变更管理程序

Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage1of11ProcedureforManagementofChange变更管理程序Rev.PublishedbyReviewedbyApprovedbyAmendatoryRemarksDateThelatestchangesweremarkedinlightblueinthecontents.Signedcopyarchivedbydocumentcontroller

Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage2of11目录1.目的2.范围3.定义4.责任5.程序目录1.目的2.范围3.定义4.责任5.程序5.1变更申请5.2可行性和风险评估5.3变更批准5.4运行投用前审核5.5批准运行5.6告知/沟通5.7信息更新&文件保存5.8特殊变更5.9培训和审核6.附件附件1：基于风险的变更分级与授权矩阵TableofContentsScope 3\o"CurrentDocument"Definitions 3Responsibility 4Procedure 5\o"CurrentDocument"Requestforchange 5\o"CurrentDocument"Operability&riskassessment 5\o"CurrentDocument"Approvalofchange 6\o"CurrentDocument"Pre-startupreview 6\o"CurrentDocument"Approvalofstartup 7\o"CurrentDocument"Notification/Communication 7\o"CurrentDocument"Informationupdate&documentation 7SpecialMOCs 7\o"CurrentDocument"Training&audit 9Attachment 9附件2：《变更申请表》附件3附件2：《变更申请表》附件3：变更管理流程图10Attachment2:<RequestforChangeForm> 11Attachment3:MOCFlowchart 12Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage3of11目的建立本程序的目的是管理和控制可能影响到安全、健康和环境的有关设备、设施、程序以及组织机构的变更，并将变更带来的风险最小化。范围本程序适用于赢创三征（营口）精细化工有限公司。定义变更：指任何在工艺或设施上发生的与已有规范或实际的偏离，包括增加，减少，修改和替换（同类替换除外）。变更的对象可以是工艺技术、控制系统、设备设施、人员组织以及程序规定。同类替换：指不超出既定设计规格/控制范围的有关设备或程序的变化。包括以相同或等同的设备及零件进行替换，以及在系统试运转或测试时进行的在操作规程规定范围内的修改等。同类替换不在变更管理程序的控制范围内。变更分类（基于风险的分类）：按照变更所对应的风险等级的高低，可将变更分为较小变更、中等变更和重大变更。具体的划分标准参见附件1。临时变更：指预先设定的只将短期（6个月内）存在的变更。紧急变更：当执行常规变更管理程序可能导致不可接受的安全风险，环境或安保事故或严重经济损失的变更。变更管理协调人:负责所在区域内变更管理相关事宜执行的协调人员，他将负责确保实际变更管理执行与程序的符合性和完整性。1.ObjectiveThisprocedureisestablishedformanagingandcontrollingchangesmadetoequipment,facilities,proceduresandorganizationalstructureisessentialtothesafety,healthandenvironmentatfacilitiestominimizerisksassociatedwiththosechanges.2.ScopeThisProcedureisapplicabletotheEvonikSanzheng(Yingkou)FineChemicalCo.,Ltd3DefinitionChangeisconsideredadeviationfromthespecificationsorpracticesasspecifiedfortheprocessorfacilitywhichmayincludeaddition,deletion,alteration,orreplacement(exceptforreplacement-in-kind).Thechangingobjectsmayincludeprocess/technology,controllingsystem,equipment/facility,personnel/organizationandprocedure.Replacement-in-kind(RIK)istheequipmentandproceduralalterationthatdonotvaryfromthedocumenteddesignspecificationswhichincludeidenticalequipmentandsparepartsreplacement,andmodificationforcompletingtrialsortestsofequipmentwithinthedefinedoperatingprocedures.RIKisnotsubjecttoMOCprocedures.ClassificationofChange(Riskbasis):Basedonthedifferentlevelsofrisk,thechangescanbedividedintotheMinorChange,ModerateChangeandMajorChange.ReferthecriteriaofclassificationtoAttachment1.TemporaryChangeisachangethatisintendedtoexistforashort,predetermined,finiteperiod(within6months).EmergencyChangeisachangeneededinasituationwherethetimerequiredforfollowingthenormalMOCprocedurecouldresultinanunacceptablesafetyhazard,asignificantenvironmentalorsecurityincident,oranextremeeconomicloss.ManagementofChange(MOC)CoordinatorisapersontocoordinateactivitiesassociatedwiththeMOCwithintheresponsibleareaandensurecomplianceandintegritywiththeMOCprocedurethroughitsimplementation.

Procedure/程序FileNo.SH-ESHQ-3.10Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage4of11变更申请人：最初提出变更需求的人，他将提出书面的申请并提供相关信息和资料。变更批准人：指批准变更实施以及系统运行的人，将由对应不同风险等级的变更分类（依据附件1划分）决定批准人的角色，如：—较小变更f区域主管中等变更f工厂/部门经理重大变更f生产/部门主任变更批准人与变更审核人通常情况下由不同的人员担任。责任变更管理协调人负责组织协调变更管理流程的执行确保落实相关变更管理程序要求保存并维护负责区域内所有变更管理的相关文件和记录变更申请人提出变更的书面申请，明确变更的初始信息，如变更范围、对象和类型等，并且提供变更相关的支持文件和资料判断变更的分类确保变更执行后，及时更新关联的信息和文档确保将已更新的相关信息及时传达给所有涉及的部门和人员ChangeOriginatorisapersonwhoraisestheideaforachangeinitiallyandsubmitsthewrittenrequestforchangeandprovidesrelatedinformation&documentation.ChangeReviewerisaperson(orateam)whoreviewstheproposedchangebyevaluatingtheoperabilityandriskandalsoprovidesrelevantamendmentrequiredforchangeImplementationifnecessary.ChangeAuthorizerisapersonwhogivestheapprovalofimplementingthechangeandstartup,fulfilledwiththerolethatdependsondifferentlevelofchanges(accordingtoattachment1),forexample,MinorChangefAreaSupervisorModerateChangefPlant/Dept.ManagerMajorChangefProduction/Dept.DirectorNormallyAuthorizerandRevieweraretakenbydifferentpeople.ResponsibilityMOCCoordinatorResponsibleforcoordinatingtheMOCprocessrelatedfairswithintheplant.—EnsuretherequirementsofMOCprocedurehavebeenfulfilled.—KeepandmaintainalldocumentationandrecordassociatedwithMOCinhis/herresponsiblearea.ChangeOriginator—Raisethewrittenrequestforchangeandclearlydefinetheinitialinformatione.g.scope,objectandclassificationofthechangeetc.andalsoprovidesupportingdocumentsanddataassociatedwiththechange.—Classifythechange.—Ensuretimelyupdatechangerelatedinformationanddocumentsafterchangeimplementation.—Ensuretheupdatedinformationistimelycommunicatedtoalldepartmentandpersonnelinvolved.变更审核人变更审核人ChangeReviewer确保变更的可行性和风险已得到适当评估，并且已制定了相关应对和控制措施跟踪并确认所有既定措施已落实到位—Ensurethatoperabilityandriskofthechangehavebeenproperlyevaluatedandrelevantcontrolmeasureshavebeenestablished.—Followupandverifyallwrittencontrolmeasureshavebeencarriedout.

Procedure/程序Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage5of11变更批准人－批准已变更系统的投入运行区域负责人－确保在所辖范围内遵照变更管理程序执行－确保参与变更管理的人员经过适当的培训EHSQ部门－负责参与变更相关ESH风险评估和审核－负责维护、更新及发布变更管理程序－提供变更管理程序的相关培训－组织对变更管理程序执行情况的审计程序变更申请－变更申请人首先应判断是否属于变更管理程序的控制范畴，如果属于同类替换的，则无需按照变更管理程序执行。－变更申请人应清楚写明变更初始内容，至少包括变更理由、预期结果、相关技术设计以及工作范围，并且还应提供相关文件、资料和图表等辅助信息。－变更申请人应识别变更的类型，附件1中的《基于风险的变更分类指南》将作为依据。当对变更分类存在疑问时，可就具体情况咨询风险评估组/审核人确定。－变更申请人将填写《变更申请表》（参见附件2），将填好的表格递交给相关变更管理协调人。ChangeAuthorizer－Decidetofinalapprovetheimplementationofthechangebasedontheoutcomeofassessment.－Approvethechangedsystemtoberunning.AreaResponsible－EnsurecompliancewithMOCprocedurewithintheresponsiblearea.－EnsurepropertrainedandqualifiedpeoplefulfilltherolesinMOC.EHSQDepartment－ParticipateinMOCrelatedESHriskassessmentandreview.－Maintain,updateandreleasetheMOCprocedure.－ProvideMOCprocedurerelatedtraining.－ArrangetheauditforimplementationofMOC.ProcedureRequestforChange－ThechangeoriginatorshallfirstmakethejudgmentofwhethertheappliedprocedurebelongtothescopeofMOC,ifitisaRIK,MOCprocedurewillnotbefollowed.－Thechangeoriginatorshallclearlydefinetheinitialinformationofthechange,whichshallatleastincludereasonofchange,desiredresults,technicaldesignandworkscope,andallsupportingdocuments,dataanddiagramshallbeprovidedaswell.－Thechangeoriginatorshallidentifytheclassificationofthechangewithtakingthe<RiskBasedChangeClassificationGuideline>inAttachment1,andtheriskassessmentteam/changereviewercouldbeconsultedforidentificationifindoubt.－Thechangeoriginatorwillsubmitthe<RequestforChangeForm>(seeattachment2)totheareaMOCcoordinator.5.25.2可行性和风险评估Operability&RiskAssessment－变更协调人将基于变更的对象和规模，组建一个合适的变更可行性和风险评估小组。变更小组的成员可能包括：•项目负责人－TheMOCcoordinatorshallestablishaproperMOCteambasedontheobjectandsizeofthechange.TheMOCteammayinclude:•Projectresponsible

Procedure/Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage6of11设备工程师维修工程师化学工程师操作人员•ESH专家•供应商和外部专家等PlantoperatorProcessengineerEquipmentengineerMaintenanceengineerChemistESHspecialistSupplierandexternalexpertetc.－变更小组将根据变更申请表中提供的初始信息和支持文件，采取适当的工具/方法实施ESH风险评估，可以包括：检查表、HAZOP、What-if等，评估的结果将被记录下来并与变更申请表关联。－变更审核人将对评估结果作总的签字确认。－TheMOCteamshallselectanappropriatetool/methodtoconducttheESHriskassessmentbasedontheinitialinformationandsupportingdocumentsobtainedfromtherequestforchangeform,whichmayinclude:checklist,HAZOP,What-ifetc.Andtheresultsoftheevaluationwillberecordedandattachedtotherequestform.－Thechangereviewershallsigntoconfirmtheassessmentresults.5.35.3变更批准ApprovalofChange－变更批准人将根据审核人对变更相关可行性和风险评估的结果，决定是否批准变更的实施，并在《变更申请表》中签字确认；如不批准变更，则需要在表格中记录原因。－在变更系统投入运行前，变更批准人将基于现场条件以及控制措施落实情况，决定是否批准变更系统投入运行，并在《变更申请表》中签字确认；如不批准变更，则需要在表格中记录原因。5.4运行/投用前审核－在变更系统投入运行前，变更协调人将组织相关人员对系统进行ESH审核，以确保：•变更已经按照描述安装•没有其他的额外变更标准操作规程已被更新/归档/沟通传达已完成对运行和维护人员的相关培训已将在风险评估中识别出的所有安全控制措施落实到位已完成开车计划方案已建立应急响应预案并明确了联系人名单已维护存在问题/解决方法的记录并与审查表关联－Thechangeauthorizershalldecidewhetherapprovethechangeintoimplementationornotaccordingtotheoperabilityandriskassessmentbythereviewersandsignontheformof<Requestforchangeform>;ifnotapproved,relevantreasonsshallberecordedontheform.－Thechangeauthorizershalldecidewhetherapprovethechangeintoimplementationornotaccordingtotheoperabilityandriskassessmentbythereviewersandsignontheformof<Requestforchangeform>;ifnotapproved,relevantreasonsshallberecordedontheform.Pre-startupreview－Priortostartupofthechangedsystem,anESHreviewshallbecarriedoutbythechangecoordinatortoensure:Modificationisinstalledasdescribed.Nootherchangesweremade.SOPshavebeenupdated/documented/communicated.Operationandmaintenancetrainingforstaffhavebeencompleted.Allsafetycontrolmeasuresidentifiedintheriskassessmentofthechangehavebeencarriedout.Startupplanhasbeencompleted.Emergencyresponseplanhasbeenestablishedwithcontactlistincluded.Notesofissues/solutionshavebeenmaintainedandattachedtothereviewform.

Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevisionProcedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage7of11－变更审核人将对关键项的完成进行签字确认。TheChangecompletionofbeenfinished.Reviewershallsignonthekeyitemstoensuretheyhave批准运行－在变更系统投入运行前，变更批准人将基于现场条件以及控制措施落实情况，决定是否批准变更系统投入运行，并在《变更申请表》中签字确认；如果不批准变更，则需要在表格中记录原因。告知/沟通－在变更实施前，区域变更管理协调人应确保及时告知所有可能受到变更影响的人员。并在必要时，向相关人员提供防范措施。5.7信息更新&文件保存－任何已变更的内容都应及时在相关系统、程序和/或文件中更新。－各区域将保存所有MOC的完整文件，一份变更管理的完整文件包括：变更申请表、会议纪要、风险评估记录、检查清单、签到表、培训记录、相关支持文件图表等。区域中的变更协调员将负责MOC文件的归档保存。－Forthenewprojectorcomplexorhighrisksystem,implementationofchangeandbeforecommissioningofthesystem,APre-StartupSafetyReview(PSSR)shallalsobeconducted,referdetailsto<procedureforPSSR>.ApprovalofStart-up－Thechangeauthorizershalldecidewhetherapprovethechangeintoimplementationornotaccordingtotheoperabilityandriskassessmentbythereviewersandsignontheformof<Requestforchange-2>;ifnotapproved,relevantreasonsshallberecordedontheform.Notification/Communication－Priortotheimplementationofthechange,theareaMOCcoordinatorshallnotifyallpersonnelwhocouldbeimpactedbythechangeintime.Correspondingcountermeasuresandprecautionswillbegiventothosepeopleifnecessary.Informationupdate&Documentation－Anychangedcontentsshallbetimelyupdatedinallrelatedsystem,procedureand/ordocuments.－EachareashallkeepthetotalfilespackageofallMOCswhichshallinclude:requestofchangeforms,meetingnotes,riskassessmentrecords,checklists,attendancesheets,traininginformationandsupportingdocuments&drawingsetc.TheMOCcoordinatoroftheareashallberesponsibleforthedocumentationofMOCfiles.5.8SpecialMOCs5.85.8SpecialMOCsTemporaryMOC临时变更TemporaryMOC－变更存在期限小于6个月的变更即属于临时变更。－变更申请人应在《变更申请表》中注明是否属于临时变更以及变更预计恢复的日期。－临时变更与永久变更的在管理流程是一致的，但是临时变更关注变更带来的短期风险。－Thechangewiththeexistingperiodoflessthan6monthsisconsideredtobeatemporarychange.－Thechangeoriginatorshallmarkin<RequestforChangeform>ifitbelongstotemporarychangeandalsodefinetheexpectedrestoredate.－Thetemporarychangewillbefollowingthesameprocedureasthepermanentone,butmore

Procedure/程序FileNo.SH-ESHQ-3.10Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage8of11基于临时变更中的数据和信息提出一个新的永久变更申请并审核；将临时变更的系统复原；在经过进一步审核后延长临时变更的期限。focusedontheshort-periodriskcausedbythechange.－Afterashort-termimplementationperiod,oneofthefollowingmustoccur:•AnewpermanentMOCmustbeinitiatedforreviewusingdatafromthetemporarychangeasjustification;•Thesystemmustbereturnedtoitsoriginalcondition;•Thetemporarychangecanbeextended,withfurtherreview.较小变更较小变更MinorMOC－当判断变更类型属于较小变更时，可执行快速变更流程，即在《变更申请表》执行过程中直接从附件2的部分B跳转至部分E,经过最终批准后直接实施变更。－IfthechangehasbeenidentifiedasMinorChange,thequickMOCprocesscanbeactivated,whichmeansthe<RequestforChangeForm>processinAttachment2canbejumpedfrompartBtopartE,andthechangeisabletoimplementafterthefinalapprovalobtained.紧急变更紧急变更EmergencyMOC－紧急变更只适用于延迟变更可能导致对人员安全、环境、工厂设备以及产品造成严重影响的情况。不适用于正常运行时期。－一旦确定为紧急变更,变更申请人将执行“快速变更流程”见附件2的表E部分，并在得到所在区域负责人或其授权人员批准后执行变更。－变更管理协调人应协助确保在紧急变更批准实施后的第二个工作日重新开始进行完整的变更管理流程（包括正式的风险评估）。－每个区域都应定义出当区域负责人不在现场时有权批准紧急变更的人员名单。变更取消－当开始某个变更但随后决定不继续作业，应在《变更申请表》中记录取消变更原因，变更审批－EmergencyMOCareonlytobeusedwhendelayingachangecouldresultinadverseimpactsonthesafetyofpersons,theenvironment,plantsystems,equipment,andproductivityissues.Thisnottobeusedduringnormalbusinesshours.－Oncetheemergencychangehasbeenidentified,thechangeoriginatorwillgothroughthe‘QuickMOCprocess'refertothepartEofattachment2andthechangeshallbeapprovedbythearearesponsibleordelegateforimplementation.－TheMOCCoordinatorwillassisttoinsurethecompleteMOCprocess(formerriskassessmentincluded)isfollowedthenextworkingdayofemergencychangeapprovedtobecarriedout.－Eachareashalldefinealistofcontactsforapprovalofanemergencychangeintheabsenceofthearearesponsible.MOCCancellation－Whenamodificationhasbeenstartedbutadecisionistakennottoproceedwiththework,

Procedure/程序FileNo.SH-ESHQ-3.10Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage9of11和执行之间的时间通常不超过3年。初始培训－所有可能受到涉及到变更管理的人员，在实际介入变更管理流程前，都应接受并通过变更管理程序的培训。复训－当出现下列任何一种情况时，需要对相关人员进行复训：变更管理程序出现重大变化；在审计中发现培训需求；每隔一年；审核－ESHQ部门将组建审核小组对各区域的变更管理

程序的符合性进行审核，频率为每年一次。附件－附件1：基于风险的变更分级与授权矩阵－附件2：《变更申请表》thereasonswhytheworkhasnotbeenimplementedshallbedocumentedinthe<RequestforChangeForm>.Thetimeperiodbetweenapprovalandimplementationofamodificationshallnotnormallyexceed3years.5.9TrainingandAuditInitialTraining－AllpersonnelinvolvedintheMOCprocessshallobtainandpasstheMOCproceduretrainingpriortotakingactionsintheMOC.RefresherTraining－Refreshertrainingshallbeprovidedtorelevantpeopleifanyofthefollowingsituationsismet:•AsignificantchangetotheMOCprocedurehappens,•Trainingneedsidentifiedinauditingresults,•Asaminimumonayearlybasis.Audit－ESHQdepartmentwillformanauditteamtoconductMOCprocessauditingforeachareawiththefrequencyofonceayear.Attachment－Attachment1:RiskBasedChangeClassificationandAuthorizationMatrix－Attachment2:<Changerequest>FormProcedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,LtdRevision00FirstReleasePage10of11Procedure/程序FileNo.SH-ESHQ-3.10ProcedureforManagementofChange变更管理EvonikSanzheng(Yingkou)FineChemicalCo.,Ltd RevisionFir00Rele不同凤险变萸的涼程与授权表MOCpiocess&authorizationondiffeientlisklevels风险等级LevelofRisk变更分类Classification执行涼程Piocesstofollow授权Authorization较小变更MinorChange快速变更流程QuickMOCProcess区域主管AreaSupervisor■中等变更ModerateChange常规变更流程NormalMOCProcess工厂总6门经理Plant/DeptManager重大变萸MajorChange常规变更涼程NormalMOCProcess生产门主任Production/DeptDirectoretc.) workshop.warehouseetc.)程序Procedure受影响人员比例Affectedpeopleratio组织Qrqanization受影响人员比例Affectedpeopleratio工莒Process受影响产量比例etc.) workshop.warehouseetc.)程序Procedure受影响人员比例Affectedpeopleratio组织Qrqanization受影响人员比例Affectedpeopleratio工莒Process受影响产量比例AffectedratioofCapacity设备/:控制系统Eaui