Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies
Pentair Manufacturing UK Ltd., Aberdeen Sales & Service Center and its affiliated Service Sites has planned and implemented actions to address risks and opportunities. Addressing both risks and opportunities established the basis for increasing the effectiveness of the QEHS management system, achieving improved results and preventing negative effects. Opportunities can arise as a result of a situation favourable to achieving an intended result, for example, a set of circumstances that allow the organization to attract customers, develop new products and services, reduce waste or improve productivity. Actions to address opportunities can also include consideration of associated risks. Risk is the effect of uncertainty and any such uncertainty can have positive or negative effects. A positive deviation arising from a risk can provide an opportunity, but not all positive effects of risk result in opportunities. A key part of this process is the assessment of the potential risks to the business which could be caused through disasters or emergency situations. It is necessary to consider all the possible incidents and the impact each may have on the organisation's ability to continue to deliver its normal business services. This Risk Assessment will examine the possibility of serious situations disrupting the business operations and the potential impact of such events. Applied Probability / Impact Rating SCORE 1 2 3 4 5
PROBABILITY RATING LEVEL VERY HIGH HIGH MEDIUM LOW VERY LOW
SCORE 1 2 3 4 5
IMPACT RATING LEVEL TERMINAL DEVASTATING CRITICAL CONTROLLABLE IRRITATING
1. Emergency Incident Assessment 1.1 Environmental Disasters Potential environmental disasters have been assessed as follows: POTENTIAL DISASTER Fire
PROBABILITY RATING
IMPACT RATING
VERY LOW
DEVASTATING
Fires are often devastating and can be started through a wide range of events which may be accidental or environmental. The impact on the business will vary depending on the severity of the fire and the speed within which it can be brought under control. A fire can cause human injury or death and damage can also be caused to records and equipment and the fabric or structure of premises.
MEDIUM
CRITICAL
The impact of lightning strikes can be significant. It can cause disruption to power and can also cause fires. It may also damage electrical equipment including computer
Electrical storms & Heavy Thunderstorms
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
BRIEF DESCRIPTION OF POTENTIAL CONSEQUENCES
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 1 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies systems. Structural damage is also possible through falling trees or other objects. Freezing Conditions
Epidemic
LOW
CONTROLLABLE
Freezing conditions can occur in winter periods and the effects can be devastating. Where temperatures fall in excess of - 30° Centigrade they can create conditions which significantly disrupt businesses and even cause death or injury. Businesses and homes can be seriously affected through burst pipes, inadequate heating facilities, disruption to transportation and malfunctioning equipment. Work undertaken outside of buildings in the open environment will obviously be seriously affected.
VERY LOW
CONTROLLABLE
An epidemic can occur when a contagious illness affects a large number of persons within a country or region. This can have a particularly devastating short term impact on business through a large number of persons being absent from work at the same time. Certain illnesses can have a longer term effect on the business where long term illness or death results.
MEDIUM
CRITICAL
Heat conditions can occur in summer periods and the effects can be devastating. Where temperatures rise in excess of + 30° Centigrade they can create conditions which significantly disrupt businesses. Businesses and homes can be seriously affected through malfunctioning equipment, e.g. hard ware in the server room. Work undertaken in- and outside of buildings will obviously be seriously affected.
VERY LOW
IRRITATING
Earthquakes are caused by a shifting of the earth’s rock plates beneath its surface resulting in violent shaking and movement of the earth’s upper surface. Severe earthquakes can destroy power and communication lines and disrupt gas, water and sewerage services. Significant damage to structures can occur including total collapse of buildings, bridges or other elevated structures. Earthquakes can also bring landslides, damage to dams, and aftershocks and resulting damage can hinder rescue efforts. In addition to being trapped in a collapsing building, of particular danger to human life is the possibility of falling glass or other objects.
Heat
Earthquake
1.2 Organised and/or Deliberate Disruption Potential disasters resulting from 'organised disruption' have been assessed as follows: POTENTIAL DISASTER Act of Sabotage
PROBABILITY RATING
IMPACT RATING
BRIEF DESCRIPTION OF POTENTIAL CONSEQUENCES
VERY LOW
CONTROLLABLE
An act of sabotage is the deliberate serious disruption of an organization’s activities with an attempt to discredit or finan-
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 2 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies cially damage the organization. Business will often be immediately and seriously affected by successful acts of sabotage. This can affect the normal operations and also serve to de-stabilize the workforce. An internal attack on the IT systems through the use of malicious code can be considered to be an act of sabotage. Theft
VERY LOW
CONTROLLABLE
This hazard could range from the theft of goods or equipment to the theft of money or other valuables. In addition to possibly financially damaging the organization, theft can cause suspicion and uncertainty with the workforce where it may be believed that one or more of them could have been involved.
Arson
VERY LOW
DEVASTATING
Arson is the deliberate setting of a fire to damage the organization’s premises and contents. As this can cause both loss of premises and loss of goods and other assets, this can be highly disruptive to the organization.
Labour Disputes / Industrial Action
VERY LOW
CONTROLLABLE
This disruptive threat is the withdrawal of labor or working to rule usually organized by a union to which employee groups may belong. It can follow a dispute between the workers and the management of a company which has not been resolved. A withdrawal of labor is often accompanied by picketing across the entrance of the company’s premises to try to discourage anyone from entering. This sort of action is highly disruptive to the business and normally results in a shutdown of the business until the dispute is resolved.
1.3 Loss of Utilities and Services Potential disasters as a result of loss of utilities and services have been assessed as follows: POTENTIAL DISASTER
PROBABILITY RATING
IMPACT RATING
MEDIUM
CRITICAL
Electrical power failure
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
BRIEF DESCRIPTION OF POTENTIAL CONSEQUENCES All organizations depend on electrical power to continue normal operations. Without power the organization’s computers, lights, telephones and other communication medium will not be operational and the impact on normal business operations can be devastating. All organisations should be prepared for a possible electrical power failure as the impact can be so severe. Data can be lost, customers can be lost and there can be a serious impact on revenue. Pre-planning is essential as a regional outage can cause a shortage of back up electrical generators. Consideration should be given to installing
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 3 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies UPS systems to avoid brownouts. Loss of water supply
VERY LOW
CONTROLLABLE
The loss of the water supply is likely to close down a business premises until the supply is restored. Where the water is used in the production process this is particularly serious. The loss of water supply is also a health and safety issue as minimum sanitary needs cannot be met. This is often caused through a fault in a water supply route.
Petroleum and oil shortage
VERY LOW
IRRITATING
For most countries in the world, a petroleum shortage can occur at any time. This has a serious impact on businesses as rationing is likely to be imposed immediately affecting transportation and the normal operations of diesel or petrol fueled machinery. For example, this type of shortage can be caused by a sudden reduction in production output imposed by one of the OPEC members. It could also be caused through the short-term failure of a refinery, thereby affecting output of particular grades of fuel.
Communications services breakdown
MEDIUM
CRITICAL
VERY LOW
CONTROLLABLE
Most businesses are fully dependent upon their telecommunications services to operate their normal business processes and to enable their networks to function. A disruption to the telecommunications services can result in a business losing revenue and customers. The use of cellbased telephones can help to alleviate this but the main reliance is likely to be on the land based lines. The loss of drainage or waste removal is likely to cause a serious sanitation and health issue for most businesses. This is likely to impact on the business through the possible loss of its workforce during the period where drainage services are not available. This, in turn, will have an immediate impact on revenue. A large number of businesses also rely on waste removal for its production processes and this will be impacted also.
Loss of drainage / waste removal
1.4 Equipment or System Failure Potential disasters as a result of equipment or system failure have been assessed as follows: POTENTIAL DISASTER
PROBABILITY RATING
IMPACT RATING
MEDIUM
CRITICAL
Internal power failure
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
BRIEF DESCRIPTION OF POTENTIAL CONSEQUENCES An internal power failure is an interruption to the electrical power services caused through an internal equipment or cabling failure. This type of fault will need to be repaired by a qualified electrician and delays will inevitably impact on the business process. Where particularly serious faults have occurred, such as damage to file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 4 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies main cables, the repairs could take some time and could have a severe effect on the business. Air conditioning failure
MEDIUM
DEVASTATING
An air conditioning (AC) failure could have serious consequences where the AC unit is protecting particularly sensitive equipment such as a main computer processing unit (e.g. the European file server), and the rise in temperature could cause the equipment to fail and be damaged. Portable AC equipment may possibly be used as back up.
Production line failure
LOW
CONTROLLABLE
Mechanical or electronic failure on an organization’s production line can have serious financial consequences. This is a particularly critical problem where the equipment needs to be replaced and is not easily repairable. The workforce may need to be laid off until the problem is rectified and sales and customers lost.
Equipment failure (excluding IT hardware)
LOW
CONTROLLABLE
All businesses rely on a whole range of different types of equipment in order to run their business processes. In many cases, it is possible to move to alternative processes to enable the business processes to continue but this requires considerable planning and preparation.
1.5 Serious Information Security Incidents Potential disasters as a result of serious Information Security incidents have been assessed as follows: POTENTIAL DISASTER
PROBABILITY RATING
IMPACT RATING
Cyber crime
LOW
CRITICAL
Cybercrime is a major area of information security risk. It includes attacks by hackers, denial of service attacks, virus attacks, hoax virus warnings and premeditated internal attacks. All cybercrime attacks can have an immediate and devastating effect on the organization’s normal business processes. The average cost of an information security incident has been estimated at US$30,000 and over 60% of organizations are reported to experience one or more incidents every year.
Loss of records or data
LOW
CRITICAL
The loss of records or data can be particularly disruptive where poor backup and recovery procedures result in the need to re-input and re-compile the records. This is normally a slow process and is particularly labor intensive. This can result in an increase in costs through additional working hours and a great deal of embarrassment where information is unexpectedly not available.
VERY LOW
CONTROLLABLE
Disclosure of sensitive information
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
BRIEF DESCRIPTION OF POTENTIAL CONSEQUENCES
This is a serious information security incident which can result in severe embarfile C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 5 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies rassment, financial loss, and even litigation where damage has been caused to someone’s reputation or financial standing. Further types of serious disclosure involve secret patent information, plans and strategic directions, secret recipes or ingredients, information disclosed to legal representatives etc. Deliberate unauthorized disclosure of sensitive information is also referred to as espionage. IT system failure
LOW
devastating
With the almost total level of dependence on IT systems within the vast majority of businesses, a failure to these systems can be particularly devastating. The types of threats to computer systems are many and varied, including hardware failure, damage to cables, water leaks and fires, air conditioning system failures, network failures, application system failures, telecommunications equipment failures etc.
1.6 Other Emergency Situations Other potential emergency situations have been assessed as follows: POTENTIAL DISASTER
PROBABILITY RATING
IMPACT RATING
BRIEF DESCRIPTION OF POTENTIAL CONSEQUENCES
LOW
CONTROLLABLE
Disruption to public transport has a major effect on businesses through the inability of employees to get to their normal place of work. This disruption can be caused through major accidents, industrial action, equipment failure, bad weather conditions and major preventative repairs. Difficult travelling conditions increase absenteeism as well as lower morale and productivity.
VERY LOW
IRRITATING
A neighborhood hazard is defined as a disruptive event in the close vicinity which directly or indirectly affects your own premises and employees. An example would be a seepage of hazardous waste from a neighboring factory or the escape of toxic gases from a local chemical plant. Health and safety regulations require that the organization take suitable action to protect its employees. This may have severe disruptive implications for the business particularly where it can take some time to clear the hazard.
LOW
CONTROLLABLE
For organizations that do not properly and fully observe all the necessary Health and Safety Regulations, a complaint or an inspection can result in the operation being completely closed down until the situation is corrected. This could result in substantial delays on major projects with significant financial implications. Organizations should ensure that they meet the necessary regulations and requirements at all times.
Public transportation disruption
Neighbourhood hazard
Health and Safety Regulations
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 6 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies Employee morale
LOW
CONTROLLABLE
A large number of internal or external factors can have a direct impact on the level of employee morale. This can often arise where there is a combination of poor management, uncertainty and difficult working conditions. Productivity will be affected and employee turnover is likely to rise.
Mergers and acquisitions
LOW
CONTROLLABLE
Mergers and acquisitions can be extremely de-stabilizing on the employees of both businesses involved. Employees may be uncertain about how they will be affected or even whether they are about to lose their jobs. Unless well managed, the effect on the staff could be considerable with a dramatic lowering of morale and productivity.
Negative publicity
LOW
CONTROLLABLE
Unfavorable press comments can result in a lowering of employee morale or a loss of customers. Any company can suffer from negative publicity and an internal crisis is best resolved from within, prior to the media feeding of the uncertainties and disputes. Reports may also be inaccurate, particularly where reliable information is not available, and therefore, well-worded press statements may be issued to quieten down adverse reports. Information can be leaked to the press from disgruntled employees and industry competitors.
VERY LOW
CONTROLLABLE
Legal problems are both time consuming and expensive. Organizations can experience a wide range of legal issues including sexual harassment, contract disputes, copyright disputes, health and safety regulations and discrimination. It is important that organizations are fully aware of their legal duties and the rights of their employees.
Legal problems
2. Business Risk Assessment 2.1 Key Business Processes The following is a descriptive list of the organisation's key business areas, in order of importance to the business, together with a brief description of the business process and main dependencies. KEY BUSINESS AREA (IN ORDER OF IMPORTANCE)
BRIEF DESCRIPTION OF BUSINESS PROCESS
MAIN DEPENDENCIES
1
Pre-sales (incl. E-commerce processes, E-mail based communications, other online real-time customer services)
Obtaining customer inquiries and creation of quotations
CRM, VAM, Pentair eDgeTM
2
Sales and Sales Administration
Order handling
SAP, CRM, VAM, Pentair eDgeTM
3
Production/service processes (incl. production line, supply chain, customer service handling, quality control mechanisms, research and development activi-
Picking, assembly & testing, sourcing, service, packaging and dispatch
Material availability, SAP, HR
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 7 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies ties) 4
Human Resources Management
Provide adequately trained staff and resources
Availability of resources
5
Premises (incl. maintenance and support services)
Perform preventive maintenance of facility and equipment, asset management
Partially legislative aspects (e.g. EHS)
6
Finance and treasury (incl. accounting and reporting, internal audit, strategic and business planning activities)
Perform invoicing, AR & AP management, securities, guarantees, budgeting and reporting
SAP, legislative aspects, Pentair policies
7
Information technology services
Provide ERP-mainframe systems, hard & software
Availability of server, router, network, hard and software
8
Marketing and public relations
Creation and in- and external distribution of product and company data
CRM, Internet
2.2 Establish Time-Bands for Business Service Interruption Management Time-bands for measuring periods when normal business services are unavailable have been established, as follows. These periods of measurement are applied to each key business process and an assessment made of the financial and operational impact for outages later in the Risk Assessment. TIME BAND
PERIOD OF MEASUREMENT
1
Up to 2 hours
2
2 – 24 hours
3
24 – 48 hours
4
2 – 5 days
5
More than 5 days
2.3 Operational Impact For each key process it has been necessary to make an assessment of the operational impact of disruption to normal business operations. TIME-BAND BUSINESS PROCESS
1
2
3
4
5
< 2 hours
2 – 24 hours
24 – 48 hours
2 – 5 days
> 5 days
Obtaining customer inquiries and creation of quotations Order handling Picking, assembly & testing, sourcing, service, packaging and dispatch, cycle count Provide adequately trained staff and resources
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 8 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies Perform preventive maintenance of facility and equipment, asset management Perform invoicing, AR & AP management, securities, guarantees, budgeting and reporting Provide ERP-mainframe systems, hard & software Creation and in- and external distribution of product and company data
BUSINESS PROCESS: Obtaining customer inquiries and creation of quotations
TIME-BAND 1
2
3
4
5
4
5
4
5
Impact on Customer Services Loss of Customers Loss of Revenue Potential Additional Costs of Recovery Exposure to Penalty Clauses
n/a
Exposure to Possible Litigation Loss of Key Information Negative Financial Impact
TIME-BAND
BUSINESS PROCESS: Order handling
1
2
3
Impact on Customer Services Loss of Customers Loss of Revenue Potential Additional Costs of Recovery Exposure to Penalty Clauses Exposure to Possible Litigation Loss of Key Information Negative Financial Impact
BUSINESS PROCESS: Picking, assembly & testing, sourcing, service, packaging and dispatch, cycle count
TIME-BAND 1
2
3
Impact on Customer Services Loss of Customers Loss of Revenue Potential Additional Costs of Recovery Exposure to Penalty Clauses Exposure to Possible Litigation Loss of Key Information
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 9 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies Negative Financial Impact
BUSINESS PROCESS: Provide adequately trained staff and resources
TIME-BAND 1
2
3
4
5
4
5
4
5
4
5
Impact on Customer Services Loss of Customers Loss of Revenue Potential Additional Costs of Recovery Exposure to Penalty Clauses
n/a
Exposure to Possible Litigation
n/a
Loss of Key Information
n/a
Negative Financial Impact
n/a
BUSINESS PROCESS: Perform preventive maintenance of facility and equipment, asset management
TIME-BAND 1
2
3
Impact on Customer Services Loss of Customers Loss of Revenue Potential Additional Costs of Recovery Exposure to Penalty Clauses Exposure to Possible Litigation Loss of Key Information Negative Financial Impact
BUSINESS PROCESS: Perform invoicing, AR & AP management, securities, guarantees, budgeting and reporting
TIME-BAND 1
2
3
Impact on Customer Services Loss of Customers Loss of Revenue Potential Additional Costs of Recovery Exposure to Penalty Clauses Exposure to Possible Litigation Loss of Key Information Negative Financial Impact
BUSINESS PROCESS: Provide ERP-mainframe systems, hard & software
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
TIME-BAND 1
2
chapter / rev
6.1 / 00
3
date
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 10 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies Impact on Customer Services Loss of Customers Loss of Revenue Potential Additional Costs of Recovery Exposure to Penalty Clauses Exposure to Possible Litigation Loss of Key Information Negative Financial Impact
BUSINESS PROCESS: Creation and in- and external distribution of product and company data
TIME-BAND 1
2
3
4
5
Impact on Customer Services Loss of Customers Loss of Revenue Potential Additional Costs of Recovery Exposure to Penalty Clauses Exposure to Possible Litigation Loss of Key Information Negative Financial Impact
3. Business risks due to the dependency and impacts on natural capital of the oil and gas sector 3.1 Introduction The oil and gas industry is comprised of companies with different ownership structures; some are nationally owned (e.g. Saudi Aramco), some are private companies (e.g. Hunt Oil) and some are fully or part listed (e.g. BP). The value of publicly listed companies is a function of the quantity of products they can, and are expected to produce (in turn based on the reserves to which the company has access), and the cost of production relative to regional or global crude oil and natural gas prices. In general, National Oil Companies (NOCs) have access to the most easily extracted reserves with breakeven production costs at or below $60 per barrel. The publicly traded major oil companies (Exxon Mobil, Royal Dutch Shell, Chevron, BP and Total) who control a smaller proportion of the world’s reserves, but who produce a large amount of oil and gas, generally have higher breakeven production costs; they often develop projects requiring crude oil prices of over $60 per barrel to remain economic. 3.2 Renewable energy regulation In some countries, renewable energy policies and the growth in renewable energy capacity have already had a major impact on domestic electricity markets. In some cases, these policies have led to less favourable returns for fossil-fuel based technologies, particularly prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 11 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies
coal; in other cases, they have actually spurred investment in flexible electricity generation - including gas - as a result of the need for capacity to cope with the intermittency of renewable electricity generation. 3.3 Natural gas Natural gas markets are more diverse than oil, although the primary use is in electricity generation where the global share of electricity produced from gas has increased by 1.4% per annum between 2005 and 2012. For investors, the impact on the gas industry from the decarbonisation of the electricity sector presents a difficult challenge; although gas power generation has a lower carbon footprint than coal, decarbonizing the electricity sector does not guarantee that more gas-fired power stations will be built and operated. On a per unit output basis, some renewable electricity sources are projected to become cheaper to build and run than conventional fossil fuel power stations in the near term. This is likely to support the continued significant growth in global renewable energy capacity that has been witnessed in the last decade. All else being equal, increasing renewable electricity generation would reduce demand for fossil fuels - including gas - from the electricity sector and would, in turn, affect gas prices and gas company revenues. In order to manage the intermittency of renewables ‘back-up’ capacity may be required to ensure that demand can be matched at all times. 3.4 Economic impact Consuming countries will benefit from cheap oil and gas while producing countries are likely to lose out (at least in the short term). Lower prices mean that the billions of dollars the United States and Europe would have transferred to producing countries will, instead, be spent and/or invested in their domestic economies. These ‘saved funds’ can be used to stimulate the economy and generate jobs. On the other hand, low prices might negatively impact (slow or even undermine) the shale revolution. Shale/tight oil and production from the North Sea are expensive. Pentair Manufacturing UK Ltd., Aberdeen Sales & Service Center and its affiliated Service Sites offers and performs services for the upstream and downstream of the Oil & gas markets, the petrochemical industry as well as for the energy generation, storage and distribution market and is therefore in a relatively high degree dependent on the economics of the customers in that markets, which are themselves have a high dependency on the Oil & gas price and also on the regulatory influences on the energy sector. POTENTIAL DISASTER
PROBABILITY RATING
IMPACT RATING
HIGH
CRITICAL
Economic impact of low Oil & gas price
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
BRIEF DESCRIPTION OF POTENTIAL CONSEQUENCES Lower prices mean that the billions of dollars the United States and Europe would have transferred to producing countries will, instead, be spent and/or invested in their domestic economies.
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 12 of 13
Actions to address risks and opportunities Assessing Business Risk and Impact of Potential Emergencies
4. Countermeasures and opportunities The assumptions of this assessment are collected and supported by the belonging "High level"-Service Process Failure Modes and Effects Analysis (FMEA).
prepared by M. Maas
approved by P. Weissenfels
QEHS Manager European Distribution & Service
Regional Service Director Europe & Africa
chapter / rev
6.1 / 00
date
file C:\Users\E1165171\Documents\Documents Backup\Aberdeen\QA Manual\QEHS_Risk Assessment_2015.docx
Jan. / 2016 month / year
page 13 of 13
"High level"-Service Process Failure Modes and Effects Analysis (FMEA) ISO 9001:2015 requirement: Actions to address risks and opportunities Process Step System-element
Potential Failure Mode
Potential Failure Effects
Potential Causes
Current Controls
S
O
D
Obtaining customer inquiries and creation of quotations
running out of orders, interruption of sales workflow
electrical power failure, missing or mailfunction of network or servcer failout, CRM, VAM, Pentair eDgeTM software fault
SLA contracts, usage of UPS, backups on notebooks
3
3
10
Order handling
missing shopfloor papers
missing or mailfunction of SAP, CRM, VAM, Pentair eDgeTM
SLA contracts, usage of UPS, backups on notebooks
3
3
stock taking, permanent cycle count
4
3
electrical power failure, network or servcer failout, software fault
Picking, assembly & testing, sourcing, service, workflow interruption packaging and dispatch
missing material availability, material planning failure, SAP, HR supplier failure
Provide adequately trained staff and resources
missing qualified resources
missing or inadequately trained resources
Perform preventive maintenance of facility and equipment, asset management
mailfunction of needed equipment
poor maintenance, no Partially legislative aspects predictive maintenance, (e.g. EHS) service intervals not kept
Perform invoicing, AR & AP management, securities, guarantees, budgeting and reporting
serious cash flow interruptions
SAP, legislative aspects, Pentair policies
Provide ERP-mainframe complete failout of systems, hard & software administration workflows Creation and in- and external distribution of product and company data
receving orders
missing item master files
degcreasing order volume
missing analysis of needed training matrix qualifications and resources
RPN
Rev.: 00, January 2016
Actions Recommended
Responsible
O
D
RPN
90
EMEA Corp. IT
IT-GBL-PO07 "SR.1 Backup Management Policy"
1
1
10
10
10
90
analyse usage rating and ensure redundant server environment
EMEA Corp. IT
IT-GBL-PO07 "SR.1 Backup Management Policy"
1
1
10
10
10
120 stocking policy (ATP), use
Material Management
SAP trainings performed
1
1
10
10
Operation Service Management & HR
use of Intelex to follow up
1
1
10
10
POP module of SAP
1
S
analyse usage rating and ensure redundant server environment
run consumption driven
3
Actions Taken
10
30
improve training matrix continuously
scheduled to perform self assessment in 2016
1
1
10
10
preventive maintenance, SLA with service providers and OEMs
2
1
10
20
implement Lean TPM tools Operational and methods, assess JOP for Management & Lean TPM Ranger
electrical power failure, network or servcer failout, software fault
redundant data at SSC's
2
1
10
20
analyse usage rating and ensure redundant server environment
EMEA Corp. IT
IT-GBL-PO07 "SR.1 Backup Management Policy"
1
1
10
10
missing availability of server, router, network, hard and software
electrical power failure, network or servcer failout, software fault
SLA contracts, usage of UPS, backups on notebooks
3
1
10
30
analyse usage rating and ensure redundant server environment
EMEA Corp. IT
IT-GBL-PO07 "SR.1 Backup Management Policy"
1
1
10
10
missing or mailfunction of CRM, Internet
wrong or incomplete item master data in ERP-system
redundant data at engineering SSC's
5
30
analyse usage rating and ensure redundant server environment
Engineering & EMEA Corp. IT
IT-GBL-PO07 "SR.1 Backup Management Policy"
1
1
5
5
dropping oil & gas price
reduced maintennace budgets
regularly sales forecast meetings
10
increase service portofolio 150 for non O&G products, perform SWOT analysis
3
3
10
90
3
5
2
3
Sales Manager & first initiatives started, Global Service Strategy e.g. Shell Global SFA Management
S = severe of the consequences caused by the mentioned failure 1 (Very Low) - 5 (Terminal) O = occurence of the failure 1 (Very Low) - 5 (Terminal) D = detection rate of the failure 10 (only through visual controls) - 1 (detection of failure before occurence) RPN = risk priority number of failure mode gives you an overview how critical a failure mode will be (1-250) This "High Level" Service Process FMEA has not the pretension of completeness regarding all possible kinds of risks and opportunities which might occur!
prepared by: M. Maas - QEHS Manager European Distribution and Service
approved by: P. Weissenfels - Regional Service Director Europe and Africa
High level Service Process Failure Modes and Effects Analysis (FMEA).xlsx
Material Management
Finanz & Human resources
General Management
QM
Quality management
Sales
Product Management
Responsibility matrix of management functions (Zuständigkeitsmatrix der Führungsfunktionen)
Warehouse Reception & internal serv.
Stock, Picking, WEP
Assembly, WAP
Packing, dispatch
Field service
Purchasing
Backlog management
Accounts receivable
Accounts payable
Financial controlling
Human resources
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S
I
I
R/C
I
I
I
I
I
I
I
I
I
I
R/C
I
I
R/C
R/C
S
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
R/S
R/C
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
R/S
R/C
5.1 Leadership and commitment
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S
5.1.1 General
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
5.1.2 Customer focus
C
C
C
C
I
I
I
I
C
I
I
I
I
I
I
I
C
R/C
S/C
5.2. Quality policy
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
5.2.1 Establishing the quality policy
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
5.2.2 Communicating the quality policy
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
5.3 Organizational roles, responsibilities and authorities
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
General Management
Project & Key accounts
I
IT
Outside sales
I
Marketing CRM / SP
Inside Sales
QM-requirements acc. DIN EN ISO 9001:2015
4. Context of the organization 4.1 Understanding the organization and its context 4.2 Understanding the needs and expectations of interested parties 4.3 Determining the scope of the quality management system 4.4 Quality management system and its processes
5. Leadership
prepared by M. Maas erstellt von
QA Manager
approved by T. Schloesser geprüft von
Managing Director
chapter / rev.
date
05 / 01
Oct. / 2015
month / year
file C:\Users\MMaas\Documents\Documents Backup\QmHandbuch\QmHandbuch2014\ResponsibilityMatrix_20 14.docx
page 1 of 7
Legend:
Responsibility (R) Competent (C) Main emphasis
Supervision (S) Information (I)
Responsibility matrix of management functions (Zuständigkeitsmatrix der Führungsfunktionen)
Sales
Material Management
Finanz & Human resources
General Management
QM
Warehouse Project & Key accounts
Reception & internal serv.
Stock, Picking, WEP
Assembly, WAP
Packing, dispatch
Field service
Purchasing
Backlog management
Accounts receivable
Accounts payable
Financial controlling
Human resources
Product Management
General Management
Quality management
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/S
R/C
6.2 Quality objectives and planning to achieve them
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/S
R/C
6.3 Planning of changes
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
R/S
R/C
IT
Outside sales
6.1 Action to address risks and opportunities
Marketing CRM / SP
Inside Sales
QM-requirements acc. DIN EN ISO 9001:2015
6. Planning
prepared by M. Maas erstellt von
QA Manager
approved by T. Schloesser geprüft von
Managing Director
chapter / rev.
date
05 / 01
Oct. / 2015
month / year
file C:\Users\MMaas\Documents\Documents Backup\QmHandbuch\QmHandbuch2014\ResponsibilityMatrix_20 14.docx
page 2 of 7
Legend:
Responsibility (R) Competent (C) Main emphasis
Supervision (S) Information (I)
Responsibility matrix of management functions (Zuständigkeitsmatrix der Führungsfunktionen) Sales
Material Management
Finanz & Human resources
General Management
QM
Warehouse Project & Key accounts
Reception & internal serv.
Stock, Picking, WEP
Assembly, WAP
Packing, dispatch
Field service
Purchasing
Backlog management
Accounts receivable
Accounts payable
Financial controlling
Human resources
Product Management
General Management
Quality management
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
R/C
S
7.1.1 General
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S
7.1.2 People
I
I
I
I
I
C
C
C
C
I
I
I
I
I
I
I
I
R/C
S
7.1.3 Infrastructure
I
I
I
I
I
R/C
R/C
R/C
R/C
I
I
I
I
I
I
I
I
R/C
S
7.1.4 Environment for the operation of processes
C
C
C
C
C
C
C
C
R/C
C
C
C
C
C
C
C
C
R/C
S
7.1.5 Monitoring and measuring resources
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S
7.1.6 Organizational knowledge
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S
7.2 Competence
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
R/C
S
7.3 Awareness
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
R/C
S
7.4 Communication
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
C
C
S/R
S/C
7.5 Documented information
-
I
I
I
-
C
C
C
C
C
C
-
-
S
-
-
C
R
S/C
7.5.1 General
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
C
C
S/R
S/C
7.5.2 Creating and updating
S/C
S/C
S/C
S/C
C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
R
S/C
7.5.3 Control of documented Information
S/C
S/C
S/C
S/C
I
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
S/C
R
S/C
IT
Outside sales
7.1 Resources
Marketing CRM / SP
Inside Sales
QM-requirements acc. DIN EN ISO 9001:2015
7. Support
prepared by M. Maas erstellt von
approved by T. Schloesser geprüft von
chapter / rev.
05 / 01
QA Manager
Managing Director
date
file C:\Users\MMaas\Documents\Documents Backup\QmHandbuch\QmHandbuch2014\ResponsibilityMatrix_20 14.docx
Oct. / 2015
month / year
page 3 of 7
Legend:
Responsibility (R) Competent (C) Main emphasis
Supervision (S) Information (I)
Responsibility matrix of management functions (Zuständigkeitsmatrix der Führungsfunktionen) Sales
Material Management
Finanz & Human resources
General Management
QM
Warehouse Project & Key accounts
Reception & internal serv.
Stock, Picking, WEP
Assembly, WAP
Packing, dispatch
Field service
Purchasing
Backlog management
Accounts receivable
Accounts payable
Financial controlling
Human resources
Product Management
General Management
Quality management
-
R
-
-
-
-
-
-
I
I
R/C
-
-
R
-
-
-
I
S
8.2 Requirements for products and services
R
R/C
R/C
R/C
I
-
I
-
I
I
I
-
-
-
-
-
R/C
I
S/C
R/C
R/C
R/C
R/C
C
-
I
-
R/C
R
-
-
-
-
-
-
R/C
R
S/C
R
R/C
R/C
R/C
-
-
-
-
I
I
I
-
-
-
-
-
R/C
I
S/C
I
R/C
R/C
R/C
-
-
I
-
I
I
I
-
-
-
-
-
R/C
R
S/C
I
R/C
R/C
R/C
-
-
I
-
I
I
I
-
-
-
-
-
R/C
R
S/C
I
I
R
R
-
-
-
-
-
-
-
-
-
-
-
-
R/C
I
S
8.3.1 General
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
R/C
I
S
8.3.2 Design and development planning
-
I
-
-
-
-
-
-
-
-
-
-
-
I
-
-
R/C
I
S
8.3.3 Design and development Inputs
R
R
R
R
-
-
-
-
-
-
-
-
-
-
-
-
R/C
I
S
8.3.4 Design and development controls
-
-
-
-
-
-
C
-
C
-
-
-
-
I
-
-
R/C
I
S/C
8.3.5 Design and development outputs
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
R/C
I
S
8.3.6 Design and development changes
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
R/C
I
S
IT
Outside sales
8.1 Operational planning and control
Marketing CRM / SP
Inside Sales
QM-requirements acc. DIN EN ISO 9001:2015
8. Operation
8.2.1 Customer communication 8.2.2 Determining the requirements for products and services 8..2.3 Review of the requirements for products and services 8.2.4 Channges to requirements for products and services 8.3 Design and development of products and services
prepared by M. Maas erstellt von
approved by T. Schloesser geprüft von
chapter / rev.
05 / 01
QA Manager
Managing Director
date
file C:\Users\MMaas\Documents\Documents Backup\QmHandbuch\QmHandbuch2014\ResponsibilityMatrix_20 14.docx
Oct. / 2015
month / year
page 4 of 7
Legend:
Responsibility (R) Competent (C) Main emphasis
Supervision (S) Information (I)
Responsibility matrix of management functions (Zuständigkeitsmatrix der Führungsfunktionen) Sales
Material Management
Finanz & Human resources
General Management
QM
Warehouse Project & Key accounts
Reception & internal serv.
Stock, Picking, WEP
Assembly, WAP
Packing, dispatch
Field service
Purchasing
Backlog management
Accounts receivable
Accounts payable
Financial controlling
Human resources
Product Management
General Management
Quality management
-
-
-
-
-
R/C
C
-
C
R
-
-
I
-
-
-
R
I
S/C
8.4.1 General
I
I
I
I
I
I
I
I
I
R/S
I
I
I
I
I
I
I
I
S/C
8.4.2 Type and extent of control
-
C
-
-
-
-
C
-
-
R/S
-
-
-
-
-
-
R
I
S/C
8.4.3 Information for external providers
-
C
-
-
-
-
C
-
-
R/S
-
-
-
-
-
-
R
I
S/C
8.5 Production and service provision
-
C
-
-
-
-
C
-
-
R/S
-
-
-
-
-
-
R
I
S/C
8.5.1 Control of production and service provision
-
I
-
-
-
R/S
R/S
-
R
-
I
-
-
R
-
-
R
I
S/C
8.5.2 Identification and traceability
-
C
I
I
I
R/C
R/C
C
R
I
I
-
-
-
-
-
I
-
S/C
8.5.3 Property belonging to customers or external providers
-
R
R
R
-
R/C
C
C
R
-
C
-
-
-
-
-
-
-
S
8.5.4 Preservation
-
-
-
-
-
R/C
-
R/C
-
I
C
-
-
-
-
-
-
-
S
8.5.5 Post-delivery activities
-
R/S
I
-
-
-
-
-
R/C
-
-
-
-
-
-
-
-
-
S
8.5.6 Control of changes
-
I
I
-
-
-
-
-
-
-
-
-
-
-
-
-
R/C
-
S
8.6 Release of products and services
-
-
-
-
-
-
I
-
-
-
I
-
-
-
-
-
R/C
-
S
8.7 Control of nonconforming outputs
C
C
C
C
-
C
C
C
R/C
C
C
C
C
C
-
-
C
R
S/C
prepared by M. Maas erstellt von
QA Manager
approved by T. Schloesser geprüft von
Managing Director
chapter / rev.
date
05 / 01
Oct. / 2015
month / year
file C:\Users\MMaas\Documents\Documents Backup\QmHandbuch\QmHandbuch2014\ResponsibilityMatrix_20 14.docx
page 5 of 7
Legend:
IT
Outside sales
8.4 Control of externally provided processes, products and services
Marketing CRM / SP
Inside Sales
QM-requirements acc. DIN EN ISO 9001:2015
Responsibility (R) Competent (C) Main emphasis
Supervision (S) Information (I)
Responsibility matrix of management functions (Zuständigkeitsmatrix der Führungsfunktionen) Sales
Material Management
Finanz & Human resources
General Management
QM
Warehouse Project & Key accounts
Reception & internal serv.
Stock, Picking, WEP
Assembly, WAP
Packing, dispatch
Field service
Purchasing
Backlog management
Accounts receivable
Accounts payable
Financial controlling
Human resources
Product Management
General Management
Quality management
C
C
C
C
I
C
C
C
C
C
C
C
C
C
C
C
C
R
S/C
9.1.1 General
C
R/C
R/C
R/C
-
-
C
-
C
-
C
-
-
R/C
-
C
C
R
S/C
9.1.2 Customer satisfaction
C
R/C
R/C
R/C
C
-
-
-
C
-
-
-
-
-
-
-
C
R/C
R/S
9.1.3 Analysis and evaluation
C
R/C
R/C
R/C
C
-
-
-
C
-
-
-
-
-
-
-
R/C
R/C
R/S
9.2 Internal audit
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R
S/C
9.3 Management review
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
9.3.1 General
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
9.3.2 Management review inputs
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
9.3.3 Management review outputs
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
R/C
S/C
IT
Outside sales
9.1 Monitoring, measurement, analysis and evaluation
Marketing CRM / SP
Inside Sales
QM-requirements acc. DIN EN ISO 9001:2015
9. Performance evaluation
prepared by M. Maas erstellt von
approved by T. Schloesser geprüft von
chapter / rev.
05 / 01
QA Manager
Managing Director
date
file C:\Users\MMaas\Documents\Documents Backup\QmHandbuch\QmHandbuch2014\ResponsibilityMatrix_20 14.docx
Oct. / 2015
month / year
page 6 of 7
Legend:
Responsibility (R) Competent (C) Main emphasis
Supervision (S) Information (I)
Responsibility matrix of management functions (Zuständigkeitsmatrix der Führungsfunktionen) Sales
Material Management
Finanz & Human resources
General Management
QM
Warehouse Project & Key accounts
Reception & internal serv.
Stock, Picking, WEP
Assembly, WAP
Packing, dispatch
Field service
Purchasing
Backlog management
Accounts receivable
Accounts payable
Financial controlling
Human resources
Product Management
General Management
Quality management
C
C
C
C
I
C
C
C
C
C
C
C
C
C
C
C
C
R
S/C
10.2 Nonconformity and corrective action
C
C
C
C
-
C
C
C
R/C
C
C
C
C
C
C
C
C
R
S/C
10.3 Continual improvement
C
C
C
C
I
C
C
C
C
C
C
C
C
C
C
C
C
R
S/C
IT
Outside sales
10.1 General
Marketing CRM / SP
Inside Sales
QM-requirements acc. DIN EN ISO 9001:2015
10. Improvement
prepared by M. Maas erstellt von
approved by T. Schloesser geprüft von
chapter / rev.
05 / 01
QA Manager
Managing Director
date
file C:\Users\MMaas\Documents\Documents Backup\QmHandbuch\QmHandbuch2014\ResponsibilityMatrix_20 14.docx
Oct. / 2015
month / year
page 7 of 7
Legend:
Responsibility (R) Competent (C) Main emphasis
Supervision (S) Information (I)
Context of the organization (Kontext der Organisation)
4
Context of the organization (Kontext der Organisation)
4.1 Understanding the organization and its context (Verstehen der Organisation und ihres Kontextes) Der Zweck und die Vision des Unternehmens SABO-armaturen service GmbH als ein Unternehmen der Pentairs Valves & Controls sind gleich. Sie beantworten warum wir machen was wir tun. Unser Ziel, die Lebensqualität von Menschen rund um die Welt zu verbessern, ermöglicht es, dass jede Mitarbeiterin und jeder Mitarbeiter von uns durch sein tägliches Handeln einen Unterschied machen, wenn wir täglich zur Arbeit kommen. Und die Vision unseres Konzerns, das nächste große Industrieunternehmen zu werden ist, bedeutet, dass wir die erste Wahl als Unternehmen für Kunden, Aktionäre und Talente werden möchten. Wir haben die Ressourcen, die Lösungen und die Leute, um unseren Zweck zu erfüllen und unsere Vision zu realisieren. Unser externer Kontext beinhaltet, aber ist nicht beschränkt auf die: kulturellen, politischen, legalen, regelwerkspezifischen, finanziellen, technologischen, ökonomischen und Umweltanforderungen sowie das Wettbewerbsumfeld, ob international, national, regional oder lokal; Schlüsselfaktoren und Trends, die Auswirkung auf die Ziele der Organisation haben; und Wahrnehmungen und Werte von externen Interessengruppen. Unser interner Kontext beinhaltet, aber ist nicht beschränkt auf die: Fähigkeiten, in Bezug auf Ressourcen und Wissen (z.B. Kapital, Zeit, die qualifizierten Personen, Prozesse, Systeme und Techniken); Informationssysteme, Informationsflüsse und Entscheidungsprozesse (sowohl formell als auch informell); interne Interessensgruppen; Politiken, Ziele und die Strategien, die eingeführt sind sie zu erreichen; Wahrnehmungen, Werte und Kultur; Standards und Referenzmodelle übernommen durch die Organisation; und Strukturen (z.B. Verwaltung, Rollen und Verantwortlichkeiten).
4.2 Understanding the needs and expectations of interested parties (Verstehen der Erfordernisse und Erwartungen interessierter Parteien)
prepared by M. Maas erstellt von
approved by P. Weissenfels geprüft von
Compliance Manager
Managing Director
chapter / rev
04 / 18
date
file C:\Users\E1165171\Documents\Documents Backup\QmHandbuchSabo\QMHandbuchSabo2014\KAP04_SAB O_2014.docx
Oct. / 2015 month / year
page 1 of 8
Context of the organization (Kontext der Organisation)
Alles, das wir tun, wird von unserer Leidenschaft getragen, die Lebensqualität der Menschen zu verbessern. Da die demographischen Trends der Welt fortfahren, sich zu verschieben und steigende Nachfragen auf die Ressourcen der Welt bestehen, liefert der Pentair Valves & Controls Konzern Lösungen, um seinen Kunden zu helfen, den Bedarf dieser sich ändernden Welt - einer Welt, die mehr Energie, Wasser und Nahrung fordert - zu decken Die Ausrichtung um unseren Zweck, Vision, sowohl strategische und Betriebsprinzipien als auch unsere “Win Right“-Werte herum ist das, was uns zur Hochleistung antreibt. Unsere obersten Prioritäten werden Bluechips genannt, die die Schlüsselbereiche darstellen, die es uns ermöglichen, diese Höchstleistung zu erreichen. Die sog. „Blue Chips“ sind: Das Verstärken einer Kultur der Höchstleistung Das Anziehen, das Entwickeln und das Einsetzen von Talenten Das Beschleunigen des Wachstums Verstärken der Kultur Unsere Kultur ist, wie wir unseren Zweck und unsere Vision realisieren und wie wir unsere Höchstleistung erreichen. Die Werte sind der Herzschlag, der unser Unternehmen zu 'Win Right’ vorantreibt, und PIMS ist das Standardwerkzeug, das kontinuierliche Verbesserungen liefert. Wir haben signifikante Zeit und Energie investiert, um die kulturellen Attribute und eine Kultursprache zu festigen, die wir verwenden, um alle Angestellten von uns auf einem gemeinsamen Ansatz auszurichten. Jeder globale Geschäftsbereich und Funktion folgt der gleichen Kultur - welche, zusammen mit PIMS, Höchstleistung in allem, das wir tun ermöglicht. Förderung von Wachstum Wir fahren fort, als Unternehmen zu wachsen - und einige GBUs (globale Geschäftseinheiten) und einige Geschäftsfelder werden schneller als unsere Märkte wachsen. Basierend auf unserer Marktführerposition in vertikalen und geografischen Schlüsselmärkten, können wir unternehmensübergreifend höhere Wachstumsraten erreichen. Jeder GBU Präsident hat seine Schlüssel-“Blue Chips“ zur Förderung des Wachstums definiert, und wir sind diesbezüglich auf die attraktivsten Absatzmöglichkeiten ausgerichtet und beabsichtigen in diesen Wachstumsmärkte zu investieren. Ferner werden wir auch weiterhin hierzu gezielte Sales Excellence Programme in jeder GBU und Region starten. Entwicklung von Talenten Die Fähigkeit neue Talente anzuziehen, weiter zu entwickeln und richtig einzusetzen ist kritisch für unseren Erfolg. Wir werden daher weiterhin funktions- und regiprepared by M. Maas erstellt von
approved by P. Weissenfels geprüft von
Compliance Manager
Managing Director
chapter / rev
04 / 18
date
file C:\Users\E1165171\Documents\Documents Backup\QmHandbuchSabo\QMHandbuchSabo2014\KAP04_SAB O_2014.docx
Oct. / 2015 month / year
page 2 of 8
Context of the organization (Kontext der Organisation)
onal übergreifend in die Verstärkung unserer Talente investieren. Wir werden Entwicklungswerkzeuge und Programme hinzufügen, die sicherzustellen, dass wir die besten PIMS-Werkzeuge anwenden, und dass jeder Angestellte versteht, wie er durch seine Arbeit die Leistung des Unternehmens steigern kann. Wir sind dazu entschlossen, mehr Talente in Schlüsselwachstumsbereichen anzuziehen, und, dass alle unsere Talenten in PIMS und unseren „Win Right“-Werte und Verhalten geschult sind. “Win Right”-Werte und Verhalten
Sechs Werte definieren die ethischen Standards, die vorgeben wie wir individuell, gemeinsam und mit Partnern zusammenarbeiten: Win Kunde kommt zuerst - Wir machen es unseren Kunden leicht, Geschäfte mit Pentair zu machen und halten unsere Verpflichtungen ihnen gegen über konsequent ein. Leistungsverantwortung - Wir setzen hohe Maßstäbe bei der Leistung und engagieren uns persönlich dafür, dass die Arbeit erledigt wird. Innovation und Anpassungsfähigkeit - Unser Ziel ist eine fortwährende Verbesserung, wobei wir uns an sich ändernde Umstände anpassen und neue Ideen anwenden. Right Positive Energie - Wir blicken stets positiv in die Zukunft und übernehmen die Verantwortung für unseren Einfluss auf andere. Wir Respekt und Teamarbeit - Wir behandeln andere mit Respekt und Offenheit; wir arbeiten mit anderen zusammen und stimmen uns mit ihnen ab, damit das ganze Team erfolgreich ist. prepared by M. Maas erstellt von
approved by P. Weissenfels geprüft von
Compliance Manager
Managing Director
chapter / rev
04 / 18
date
file C:\Users\E1165171\Documents\Documents Backup\QmHandbuchSabo\QMHandbuchSabo2014\KAP04_SAB O_2014.docx
Oct. / 2015 month / year
page 3 of 8
Context of the organization (Kontext der Organisation)
Absolute Integrität - Wir verpflichten uns zur Einhaltung ehrlicher, ethischer Geschäftspraktiken in unserem Umgang mit Kunden, Geschäftspartnern, Investoren, Gemeinden und untereinander. PIMS (Pentair Integrated Management System) PIMS liefert die Terminologie und die Werkzeuge, um sicherzustellen, dass wir die Leistung des gesamten Unternehmens nachhaltig verbessern. Es enthält die sieben Transformationsprozesse oder Disziplinen 1. Strategieeinsatz 2. Transformationsplanung 3. 5S 4. Standardisierte Arbeit 5. Kontinuierlichen Fluss erzeugen 6. Materialfluss 7. Visuelles Management
4.3
Determining the scope of the quality management system (Festlegen des Anwendungsbereiches des Qualitätsmanagementsystem) Das Qualitätsmanagementsystem gem. DIN EN ISO 9001:2015 liefert die Organisationsregeln und die Organisationsstruktur der SABO-armaturen service GmbH, die angewandt werden, für den in- und externen Kontext und Umfang unserer Organisation.
prepared by M. Maas erstellt von
approved by P. Weissenfels geprüft von
Compliance Manager
Managing Director
chapter / rev
04 / 18
date
file C:\Users\E1165171\Documents\Documents Backup\QmHandbuchSabo\QMHandbuchSabo2014\KAP04_SAB O_2014.docx
Oct. / 2015 month / year
page 4 of 8
Context of the organization (Kontext der Organisation)
4.4
Quality management system and its processes (Qualitätsmanagementsystem und seine Prozesse) Durch das QM-System der SABO-armaturen service GmbH werden alle Prozesse im Unternehmen, die direkten oder indirekten Einfluss auf die Erstellung unserer Produkte / Erbringung unserer Dienstleistung haben, soweit festgelegt, dass die Erfüllung der Kundenanforderungen und der zutreffenden gesetzlichen und behördlichen Anforderungen sichergestellt werden. Dazu ist es erforderlich, dass diese Festlegungen in der täglichen Arbeit umgesetzt sowie ständig den Bedürfnissen des Unternehmens und der Kunden bzw. der Märkte angepasst werden. Scope of Application (Geltungsbereich) Die Festlegungen in diesem QM-Handbuch und den zugehörigen Dokumenten gelten für alle Unternehmensbereiche der SABO-armaturen service GmbH. Das QM-System umfasst alle Anforderungen der DIN EN ISO 9001: 2015 und erfüllt u.a.
prepared by M. Maas erstellt von
approved by P. Weissenfels geprüft von
Compliance Manager
Managing Director
chapter / rev
04 / 18
date
file C:\Users\E1165171\Documents\Documents Backup\QmHandbuchSabo\QMHandbuchSabo2014\KAP04_SAB O_2014.docx
Oct. / 2015 month / year
page 5 of 8
Context of the organization (Kontext der Organisation)
die Anforderungen der DGRL 2014/68/EU (bislang 97/23/EC) die Pentair Valves & Controls corporate PIMS Prinzipien (z.B. Pentair’s Integrated Management System) die Anforderungen des Pentair Valves and Controls corporate Quality Manuals die Anforderungen der QS-Normen aus der Kerntechnik (ASME, KTA 1401, AVS D 100/50, KTA 3201.3 und andere) die unternehmensweiten SOx-Prinzipien (Sarbanes Oxley) - CT (Manage taxes) - FR (Financial Closing and Reporting) - HR (Manage Human Resources) - IT (Information Technology) - JC (Estimating Job Cost and Revenue) - MB (Manage the Business) - MF (Manufacture Products and Manage Logistics) - MR (Manage Capital, Risc and Treasury) - OM (Perform Order Management) - PE (Manage Plant, Equipment and Facilities) - PM (Procure Materials and Services) die unternehmensweiten Governance-Prinzipien, wie z.B. “Pentair's Code of Business Conduct & Ethics ”, “Supplier Code of Conduct“, “Pentair Global Supplier Guide”, “Guide to Supplier Social Responsibility” und die diesbezüglichen Policies etc. Spezielle Vorgänge und Anforderungen, die bestimmte Abwicklungsregelungen beinhalten, werden in zusätzlichen Anweisungen beschrieben. Responsible function areas (Verantwortliche Funktionsbereiche) Die verantwortlichen Funktionsbereiche sind die Geschäftsleitung, der Compliance Manager sowie alle leitenden Mitarbeiter wie im zugehörigen Organigramm der SABO-armaturen service GmbH definiert. Terms and definitions (Begriffe) prepared by M. Maas erstellt von
approved by P. Weissenfels geprüft von
Compliance Manager
Managing Director
chapter / rev
04 / 18
date
file C:\Users\E1165171\Documents\Documents Backup\QmHandbuchSabo\QMHandbuchSabo2014\KAP04_SAB O_2014.docx
Oct. / 2015 month / year
page 6 of 8
Context of the organization (Kontext der Organisation)
Ein Prozess ist ein System von Tätigkeiten, das Eingaben mit Hilfe von Mitteln in Ergebnisse umwandelt. Ein Produkt ist das Ergebnis eines Prozesses (dies schließt Hardware, Software, Dienstleistungen und verfahrenstechnische Produkte ein). Quality management system (Qualitätsmanagementsystem) Um sicherzustellen, dass die Anforderungen unserer Kunden und der zutreffenden gesetzlichen und behördlichen Anforderungen erfüllt werden, ist es notwendig, alle Prozesse vom ersten Kundenkontakt bis zur Lieferung und zum Service festzulegen, zu steuern und im Sinne der Kundenzufriedenheit zu gestalten. Dazu gibt das „Netzwerk der Geschäftsprozesse“ eine Übersicht über alle wesentlichen Prozesse (Kern-, Führungs- und unterstützende Prozesse) in unserem Unternehmen. Das Netzwerk der Geschäftsprozesse enthält Verweise auf die Prozeduren (und, wenn zutreffend, ggf. Handbuchkapitel oder Instruktionen), in denen die einzelnen Prozesse festgelegt sind. Es dient somit als Wegweiser durch unser QM-System. Das QM-System und die zugehörige Dokumentation werden ständig den Änderungen in der Aufbau- und Ablauforganisation des Unternehmens angepasst. Der Compliance Manager sorgt diesbezüglich für die notwendige Prüfung und Überwachung der Definition und des Inhalts des Qualitätsmanagementsystems. Die angewandten Prozesse, Methoden, Prozeduren, Instruktionen, AC-cards werden, wenn erforderlich, erstellt, aktualisiert und/oder modifiziert, so dass diese immer dem aktuellen Stand der angewandten Praxis, den gesetzlichen und Regelwerkanforderungen sowie unseren Qualitätszielen entsprechen. Cross references / processes (Mitgeltende Unterlagen/Prozesse) - Kapitel 4.4 - Kapitel 5.0 - Kapitel 5.2 - Kapitel 6.0 - Kapitel 7.0 - Kapitel 8.0
„Kontext der Organisation / Netzwerk der Geschäftsprozesse / Organigramme / Benutzerhinweise“ „Führung“ „Politik” „Planung“ „Unterstützung“ „Betrieb“
prepared by M. Maas erstellt von
approved by P. Weissenfels geprüft von
Compliance Manager
Managing Director
chapter / rev
04 / 18
date
file C:\Users\E1165171\Documents\Documents Backup\QmHandbuchSabo\QMHandbuchSabo2014\KAP04_SAB O_2014.docx
Oct. / 2015 month / year
page 7 of 8
Context of the organization (Kontext der Organisation)
- Kapitel 9.0 - Kapitel 10.0
“Bewertung der Leistung” “Verbesserung”
prepared by M. Maas erstellt von
approved by P. Weissenfels geprüft von
Compliance Manager
Managing Director
chapter / rev
04 / 18
date
file C:\Users\E1165171\Documents\Documents Backup\QmHandbuchSabo\QMHandbuchSabo2014\KAP04_SAB O_2014.docx
Oct. / 2015 month / year
page 8 of 8
