Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
Consumption for Non-ZEISS Staff

Instructions on Safety, Environmental
Protection, Fire Safety and Efficient
Energy Consumption for Non-ZEISS
Staff

Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
Consumption for Non-ZEISS Staff

Table of ContentsPage
1. General3

2. Occupational Health and Safety

3

3. Plant Safety

3

4. What to Do in Emergencies/ First Aid

4

5.

Non-ZEISS Activities

4

5.1 Coordination of activities

5

5.2 Work equipment

6

5.3 Personal protection equipment

65.4 Fire safety and explosion control / work on open
flames6

5.5 Environmental protection

6

5.6 Conclusion of activities

8

6.

Information Security

8

7.

Prohibition of Cooperation with
Listed Persons

9

Confirmation Form for Non-ZEISS Companies

10

Appendix 1: ZEISS Policy

11

Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
Consumption for Non-ZEISS Staff

1. General
The provisions of this directive apply to non-ZEISS personnel at all ZEISS locations in Germany. NonZEISS personnel within the meaning of this directive include all staff from non-ZEISS companies andsuppliers as well as visitors and other guests.
Non-ZEISS companies performing work under labor or service contracts must inform their staff about
the contents of this directive before beginning their activity. Prior to placement of the order, the nonZEISS company must return the signed confirmation form (see appendix of this directive) to therespective purchasing department of Carl Zeiss.
Day visitors and suppliers receive a leaflet in the respective reception area, informing them aboutoccupational and plant safety, fire safety and environmental protection.
In our company, we attach great importance to health and safety, fire safety, information security,environmental protection, plant safety and efficient energy consumption.
The following provisions are intended to contribute to the safety of both our own staff and non-ZEISS
personnel, to the preservation of our plant facilities and technical equipment and to the protection of
the environment. The content of this directive must be made accessible to all non-ZEISS personnel
before they enter company property. Compliance with these provisions must be monitored by therespective contact persons or coordinators at ZEISS (client).

2. Occupational Health and Safety
The principles of occupational health and safety at ZEISS are described in the management policy(see Appendix 1 ZEISS Policy).
The health and safety of employees is the responsibility of their respective superiors. This directive isintended as a guideline for ensuring the safety of non-ZEISS personnel temporarily working for orvisiting the company. All persons are obligated to make their own contribution towards preserving theirhealth through safety-compliant behavior. The instructions of the operating personnel responsible, of
the coordinator, plant fire department, plant security department or safety experts must be obeyed.
The safety notes provided on company premises such as prohibitory, warning, mandatory and rescue
signs must be strictly observed.
Bringing intoxicants to the company premises and consuming intoxicants while staying at ZEISS areprohibited.

3. Plant Safety
The ID badges issued at the locations must be presented without prompting to the plant security staff
upon entering and leaving the company premises, and must be worn visibly and openly during the stayon the premises. The ID badge is intended to identify persons and authorizes the owner to access theareas of the company required to perform his/her duties.

Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
Consumption for Non-ZEISS Staff

Only the traffic routes, entrances, exits and plant areas actually required for the performance of thecontractual work may be used or accessed. Areas barred to the ID badge holder or appropriately
marked areas may only be accessed after consultation with the responsible coordinator or plantsecurity staff and while accompanied by an authorized person.
The ID badge is only valid for the person to whom it is issued and must not be passed on to third
parties. In the event of misuse, the badge holder's authorization to access the company premises will
be revoked. The speed limits indicated at the respective location must be observed on plant trafficroutes and on access routes to the car parks. The German Road Traffic Ordinance (StVO) applies.
Special care must be taken with industrial trucks and pedestrians.
Parking on plant traffic routes and the obstruction of passageways, in particular of escape and rescue
routes, are strictly prohibited. Only the indicated or designated parking spaces may be used. Accessroutes for the fire department and areas marked with no-stopping signs must be kept clear (this also
applies to the loading and unloading of vehicles).
If any machines, laptops and other equipment needed to fulfill a contract are brought onto company
premises, they must be reported at the gate upon entering the plant. Plant security staff conducts spot
checks of persons and vehicles leaving the company premises.
Photography and filming on company premises are strictly prohibited.

4. What to Do in Emergencies / First Aid
Before starting their activities, non-ZEISS personnel must be briefed by the client’s contact person on
the correct behavior in emergencies. This includes information about escape and rescue routes(escape and rescue plans) and about the designated meeting points.
In the event of emergencies, the emergency phone number applicable at the respective site must be
dialed. In the initial briefing, non-ZEISS personnel are informed about the emergency phone number
and about the correct behavior in emergencies. The relevant emergency phone number is also includedin the leaflet issued in the reception area.
Depending on the local situation and the type of activity involved, additional information must be
provided about first aid kits and first responders. Any existing factory medical centers can also be usedby non-ZEISS personnel.

5. Non-ZEISS Activities
Pursuant to § 8 of the German Occupational Health and Safety Act and §§ 5, 6 of the German tradeassociation's regulations (DGUV V1), all parties commissioning or performing contractual work arerequired to comply with the legal provisions regarding health and safety, and environmental protection,
the German trade association’s accident prevention regulations, as well as the generally recognizedsafety and industrial medicine regulations.
In addition to the duty under labor legislation to look after the well-being of their own staff, non-ZEISS
companies (contractors) are subject to the legal duty to maintain safety. During the fulfillment of thecontract, the contractor must ensure that no mutual hazard is caused for the non-ZEISS company's
staff and permanent staff (e.g. tripping hazards, falling parts, live parts, etc.).
Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
Consumption for Non-ZEISS Staff

For this purpose, the non-ZEISS company undertakes to verifiably give its staff all training and briefing
required. Specific medical examinations may be required before certain types of activities are started.
The non-ZEISS company must ensure that its deployed staff is sufficiently qualified and in a properstate of health for the work to be performed. The client reserves the right to demand written evidence
to this effect. In the case of special legal stipulations (e.g. ozone layer regulation and water legislationact) the appropriate qualification certificates are required from the contractor and are archived as anintegral part of the contract by the client.
Contractors must continually monitor their personnel and specify an on-site contact for the client.
If non-ZEISS companies commissioned by ZEISS intend to subcontract orders or partial orders to third
parties, they must obtain the prior written approval of ZEISS if the subcontracted order or partial
order involves activities on the company premises of a ZEISS location.

5.1 Coordination of activities
Depending on the type and scope of the activities of non-ZEISS companies, ZEISS may appoint acoordinator in accordance with § 6, DGUV V1. Before work commences, the type of contract involved
and the scope of the planned activities must be jointly agreed with the coordinator and documented
accordingly.
The safety regulations stipulated by the coordinator must be complied with by the non-ZEISS
company’s staff.
The coordinator must be informed about the commencement and any interruptions of the activities,
about work outside regular working hours, hazardous work, changing of the worksite and the end of
the activities. In addition, the coordinator must be notified of any disruptions of operational processes
and about any changes to supervisory staff through the non-ZEISS company or contractor.
If a risk to the contractor’s and clients employees cannot be ruled out when dealing with hazardous
materials, all affected parties must work together to assess the risk and coordinate protective
measures. This must be documented.
Prior to beginning demolition, restoration, maintenance or construction work, the contractor is required,within the scope of the hazard assessment, to obtain information from the client or building owner about
the existence or expectation of any hazardous substances, particularly asbestos.
Unaccompanied working in hazardous activities must be avoided. If hazardous work is performed byonly one person in exceptional cases, effective supervision or appropriate monitoring must be ensured.
If pronounced noise pollution is caused by certain activities, the coordinator must be informed at an
early stage to permit him to coordinate working hours accordingly or to define appropriate noise
protection measures.
Any identified potential accident risks or safety-relevant deficiencies at the worksite or in the work
environment must be immediately reported to the coordinator by the non-ZEISS company's staff.
The coordinator then decides on if and how work will be continued.

Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
Consumption for Non-ZEISS Staff

5.2 Work equipment
All work equipment must be suitable for the work to be performed and in a safe operational condition.
Work equipment of ZEISS will only be made available in exceptional cases. In accordance with theGerman Operational Safety Ordinance, it is the responsibility of the non-ZEISS company's staff toensure that the work equipment is used as intended.
The operation of electrical work equipment in areas without worksite power distribution is only
permissible in combination with a mobile protection device (e.g. PRCD-S from Kopp).
5.3 Personal protection equipment
Personal protection equipment must be provided by the non-ZEISS company to the extent required
and must be worn by the non-ZEISS company's staff. If special personal protection equipment isneeded, this will be made available by ZEISS by arrangement with the coordinator. If the non-ZEISS
company's staff fails to wear the stipulated personal protection equipment, the coordinator is entitledto ban the non-ZEISS company's staff from continuing their activities.
5.4 Fire safety and explosion control / work on open flames
For safety reasons, smoking on the company premises (both in the buildings and outdoors) is
restricted or prohibited. The regulations applicable at the respective site must be observed.
Prior to welding and burning work, activities producing sparks or involving the use of an open flame,
work for which the fire alarm system must be deactivated due to emissions, and work in explosive
areas, the coordinator must be notified and written permission obtained from the relevant
department ("Notification on work involving the use of an open flame"). If necessary, specific fire alertlines must be enabled or a fireguard must be made available before the activities commence.
In addition, it is absolutely vital that the following points be observed:• Staircases, traffic routes and exits must not be obstructed.
• Special doors intended to prevent the spread of fire and smoke (fire or smoke doors) must not
be disabled through the use of wedges or other devices to keep them open. Flammableliquids must be kept at the worksite only in the daily quantity required• Extensive accumulation of dust must be removed on a daily basis• Whenever possible, work that generates particles must be completed away from closed
rooms; attention must be given to ventilation systems such work must be coordinated with thecoordinator.
• Flammable liquids must not be discharged into the sewage system via wash basins, toilets orother drains• Flammable waste must be removed from the worksite on a daily basis
5.5 Environmental protectionZEISS is particularly committed to the responsible treatment of the environment, including efficientenergy consumption.

Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
Consumption for Non-ZEISS Staff

The guiding principles of ZEISS for environmental protection are:
•
•
•
•
•
•

Environmental protection is a core consideration in all our activities
We protect our environment and use all natural resources sparingly
We view environmental protection and the preservation of our natural surroundings as our
corporate duty
We take a holistic and highly professional approach to environmental issues
We incorporate the requirements of an intact environment into the development, design,
manufacturing processes, as well as the packaging and shipping of our products
With our environmentally conscious behavior, we strive to avoid or minimize burdens onhumankind and nature

The ZEISS Policy, which includes environmental an energy efficiency, is attached in Appendix 1.
The guiding principles of ZEISS for efficient energy consumption are:
•
•
•
•
•
•

Incorporate energy efficiency into the design and operation of systems, processes andfacilities
Continually analyze and improve energy-based activities
Take a holistic and highly professional approach to operational energy issues
Ensure the legally compliant implementation of operational energy management
Anchor in the procurement process energy-based activities as a key decision-making criterion
Identify possibilities of innovative and sustainable solutions for enhanced energy-based
activities

Responsible treatment of the environment and energy is also expected from service providers working
for ZEISS, from the staff of non-ZEISS companies and from suppliers. The instructions of the relevant
ZEISS employees must be obeyed.
Compliance must be ensured with the provisions relating to the handling of hazardous substances(German Chemicals Act, including the applicable statutory ordinances and relevant technicaldirectives), water pollution control (German Federal Water Act, including the applicable statutory
ordinances), waste legislation (German Closed Substance Cycle and Waste Management Act,
including the applicable statutory ordinances), immission control (German Immission Control Act
including the applicable statutory ordinances) and hazardous materials legislation (German Transportof Hazardous Goods Law and applicable statutory ordinances). Furthermore, the non-ZEISS
company's staff must comply with the provisions of the management system in force at Carl Zeiss.
All activities that may potentially affect the environment or the use/consumption of energy must only
be performed by appropriately qualified non-ZEISS specialists. Evidence of expertise and training
must be presented to the client before commencement of the activities without being explicitly
prompted. If such evidence is not presented, the client reserves the right to demand the evidence fromthe contractor. If no evidence is available, the client reserves the right to provide appropriate briefing
to the non-ZEISS company's staff.
All raw materials, auxiliary materials and operating supplies used by the non-ZEISS company's staff
during their work on the company premises must be used as instructed by the manufacturer.
Hazardous substances may only be brought to the company premises with the prior written consent of
ZEISS. For this, the coordinator must be contacted. This approval must be obtained beforehand, i.e.
before entering the company premises.
Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
Consumption for Non-ZEISS Staff

When handling substances hazardous to water, precautionary action conforming to the current stateof the art must be taken (e.g. collection tanks, filling aids).
For all activities on systems where substances hazardous to water are produced, treated, used,
stored, bottled or shipped, evidence must be provided that the contractor is a certified specialist inaccordance with the German Federal Water Act.
All waste/residual materials resulting from the contractual work or brought to the company premises by
the non-ZEISS company's staff must be disposed of properly.
All waste/residual materials resulting from building, repair, maintenance and servicing activities, e.g.
empty containers (paint and glue cans, pressure gas containers etc.), cuttings of materials newly
brought to the company premises (e.g. residues of absorbing and insulating materials, carpeting, PVC
flooring, laminate, parquet flooring, wood) as well as all packaging material etc. must be disposed ofby the non-ZEISS company's staff on their own responsibility and in accordance with the relevant waste
legislation provisions. No waste may be stored or deposited on the client’s premises. Any
waste/residual materials produced during the contractual work must be removed by the non-ZEISS
company's staff without prompting and free of charge. Any special arrangements must be agreed uponwith the waste management department of the site involved.
In the event of waste transport, the contractor must submit to the client a copy of the current transportpermit issued by the relevant authority and must comply with the requirements of the German
Ordinance on Waste Recovery and Disposal Records without being explicitly requested to do so.
Vehicles used to transport waste must be labeled in accordance with legal stipulations.
For work on installations relevant for immission control, the legal requirements must be complied withand the necessary expertise must be confirmed.
The transport of hazardous materials must only be performed in accordance with the current versionof the applicable hazardous materials legislation, in particular the German Transport of Hazardous
Goods Law (GGBefG) and the German Hazardous Freight Ordinance for Road/Rail/Inland Water
Navigation (GGVSEB) in combination with the applicable ADR (European Agreement concerning theInternational Carriage of Hazardous Goods by Road). Vehicles used to transport hazardous materials
must be labeled in accordance with legal stipulations. The contractor agrees to the auditing of his own
and, if applicable, his subcontractors' hazardous goods transports by authorized staff of the client aswell as to the inspection of the ADR certificates of his own and, if applicable, his subcontractors'
hazardous goods drivers.
5.6 Conclusion of activities
After completion of the contractual work, a joint final inspection must be conducted by the client andcontractor. In particular, it must be ensured that all safety devices have been restored to perfectfunctional order. The final inspection and the transfer of the deliverables to the client must be
documented (e.g. using a transfer and acceptance report).
6. Information Security
The non-ZEISS company's staff is obligated to treat all information, business processes anddocuments disclosed to them within the scope of their contractual activities with strict confidence visà-vis third parties during and after fulfillment of the contract. The contractor undertakes to have anappropriate non-disclosure agreement signed by the persons involved in the fulfillment of thecontract.
Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
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It is generally not permitted to connect non-Zeiss computers to the corporate network. Such aconnection via Ethernet cable or WLAN is only permitted after a guest account has been set up.
7. Prohibition of Cooperation with Listed Persons
The contractor is obligated to check in advance whether any of his own employees, the subcontractor
and employees of the subcontractor who will be working for the client to complete this agreement havebeen listed under embargos or prohibition ordinances of the European Union (e.g. anti-terror lists inthe annexes of Community Regulations 2580/2001; 881/2002 and 753/2011) and the prohibition listsof the USA. Employees listed in embargos and prohibition ordinances of the European Union and the
USA must not perform work in any function for the client. In the event that the contractor fails to comply
with these obligations, the contractor shall indemnify the client for all resulting damage and costs (e.g.
fines).
In addition, the client shall not make any payments to the contractor inasmuch as that these payments
arise from the work of the employee concerned because these are prohibited in accordance with theunderlying legal stipulations.
The contractor shall conduct such checks on an ongoing basis, at a minimum when the applicableembargo and other prohibition lists are updated. The review shall be conducted at a minimum on thebasis of the following lists:
1. Consolidated list of the European embargos against individuals:

https://www.finanz-sanktionsliste.de/fisalis/
2. Consolidated list of the embargos against individuals of the USA:https://www.export.gov/csl-search

Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Instructions on Safety, Environmental Protection, Fire Safety and Efficient Energy
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Confirmation Form for Non-ZEISS Companies

Please bring the contents of this directive to the attention of your employees who will perform
work at ZEISS or its affiliated companies in accordance with §§15 ff of the German Stock
Corporation Act (AktG). To confirm that appropriate briefing has been conducted, please sign
this form and return it to the client.

Client’s mailing address:

Contractor’s confirmation:
All employees deployed at ZEISS AG and its affiliated companies in accordance with §§15 ff
of the German Stock Corporation Act (AktG)

of the company .....................................................

have been briefed in accordance with the directive Instructions on Safety, Environmental
Protection, Fire Safety and Efficient Energy Consumption for Non-ZEISS Staff.

...........................................
Place, Date

Document No.: ST MS.21c
Version: 03......................................................
Stamp and Signature of theContractor

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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Appendix 1:

Document No.: ST MS.21c
Version: 03

Released: 2019-05-07
Owner: D. Dzimbowski / SBI-CS

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