EN IEC 31010:2019

Risk management - Risk assessment techniques

IEC 31010:2019 is published as a double logo standard with ISO and provides guidance on the selection and application of techniques for assessing risk in a wide range of situations. The techniques are used to assist in making decisions where there is uncertainty, to provide information about particular risks and as part of a process for managing risk. The document provides summaries of a range of techniques, with references to other documents where the techniques are described in more detail. This second edition cancels and replaces the first edition published in 2009. This edition constitutes a technical revision. This edition includes the following significant technical changes with respect to the previous edition: • more detail is given on the process of planning, implementing, verifying and validating the use of the techniques; • the number and range of application of the techniques has been increased; • the concepts covered in ISO 31000 are no longer repeated in this standard. Keywords: uncertainty, risk management

Risikomanagement - Verfahren zur Risikobeurteilung

Management du risque - Techniques d'appréciation du risque

IEC 31010:2019 est publiée en tant que norme double logo avec ISO et donne des recommandations pour le choix et l'application des techniques d'appréciation du risque dans différentes situations. Ces techniques visent à aider à la prise de décision en cas d'incertitude, à donner des informations relatives à des risques particuliers et dans le cadre d'un processus de management du risque. Le document récapitule l'éventail des techniques, avec des références vers d'autres documents où ces techniques sont décrites de manière plus précise. Cette deuxième édition annule et remplace la première édition parue en 2009. Cette édition constitue une révision technique. Cette édition inclut les modifications techniques majeures suivantes par rapport à l'édition précédente: • les processus de planification, de mise en œuvre, de vérification et de validation de l'utilisation des techniques sont décrits de manière plus précise; • le nombre et la plage d'application des techniques ont été élargis; • les concepts couverts par l'ISO 31000 ne sont plus traités dans la présente norme. Mots clés : incertitude, management du risque

Obvladovanje tveganja - Tehnike ocenjevanja tveganja (IEC 31010:2019)

Ta mednarodni standard zagotavlja smernice glede izbire in uporabe tehnik ocenjevanja tveganja v številnih okoliščinah. Tehnike, ki se uporabljajo za pomoč pri odločanju v primeru negotovosti, zagotavljajo informacije o določenih tveganjih in so del procesa upravljanja tveganja. Ta dokument vsebuje povzetke številnih tehnik in se sklicuje na druge dokumente, v katerih so tehnike podrobno opisane.

General Information

• Status: Published
• Publication Date: 15-Aug-2019
• Withdrawal Date: 17-Jul-2022
• ICS: 03.100.01 - Company organization and management in general
• Technical Committee: CLC/SR 56 - Dependability
• Drafting Committee: IEC/TC 56 - IEC_TC_56
• Current Stage: 6060 - Document made available - Publishing
• Start Date: 16-Aug-2019
• Completion Date: 16-Aug-2019
• Ref Project: SIST EN IEC 31010:2019 - Risk management - Risk assessment techniques (IEC 31010:2019)

Relations

• Replaces: EN 31010:2010 - Risk management - Risk assessment techniques
• Effective Date: 23-Jan-2023

Standards Content (Sample)

SLOVENSKI STANDARD
01-oktober-2019
Nadomešča:
SIST EN 31010:2010
SIST ISO/IEC 31010:2011
Obvladovanje tveganja - Tehnike ocenjevanja tveganja (IEC 31010:2019)
Risk management - Risk assessment techniques (IEC 31010:2019)
Risikomanagement - Verfahren zur Risikobeurteilung (IEC 31010:2019)
Gestion des risques - Techniques d'évaluation des risques (IEC 31010:2019)
Ta slovenski standard je istoveten z: EN IEC 31010:2019
ICS:
03.100.01 Organizacija in vodenje Company organization and
podjetja na splošno management in general
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

EUROPEAN STANDARD EN IEC 31010

NORME EUROPÉENNE
EUROPÄISCHE NORM
August 2019
ICS 03.100.01 Supersedes EN 31010:2010 and all of its amendments
and corrigenda (if any)
English Version
Risk management - Risk assessment techniques
(IEC 31010:2019)
Management du risque - Techniques d'appréciation du Risikomanagement - Verfahren zur Risikobeurteilung
risque (IEC 31010:2019)
(IEC 31010:2019)
This European Standard was approved by CENELEC on 2019-07-18. CENELEC members are bound to comply with the CEN/CENELEC
Internal Regulations which stipulate the conditions for giving this European Standard the status of a national standard without any alteration.
Up-to-date lists and bibliographical references concerning such national standards may be obtained on application to the CEN-CENELEC
Management Centre or to any CENELEC member.
This European Standard exists in three official versions (English, French, German). A version in any other language made by translation
under the responsibility of a CENELEC member into its own language and notified to the CEN-CENELEC Management Centre has the
same status as the official versions.
CENELEC members are the national electrotechnical committees of Austria, Belgium, Bulgaria, Croatia, Cyprus, the Czech Republic,
Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the
Netherlands, Norway, Poland, Portugal, Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and the United Kingdom.

European Committee for Electrotechnical Standardization
Comité Européen de Normalisation Electrotechnique
Europäisches Komitee für Elektrotechnische Normung
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2019 CENELEC All rights of exploitation in any form and by any means reserved worldwide for CENELEC Members.
Ref. No. EN IEC 31010:2019 E
European foreword
The text of document 56/1837/FDIS, future edition 2 of IEC 31010, prepared by IEC/TC 56
"Dependability" was submitted to the IEC-CENELEC parallel vote and approved by CENELEC as
The following dates are fixed:
• latest date by which the document has to be implemented at national (dop) 2020-04-18
level by publication of an identical national standard or by endorsement
• latest date by which the national standards conflicting with the (dow) 2022-07-18
document have to be withdrawn
This document supersedes EN 31010:2010.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CENELEC shall not be held responsible for identifying any or all such patent rights.

Endorsement notice
The text of the International Standard IEC 31010:2019 was approved by CENELEC as a European
Standard without any modification.

In the official version, for Bibliography, the following notes have to be added for the standards
indicated:
IEC 62740 NOTE Harmonized as EN 62740
IEC 60812 NOTE Harmonized as EN IEC 60812
IEC 61882 NOTE Harmonized as EN 61882
ISO 22000 NOTE Harmonized as EN ISO 22000
IEC 61508 (series) NOTE Harmonized as EN 61508 (series)
IEC 61511 (series) NOTE Harmonized as EN 61511 (series)
ISO 22301 NOTE Harmonized as EN ISO 22301
IEC 62502 NOTE Harmonized as EN 62502
IEC 62508 NOTE Harmonized as EN 62508
IEC 61165 NOTE Harmonized as EN 61165
IEC 60300-3-11 NOTE Harmonized as EN 60300-3-11

Annex ZA
(normative)
Normative references to international publications
with their corresponding European publications
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments)
applies.
NOTE 1  Where an International Publication has been modified by common modifications, indicated by (mod), the relevant
EN/HD applies.
NOTE 2  Up-to-date information on the latest versions of the European Standards listed in this annex is available here:
www.cenelec.eu.
Publication Year Title EN/HD Year
ISO 31000 2018 Risk management_- Guidelines - -
ISO Guide 73 2009 Risk management_- Vocabulary - -

IEC 31010
Edition 2.0 2019-06
INTERNATIONAL
STANDARD
NORME
INTERNATIONALE
colour
inside
Risk management – Risk assessment techniques

Management du risque – Techniques d'appréciation du risque

INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
COMMISSION
ELECTROTECHNIQUE
INTERNATIONALE
ICS 03.100.01 ISBN 978-2-8322-6989-3

– 2 – IEC 31010:2019  IEC 2019
CONTENTS
FOREWORD . 6
INTRODUCTION . 8
1 Scope . 9
2 Normative references . 9
3 Terms and definitions . 9
4 Core concepts . 10
4.1 Uncertainty . 10
4.2 Risk . 11
5 Uses of risk assessment techniques . 11
6 Implementing risk assessment . 12
6.1 Plan the assessment . 12
6.1.1 Define purpose and scope of the assessment . 12
6.1.2 Understand the context . 13
6.1.3 Engage with stakeholders . 13
6.1.4 Define objectives . 13
6.1.5 Consider human, organizational and social factors . 13
6.1.6 Review criteria for decisions . 14
6.2 Manage information and develop models . 16
6.2.1 General . 16
6.2.2 Collecting information . 16
6.2.3 Analysing data . 16
6.2.4 Developing and applying models . 17
6.3 Apply risk assessment techniques. 18
6.3.1 Overview . 18
6.3.2 Identifying risk . 19
6.3.3 Determining sources, causes and drivers of risk . 19
6.3.4 Investigating the effectiveness of existing controls . 20
6.3.5 Understanding consequences, and likelihood . 20
6.3.6 Analysing interactions and dependencies . 22
6.3.7 Understanding measures of risk . 22
6.4 Review the analysis . 25
6.4.1 Verifying and validating results . 25
6.4.2 Uncertainty and sensitivity analysis . 25
6.4.3 Monitoring and review . 26
6.5 Apply results to support decisions . 26
6.5.1 Overview . 26
6.5.2 Decisions about the significance of risk . 27
6.5.3 Decisions that involve selecting between options . 27
6.6 Record and report risk assessment process and outcomes . 28
7 Selecting risk assessment techniques. 28
7.1 General . 28
7.2 Selecting techniques . 29
Annex A (informative) Categorization of techniques . 31
A.1 Introduction to categorization of techniques . 31
A.2 Application of categorization of techniques . 31
A.3 Use of techniques during the ISO 31000 process . 37

IEC 31010:2019  IEC 2019 – 3 –
Annex B (informative) Description of techniques . 40
B.1 Techniques for eliciting views from stakeholders and experts. 40
B.1.1 General . 40
B.1.2 Brainstorming . 40
B.1.3 Delphi technique . 42
B.1.4 Nominal group technique . 43
B.1.5 Structured or semi-structured interviews . 44
B.1.6 Surveys . 45
B.2 Techniques for identifying risk. 46
B.2.1 General . 46
B.2.2 Checklists, classifications and taxonomies . 47
B.2.3 Failure modes and effects analysis (FMEA) and failure modes, effects
and criticality analysis (FMECA) . 49
B.2.4 Hazard and operability (HAZOP) studies . 50
B.2.5 Scenario analysis . 52
B.2.6 Structured what if technique (SWIFT) . 54
B.3 Techniques for determining sources, causes and drivers of risk . 55
B.3.1 General . 55
B.3.2 Cindynic approach . 56
B.3.3 Ishikawa analysis (fishbone) method . 58
B.4 Techniques for analysing controls . 60
B.4.1 General . 60
B.4.2 Bow tie analysis . 60
B.4.3 Hazard analysis and critical control points (HACCP) . 62
B.4.4 Layers of protection analysis (LOPA) . 64
B.5 Techniques for understanding consequences and likelihood . 66
B.5.1 General . 66
B.5.2 Bayesian analysis .
...