组织风险与机遇管理办法Risk-and-Opportunity-Management-of-Organization-Environment

1、Printed documents and electronic documents opened from unauthorized media becomes uncontrolled.This WI is strictly confidential and may only be used for Kiekert purposes. Any unauthorized transfer to third parties is strictly prohibitedWI-CN-12-066组织环境风险和机遇管理办法Risk and Opportunity Management of Orga

2、nization EnvironmentBasic Information为满足理解组织及其环境的要求，确定与本公司目标和战略方向相关并影响实现环境管理体系预期结果的各种内部和外部因素，确定与本公司环境管理体系有关的相关方的需求和期望，并对其风险和机遇进行有效控制，以保证公司环境管理体系的策划能实现预期的结果。To understand the requirment of orgnization and environment, confirming all the internal and external aspects that are related to the objective

3、and strategy and that affect to achieve the intended outcomes of environmental management system, confirming the requirement and intended of the interested party that related to our environmental management system, control the risk and opportunity effectively, in order to achieve the intended outcom

4、es of the planning of environment management system.Affected Organizations所有部门 all departments1. 定义：Definition1.1 组织 organization为实现其目标而具有其自身职能及职责、权限和相互关系的个人或一组人。 Person or group of people that has its own functions with responsibilities,authorities and relationships to achieve its objectives.1.2 组织

5、的环境 context of the organization与组织宗旨相关并影响其实现环境管理体系预期结果的能力的外部和内部问题。External and internal issues that are relevant to our purpose and that affect to achieve the intended outcomes of the environmental management system.1.3 风险 risk不确定性的影响。Effect of uncertainty.1.4 风险与机遇 risk and opportunity潜在的不利影响（威胁）和潜

6、在的有利影响（机遇）。Potential adverse effects (threats) and potential beneficial effects (opportunities)1.5可控环境相关方controlled interested party能够对其环境行为进行控制的相关方Interested party that is able to control its environmental behaviour1.6可施加影响环境相关方influenced interested party能够对其行为加以影响的相关方Interested party that is able

7、to effect its environmental behaviour.2. 职责：Repsonsibility 2.1质量部：负责建立风险和机遇应对的控制管理办法并进行维护。组织各部门对组织环境及相关方需求与期望的识别与评估并对识出的风险与机遇确定应对方案。负责监督风险和机遇评估中所采取措施的完成情况并跟进落实措施的有效性。QA: responsible for establishing and maintaining the procedure of Risk and Opportunity Management of Organization Environment. Organiz

8、ing all departments to identify the needs and expectations of interested parties, evaluate the risks and opportunities and define the control plan of the risks. Responsible for monitoring the performance of the control method for risks and follow up the effectiveness.2.2 制造工程部：负责政府，周边居民与周边厂商的环境方面需求与

9、期望的满足。ME: responsible for satisfying the environmental needs and expectations of goverment, nearby residents and nearby plants. 2.3 人事部：负责公司员工的环境方面需求与期望的满足。HR: responsible for satisfying the environmental needs and expectations of employees.2.4采购部：负责供应商环境需求与期望的满足。PU: responsible for satifying the en

10、vironmental needs and expectations of suppliers.2.5 研发部：负责客户及产品相关的法律法规及环境方面需求与期望的满足。PD: reponsible for satisfying the environmental needs and expectations of customers, and the products related laws and regulations.2.6 其他部门: 负责识别与本部门有关的风险与机遇。Others: responsible for identifying the risks and opportun

11、ities related to their departments.2.7 管理层 management：1） 积极参与组织环境及风险和机遇的识别、评价及并制定相应的措施以规避或者降低风险并落实执行。Actively take part in identifying, evaluating the environmental risks and opportunities, define measures to avoid or reduce the risk and implement effectively. 2） 涉及到重要环境因素、合规义务、组织环境及相关方需求变更的信息应及时评估其

12、风险与机遇。Evaluate risk and opportunity timely when the information of critical environmental aspect, compliance obligations and requirement of context and interested party is changed.2.8 总经理 General manager：2.8.1负责对于股东的环境方面需求与期望的满足Responsible for satisfying the environmental needs and expectations of s

13、hareholder.2.8.2确认组织所处的环境的风险和机遇。Confirm the risks and opportunities list of the organazation context.2.8.3负责风险管理所需资源的提供，包括人员资格、必要的培训、信息获取等。负责风险可接受准则方针的确定，并按制定的评审周期保持对风险和机遇管理的评审。Responsible for providing resource of risks management, including personnel qualification, necessary training, information

14、gain etc., confirming the acceptable risk criterion, and review the risks and opportunities in annual EMS management review meeting.3. 内容：Contents: 3.1 组织所处的环境识别与评估 Understanding the organization and its context 3.1.1质量部负责每年一次组织环境评审小组对公司内外部环境进行风险和机遇分析，并将评估结果记录于组织环境评估表 （FRM-CN-12-073）。QA is responsib

15、le for organizing the environmental review team annually to identify and evaluate the risks and opportunities of internal and external issues, the results should be recorded in the evaluation sheet of organization environment（RM-CN-12-073）.这些内外部环境包括但不限于：This internal and external issues include but

16、not limited to:1）与组织环境相关的气候，空气质量，水质量，土地使用，现存污染，可用的自然资源，生物多样性等相关的环境状况，这些环境状况不仅可影响组织的方针，还可被其环境因素所影响；The organization related environmental conditions, including air, water, land, existing pollution, natural resources, biological diversity etc. Such issues are affected by the organization or capable of

17、 affecting the environmental aspects of organization. 2）外部环境包括国际、国内、地区和当地的各种法律法规、技术、竞争、市场、文化、社会和经济因素等；External issues including the various kind of laws, technology, competition, market, culture, society and economic aspects etc.3）组织的内部特征或条件，例如其活动、产品和服务、战略方向、文化和能力（如人员，知识，过程，体系）。Internal issues inclu

18、ding the activities, products, services and the strategy of the organization, the culture and abilities (person, knowledge, process, system).3.1.2 如遇到内外部环境发生如下变化时，相关单位应及时将变更信息告知质量部，质量部需组织相关单位重新对组织环境进行评估。When internal and external issue changes, the related department should inform QA, QA need to org

19、anize related department to reevaluate the organizations context.1） 外界法律法规发生重大变化Significant change of external laws and regulations2） 经济环境发生重大变化Significant change of economic condition3） 企业内部产品发生重大变化Significant change of internal product4） 组织机构发生重大变化Significant change of organization structure5） 相关方

20、需求与期望发生明显变化等情况时Obvious change of requirement and intended of interested party3.2 相关方需求与期望管理Needs and expectations of interested parties 3.2.1 按相关方与公司紧密程度分为可控相关方和可施加影响相关方两类.According to compact degree with plant, the interested parties can divide to controllable and capable be affected interested par

21、ties.可控环境相关方controllable interested parties可施加影响环境相关方 Capable be affected interested parties1） 工程承包方与各类供应商；Engineering contractors and suppliers2) 机械、电器设备的维修、保养承包方；Maintenance contractors of machine, electrical3) 建筑施工方；Construction of the building4) 运输物流公司Transport logistic company5) 保安/保洁 security

22、and sanitary6）餐厅 restaurant7) 垃圾清运 garbage collection8) 消防系统监测公司Fire protection system monitor company9) 员工 employees10）班车 regular bus1）政府部门 government department2）客户 customer3）附近居民 nearby resident4）股东 shareholder5）周边厂商 Peripheral manufacturer3.2.2 由职责部门负责定期收集相关方的需求，收集方式如：电话、拜访、调查表等信息收集渠道，将识别，评估结果登记

23、在相关方需求调查表 (FRM-CN-12-072)上，提交质量部进行汇总整理，有：Responsibility department is responsible for collecting requirement from interested party regularly, collecting method as phone, visit and questionnaire etc., Record the evaluation result in the interested party requirement questionnaire (FRM-CN-12-072), and

24、submit to QA to summary and arrangement职责部门responsible department相关方环境需求信息来源Requirement information from interested party采购部 PU原材料及辅料等提供外部服务的供应商的需求与期望 Requirement and intended of raw and accessory material supplier and outsource supplier人力资源部 HR每年对于保安,保洁等相关方环境需求与期望的调查Research of requirement and inte

25、nded of interested party of security and sanitary 定期对于员工环境需求与期望的调查Regularly survey the needs and exception of employee制造工程部ME工程承包方、建筑施工方、与生产运营相关的设备维修保养相关方的环境管理Environment management of engineering contractors, construction of the building, maintenance contractors related to machine of production 附近居

26、民、周边厂商及当地政府机关对公司环境方面的需求与期望Requirement and intended of environment of nearby resident, Peripheral manufacturer, government department研发部PD每年一次收集客户对于公司产品环境管理方面需求与期望Needs and exception of product from customer once per year 总经办GMO负责班车、餐厅相关方的环境方面需求与期望Needs and expectation of shuttle bus and staff cantee

27、n负责收集股东的环境方面需求与期望Needs and expectation of of environment of shareholder物流部LG物流公司及可回收废弃物供应商的环境方面需求与期望Needs and expectation of environment of logistic company and waste recycling supplier销售部SL收集潜在客户及新客户对于公司环境管理以及环境体系方面需求与期望Collecte the needs and expectation of environment management and system from po

28、tential and new customer 质量部QA收集客户针对驻场工作人员的环境管理要求Collecte the needs and expectation requirement of on-site staff from customer收集量产客户对于公司环境管理及环境体系方面需求与期望Collection of environment management and system requirement and intended from mass production customer各部门ALL本部门有关的相关方环境方面需求与期望Requirement and intend

29、ed of environment from interested party that related to self deparment3.2.3 质量部每年组织一次全面的相关方期望或要求的识别与评审。职责部门在获得内外部环境因素信息变化时，应及时告知质量部由其对相关方需求调查表 (FRM-CN-12-072)进行修订，质量部应组织相关部门重新对相关需求与期望进行评估。 QA is responsible for organizing an overall aspect and review of requirement and intended of interested party o

30、nce per year. When responsible department acquire change information of internal and external environment, QA should be informed to revise “interested party requirement questionnaire” (FRM-CN-12-072), then organize related department revaluate requirement and intended.3.3 环境因素管理 Environmental aspect

31、s management 3.3.1部门根据其活动、产品或服务中所承担的职能对环境因素进行识别，并填写环境因素识别和评价记录表（FRM-CN-12-050）并汇总于质量部。 Each dept. need identify the environmental aspects basis on the activities, product and function undertaken in service, and fill “environmental aspect identification and evaluation record form（FRM-CN-12-050）, inco

32、lluded environmental impact and submit it to QA for collection.3.3.2总经理负责成立由质量部为主导的环境评价小组，每年管理评审前组织各单位对环境因素进行评审，对环境因素变化状态进行评审，具体作业步骤参见环境因素识别与评价管理程序(WI-CN-12-050)。General manager is responsible for establishing environment evaluation group leading by QA to review environmental aspect before managemen

33、t review every year, review changes of environment aspect, specfic work step as “environmental aspect identification and evaluation record form（FRM-CN-12-050）.3.4 合规义务管理Compliance Evaluation3.4.1总经理负责成立由质量部为主导的环境评价小组，公司每年至少进行一次适用的法律法规和其它要求的遵守情况评价。 General manager is responsible for establishing envi

34、ronment evaluation group leading by QA, the company should do the evaluation with the laws and regulations and other requirements once a year at least. 3.4.2评价结束后由质量部负责编制适用法律法规和其它要求的遵守情况的合规性评价报告；具体提操作步骤参见合规性评价控制程序（WI-CN-12-056） Ater evaluation, QA is reponsible for creating Compliance evaluation rep

35、ort which is applied to the law and regulations and other requirements applicable to the evaluation.The detail process can be follow Evaluation of Compliance procedure (WI-CN-12-056).3.5 应对风险和机遇的管理Management of replying risks and opportunities3.5.1在策划质量管理体系时，质量部每年一次组织相关单位成立“风险与机遇评估小组”，评估小组将基于组织环境评价结

36、果（组织环境评价表 FRM-CN-12-073）、相关方需求与期望的调查结果（相关方需求调查表FRM-CN-072）、环境因素识别结果（环境因素和识别评价记录表 FRM-CN-12-050）、合规性评价评估结果（合规性评价报告）及日常管理现状所识别出的问题进行风险与机遇的识别。When planning quality management system, QA need to organize related department once per year to establish group of risk and opportunity group, valuate group wil

37、l valuate outcomes base on organizational environment and identify risk and opportunity of daily management. “valuation of organization environment ”（RM-CN-12-073）, “interested party requirement questionnaire” (FRM-CN-12-072), environmental aspect identification and evaluation record form（FRM-CN-12-

38、050）, “ compliance evaluation report“（WI-CN-12-056）and the problem which be occurred in daily operation.3.5.2针对所识别的风险和机遇，风险与机遇评估小组将从风险发生严重度及发生频度两方面进行风险等级评估 （风险等级/风险系数）=严重等级*发生频率)；从而确定应对这些风险的措施。Risk and opportunity valuate group will valuate risk degree from severity and occurrence (risk degree=sever

39、ity*occurrence), and confirm the solutions.3.5.2.1风险严重等级评价准则：valuation of risk severity degree严重程度Severity描述description等级Degree法律法规、产品及其他要求laws and regulations, product and other requirements企业形象company image严重Critical违反法律法规、国际/国家标准violate laws and regulations, international and national standard 违反

40、客户标准、地区标准violate customer and regional standard违反省内标准、行业标准violate province and industry standard相关方重大投诉serious complaint of interested party地区性影响Regional impact3一般Ordinary违反企业标准violate company standard相关方满意度降低reduction of interested party satisfaction企业及周边范围Company and its around range2轻微slight对于企业标

41、准有轻微背离sight deviation with company standard不影响no affect1严重度判定过程中，当多个因素的判定其严重程度不一致时，应遵循从严原则进行判定，即当多个因 素中仅其中一个或部分因素其严重度级别更高时，依据严重级别高的因素作为风险严重度进行判定。根据上表内容确定风险的严重度后，将严重等级数字填入EMS体系风险和机遇评估分析及措施表（FRM-CN-12-078）中.When some aspects nonconformity with security during valuating, we should follow strictly princ

42、ipal, that when only one or part of those aspects which severity is higher, valuating risk according to the highest aspect. Confirm risk severity according to above table, and fill the degree number in”EMS Risks and opportunities list”（FRM-CN-12-078）3.5.2.2风险发生频率评价准则：valuate criterion of risk occurr

43、ence 发生频度Occurrence定义Definition等级Degree极少发生rarely连续5年未发生Not occurred five years1偶尔发生occasional连续2年内未发生Not occurred two years2经常发生frequently1年内不超过2次Occurred less than twice one year3发生频度判定过程中，当一个或多个因素在判定过程中其发生频度不一致时，应遵循从严原则进行判定，即当多个因素中仅其中一个或部分因素其发生较为频繁时，依据发生频率较高的因素作为风险发生度进行判定。根据上表内容确定风险的发生度后，将发生等级数字填

44、入EMS体系风险和机遇评估分析及措施表（FRM-CN-12-078）。When some aspects nonconformity with occurrence during valuating, we should follow strictly principal, that when only one or part of those aspects which occurrence is higher, valuating risk according to the highest aspect. Confirm risk occurrence according to above

45、 table, and fill degree number in ”analysis and measure for risk and opportunity of EMS system”（FRM-CN-12-078）3.5.2.3 不同风险等级应对措施准则：solution of risk degree当严重度为3是直接判定为高风险， 其余情况依照以下标准。When severity is 3, direct determination for high risk, other condition according to below 风险系数Risk number风险等级Risk deg

46、ree风险措施Risk solution6-9高风险high应立即采取改善措施规避或降低风险need to take corrective actions to reduce the risk immediately2-4一般风险middle需采取运行控制措施降低风险need to take operational control actions to reduce risk0-1低风险low风险较低,接受风险 risk is low, accept风险的应对方式应根据实际情况进行筛选，当评价为高风险时，由质量部将其整理为EMS体系高风险清单（FRM-CN-12-081）并应依据环境目标、指标

47、和方案管理程序（WI-CN-12-052）制订目标、指标及管理方案以降低风险。当潜在的风险可有效的采取规避措施进行规避风险时，应制定风险规避方案，确认风险规避措施并予以执行，直至部分消除或完全消除风险。Solution of risk should be filter according to fact, when valuate as high risk, QA trim it as “EMS system high risk list” (FRM-CN-12-081), and set objective, target and management to reduce risk acco

48、rding to “environment target and plan management” (WI-CN-12-052). When potential risk can be avoid by take effective measure, risk avoid program should be made, confirm risk avoid measure and carry out, until risk is partly or completely removed.当尚无可行方案进行规避风险时,应采取有效的风险降低措施，降低潜在风险所带来的影响。If no plan to

49、 avoid risk, risk reduction action should be taken, reduce affect of potential risk.3.5.3风险评估实施部门应根据不同的风险等级制定详细有效的措施并予以执行，在制定措施时，应考虑以下内容：Risk valuate dept. should make measures and carry out according to different risk degree, below should be considered when make measures.a. 制定的措施应是在现有条件下可执行和可落实的；Me

50、asures are able to be carried out and workable in existing condition.b. 制定的措施应落实到个人，每个人应完成的内容应得到明确；Measure should be target to people, the content who need to complete should be clear.c. 应指派一名负责人为措施的执行进度和效果进行跟进，确保采取的措施被有效的落实。Responsible person should be appointed to follow perform schedule and resul

51、t, ensure measures are performed effectively.3.5.4风险和机遇定期评审regular review of risk and opportunity3.5.4.1 质量部将每年至少实施一次风险和机遇评审，以验证其有效性。QA should perform risk and opportunity review at least once a year to verify its effectiveness.3.5.4.2当出现以下情况时，应重新进行风险和风险评审：Risks and opportunities should be reviewed

52、when below condition occurred:a. 与环境管理体系有关的法律、法规、标准及其他相关方要求有变化时；When laws, regulars, standard, and other requirement of interested party related to environment have changed b. 组织产品、工艺发生重大调整时；Significant adjusted product and craft c. 发生重大环境事故或相关方投诉连续发生时；d. Significant environmental accident occurred

53、or continuous complaint occurred e. 外部审核发现重大问题（严重不符合）时；Significant issue discovered in external audit f. 组织机构发生重大变化Significant changed of the organization g. 经济环境发生重大变化Significant changed of economic environment h. 相关方需求与期望发生明显变化等情况时Significant changed requirement and intended of interested party i.

54、 环境因素发生重大变化时Significant change of environment aspectg. 其他情况需要时。Other conditions if need 3.5.4.3 风险和机遇的评审应包含以下方面的内容：Risk and opportunity review should contain below contentsa. 风险和机遇的识别是否有效且完善；Identification of risk and opportunity is effective and complete or not. b. 风险应对措施的完成情况和进度；Performance and schedule of solutions of risk c. 对产品和服务的符合性和顾客满意度的潜在影响。Pot