EN 31010:2010
(Main)Risk management - Risk assessment techniques
Risk management - Risk assessment techniques
IEC/ISO 31010:2009 is a dual logo IEC/ISO supporting standard for ISO 31000 and provides guidance on selection and application of systematic techniques for risk assessment. This standard is not intended for certification, regulatory or contractual use. NOTE: This standard does not deal specifically with safety. It is a generic risk management standard and any references to safety are purely of an informative nature. Guidance on the introduction of safety aspects into IEC standards is laid down in ISO/IEC Guide 51.
Risikomanagement - Verfahren zur Risikobeurteilung
Gestion des risques - Techniques d'évaluation des risques
La CEI/ISO 31010:2009 est un logo double CEI/ISO norme d'accompagnement de l'ISO 31000 et fournit des lignes directrices permettant de choisir et d'appliquer des techniques systématiques d'évaluation des risques. La présente norme n'est pas destinée à être utilisée à des fins de certification, de réglementation ou contractuelles. NOTE: La présente norme ne traite pas spécifiquement de la sécurité. C'est une norme générale de gestion des risques et toute référence à la sécurité est purement de nature informative. Les lignes directrices sur l'introduction des aspects de sécurité dans les normes CEI est définie dans le Guide ISO/CEI 51.
Upravljanje tveganja - Tehnike ocenjevanja tveganja (IEC/ISO 31010:2009)
Ta mednarodni standard je podporni standard za ISO 31000 in zagotavlja navodilo za izbor in uporabo sistematičnih tehnik ocenjevanja tveganja. Ocenjevanje tveganja, ki poteka v skladu s tem standardom, prispeva k drugim dejavnostim upravljanja tveganja. Vpeljana je uporaba nabora tehnik, s specifičnim sklicevanjem na druge mednarodne standarde, kjer sta koncept in uporaba tehnik podrobneje opisana. Ta standard ni namenjen za certificiranje, regulatorno ali pogodbeno uporabo. Ta standard ne zagotavlja posebnih meril za prepoznavanje potrebe po analizi tveganja, niti ne določa vrste metode analize tveganja, ki je potrebna za določeno vrsto uporabe. Ta standard ne navaja vseh tehnik, zato ne pomeni, da tehnika, ki v tem standardu ni navedena, ni veljavna. Če se neka metoda lahko uporablja v določenih okoliščinah, ne pomeni, da se mora nujno uporabiti. OPOMBA Ta standard posebej ne obravnava varnosti. Je standard za splošno obvladovanje tveganja in vsako sklicevanje na varnost je popolnoma informativnega značaja. Navodilo za vpeljavo varnostnih vidikov v standarde IEC določa Vodilo 52 ISO/IEC.
General Information
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Standards Content (Sample)
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.Upravljanje tveganja - Tehnike ocenjevanja tveganja (IEC/ISO 31010:2009)Risikomanagement - Verfahren zur Risikobeurteilung (IEC/ISO 31010:2009)Gestion des risques - Techniques d'évaluation des risques (CEI/ISO 31010:2009)Risk management - Risk assessment techniques (IEC/ISO 31010:2009)03.100.01Organizacija in vodenje podjetja na splošnoCompany organization and management in generalICS:Ta slovenski standard je istoveten z:EN 31010:2010SIST EN 31010:2010en01-september-2010SIST EN 31010:2010SLOVENSKI
STANDARD
EUROPEAN STANDARD EN 31010 NORME EUROPÉENNE
EUROPÄISCHE NORM May 2010
CENELEC European Committee for Electrotechnical Standardization Comité Européen de Normalisation Electrotechnique Europäisches Komitee für Elektrotechnische Normung
Management Centre: Avenue Marnix 17, B - 1000 Brussels
© 2010 CENELEC -
All rights of exploitation in any form and by any means reserved worldwide for CENELEC members.
Ref. No. EN 31010:2010 E
ICS 03.100.01
English version
Risk management -
Risk assessment techniques (IEC/ISO 31010:2009)
Gestion des risques -
Techniques d'évaluation des risques (CEI/ISO 31010:2009)
Risikomanagement -
Verfahren zur Risikobeurteilung (IEC/ISO 31010:2009)
This European Standard was approved by CENELEC on 2010-05-01. 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 Central Secretariat 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 Central Secretariat 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, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and the United Kingdom.
IEC-CENELEC parallel vote and was approved by CENELEC as EN 31010 on 2010-05-01. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and CENELEC shall not be held responsible for identifying any or all such patent rights. The following dates were fixed: – latest date by which the EN has to be implemented
at national level by publication of an identical
national standard or by endorsement
(dop)
2011-02-01 – latest date by which the national standards conflicting
with the EN have to be withdrawn
(dow)
2013-05-01 Annex ZA has been added by CENELEC. __________ Endorsement notice The text of the International Standard IEC/ISO 31010:2009 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 60300-3-11 NOTE
Harmonized as EN 60300-3-11. IEC 61078 NOTE
Harmonized as EN 61078. IEC 61165 NOTE
Harmonized as EN 61165. IEC 61508 series NOTE
Harmonized in EN 61508 series (not modified) IEC 61511 series NOTE
Harmonized in EN 61511 series (not modified) IEC 61649 NOTE
Harmonized as EN 61649. ISO 22000 NOTE
Harmonized as EN ISO 22000. SIST EN 31010:2010
- 3 - EN 31010:2010 Annex ZA
(normative)
Normative references to international publications with their corresponding European publications
The following referenced documents are indispensable for the application 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
When an international publication has been modified by common modifications, indicated by (mod), the relevant EN/HD applies.
Publication Year Title EN/HD Year
ISO/IEC Guide 73 - Risk management - Vocabulary - Guidelines for use in standards - -
ISO 31000 - Risk management - Principles and guidelines - -
IEC/ISO 31010Edition 1.0 2009-11INTERNATIONAL STANDARD NORME INTERNATIONALERisk management – Risk assessment techniques
Gestion des risques – Techniques d'évaluation des risques
INTERNATIONAL ELECTROTECHNICAL COMMISSION COMMISSION ELECTROTECHNIQUE INTERNATIONALE XDICS 03.100.01 PRICE CODECODE PRIXISBN 2-8318-1068-2SIST EN 31010:2010 colourinside
– 2 – 31010 © IEC:2009 CONTENTS FOREWORD.4 INTRODUCTION.6 1 Scope.7 2 Normative references.7 3 Terms and definitions.7 4 Risk assessment concepts.7 4.1 Purpose and benefits.7 4.2 Risk assessment and the risk management framework.8 4.3 Risk assessment and the risk management process.8 4.3.1 General.8 4.3.2 Communication and consultation.9 4.3.3 Establishing the context.9 4.3.4 Risk assessment.10 4.3.5 Risk treatment.10 4.3.6 Monitoring and review.11 5 Risk assessment process.11 5.1 Overview.11 5.2 Risk identification.12 5.3 Risk analysis.12 5.3.1 General.12 5.3.2 Controls Assessment.13 5.3.3 Consequence analysis.14 5.3.4 Likelihood analysis and probability estimation.14 5.3.5 Preliminary Analysis.15 5.3.6 Uncertainties and sensitivities.15 5.4 Risk evaluation.15 5.5 Documentation.16 5.6 Monitoring and Reviewing Risk Assessment.17 5.7 Application of risk assessment during life cycle phases.17 6 Selection of risk assessment techniques.17 6.1 General.17 6.2 Selection of techniques.17 6.2.1 Availability of Resources.18 6.2.2 The Nature and Degree of Uncertainty.18 6.2.3 Complexity.19 6.3 Application of risk assessment during life cycle phases.19 6.4 Types of risk assessment techniques.19 Annex A (informative)
Comparison of risk assessment techniques.21 Annex B (informative)
Risk assessment techniques.27 Bibliography.90
Figure 1 – Contribution of risk assessment to the risk management process.11 Figure B.1 – Dose-response curve.37 Figure B.2 – Example of an FTA from IEC 60-300-3-9.49 Figure B.3 – Example of an Event tree.52 SIST EN 31010:2010
31010 © IEC:2009 – 3 – Figure B.4 – Example of Cause-consequence analysis.55 Figure B.5 – Example of Ishikawa or Fishbone diagram.57 Figure B.6 – Example of tree formulation of cause-and-effect analysis.58 Figure B.7 – Example of Human reliability assessment.64 Figure B.8 – Example Bow tie diagram for unwanted consequences.66 Figure B.9 – Example of System Markov diagram.70 Figure B.10 – Example of State transition diagram.71 Figure B.11 – Sample Bayes’ net.77 Figure B.12 – The ALARP concept.79 Figure B.13 – Part example of a consequence criteria table.84 Figure B.14 – Part example of a risk ranking matrix.84 Figure B.15 – Part example of a probability criteria matrix.85
Table A.1 – Applicability of tools used for risk assessment.22 Table A.2 – Attributes of a selection of risk assessment tools.23 Table B.1 – Example of possible HAZOP guidewords.34 Table B.2 – Markov matrix.70 Table B.3 – Final Markov matrix.72 Table B.4 – Example of Monte Carlo Simulation.74 Table B.5 – Bayes’ table data.77 Table B.6 – Prior probabilities for nodes A and B.77 Table B.7 – Conditional probabilities for node C with node A and node B defined.77 Table B.8 – Conditional probabilities for node D with node A and node C defined.78 Table B.9 – Posterior probability for nodes A and B with node D and Node C defined.78 Table B.10 – Posterior probability for node A with node D and node C defined.78
– 4 – 31010 © IEC:2009 INTERNATIONAL ELECTROTECHNICAL COMMISSION ____________
RISK MANAGEMENT –
RISK ASSESSMENT TECHNIQUES
FOREWORD 1) The International Electrotechnical Commission (IEC) is a worldwide organization for standardization comprising all national electrotechnical committees (IEC National Committees). The object of IEC is to promote international co-operation on all questions concerning standardization in the electrical and electronic fields. To this end and in addition to other activities, IEC publishes International Standards, Technical Specifications, Technical Reports, Publicly Available Specifications (PAS) and Guides (hereafter referred to as “IEC Publication(s)”). Their preparation is entrusted to technical committees; any IEC National Committee interested in the subject dealt with may participate in this preparatory work. International, governmental and non-governmental organizations liaising with the IEC also participate in this preparation. IEC collaborates closely with the International Organization for Standardization (ISO) in accordance with conditions determined by agreement between the two organizations. 2) The formal decisions or agreements of IEC on technical matters express, as nearly as possible, an international consensus of opinion on the relevant subjects since each technical committee has representation from all interested IEC National Committees.
3) IEC Publications have the form of recommendations for international use and are accepted by IEC National Committees in that sense. While all reasonable efforts are made to ensure that the technical content of IEC Publications is accurate, IEC cannot be held responsible for the way in which they are used or for any misinterpretation by any end user. 4) In order to promote international uniformity, IEC National Committees undertake to apply IEC Publications transparently to the maximum extent possible in their national and regional publications. Any divergence between any IEC Publication and the corresponding national or regional publication shall be clearly indicated in the latter. 5) IEC itsel
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