名單上簽字確認

29、出席了嗎?Are the training topics documented?復訓的話題是否存檔？Do you make sure that employees, who could not participate, will receive the training afterwards?是否能確保那些沒有按時參加復訓的人員隨后能補上？Do the employees receive training at least once a year about: 關于以下內容員工是否至少每年接受一次培訓？# hazardous substances?有害物質# wearing of Person

30、al Protective Equipment?穿戴個人防護設備？# behavior in case of emergency?發生突發事件時的行為？Do you train your employees on measures required in case of malfunctions:你是否培訓員工一旦發生故障時要采取的措施？# failure of the digital control system/screens?DCS系統失效# lack of energy?能源的缺乏# malfunctions regarding waste gas/waste water?廢氣/廢水凈

31、化設施失靈?Do non-plant employees (e.g. craftsmen, contractor personnel) attend the training?非車間人員也參加復訓？是 否 不適用檢查情況0是 否 不適用檢查情況How often do you conduct short talks (brainstorming with input from the employees)?多長時間開一次說明會W ho conducts the short talks?誰開展說明會？Do you keep minutes of the short talks?是否書面記錄？0.

32、5.6 Advanced training高級培訓 是 否 不適用 檢查情況Are advanced training plans prepared for the employees? 員工是否有高級培訓計劃？Is the level of education documented for each employee? 每名員工教育程度是否存檔0.6 Inspections, audits檢查 審計0.6.1 Internal inspections內部檢查 是 否 不適用 檢查情況Do you conduct internal SE-audits?你們是否進行內部審核Are the aud

33、itors trained appropriately?審核人員是否經過了適當的培訓Is the independence of the auditors ensured?審核人員的獨立性是否確保Are the results documented?是否記錄結果Is the timely implementation of RC Audit recommendations monitored by independent EHS experts (operational control)? RC 檢查所提出的整改建議項是否由獨立的EHS 專家 (運營控 制) 監督按照要求的時限完成？Are t

34、he results of RC audits of other units communicated in writing, checked on relevance and considered accordingly (operational control)?對其他部門的RC 審核結果是否書面交流，檢查和考慮相關的內 容 (運營控制) ？0.6.2 Plant inspections裝置檢查 是 否 不適用 檢查情況Does the SE management system require plant inspections? 管理體系中是否要求進行車間檢查？Are plant ins

35、pections prescribed by a procedure?是否有車間檢查規定的程序Do you inspect each part of the plant at least twice a year? 是否至少每年倆次檢查工廠的每個部分？W ho is involved in the inspections on a regular basis/from time to time?哪些部門不定期參與車間的檢查Do you document the results of the inspections?是否記錄檢查結果?是 否 不適用檢查情況0是 否 不適用檢查情況111Do ex

36、ternal competence centers and insurance companies conduct any audits?外部部門或保險公司是否來進行審核?0.6.4 SE-committees安全環保委員會 是 否 不適用 檢查情況W hat kinds of SE-committees exist on site/plant level? 有哪些安全/環保委員會，公司級/車間級W ho attends the committee meetings?哪些人員參加會議？How often do the committee members meet?多長時間開一次會議0.7 In

37、cidents事件0.7.1 Number of incidents事件數量 是 否 不適用 檢查情況Are reporting procedures established in writing regarding accidents and other incidents?是否建立了事故報告程序0.7.2 Investigation of incidents事件調查 是 否 不適用 檢查情況Is the investigating of incidents regulated?規定了事故調查程序？W ho is in charge of the investigations?誰負責調查？Do you investigate all incidents, including:你們調查所有的事件嗎?包括111# accidents involving personal injury?員工受傷事故:# emissions affecting the environment?影響環境的排放# damage to property?財產損失# plant disruptions (e.g. activation of SIL 2-3, safety valves)? 生產中斷# not reportable minor incidents?不必報告的小事件# near