Aerospace series - Programme Management - Guide for the risk management

This document enables to answer specific needs in the field of Aeronautics although it does not
present any sectorial characteristic and may therefore apply to the needs of other areas.
However, the specificity of some areas can lead to the use of existing sectorial standards such as
EN ISO 17666 Space systems – Risk management (ISO 17666:2003).
This document:
— proposes the main steps for setting up Risk Management framework within programme
Management. This guideline may serve as a basis for writing a Risk Management specification;
— describes a process for controlling programme risks within the defined boundaries that are
considered as tolerable. This standard process can be used as a methodological guide for writing
the programme Risk Management Plan;
— recognises the need for knowledge management related to Risk Management, in order to
capitalize and to share lessons learnt with other programmes, as well as the maturity assessment
of the Risk Management;
— identifies useful documents for Risk Management;
— proposes an example of a typical checklist of risks related to a programme;
in addition:
— addresses opportunities. An opportunity is an uncertain event with positive consequences on the
programme.

Luft- und Raumfahrt - Programme Management - Richtlinien zur Durchführung des Risikomanagement

Série aérospatiale - Management de Programme - Recommandations pour la mise en oeuvre du management des Risques

Aeronavtika - Vodenje programov - Navodilo za obvladovanje tveganja

Ta dokument podaja odgovore na posebne potrebe na področju aeronavtike, čeprav ne
predstavlja nobenih sektorskih značilnosti in se zato lahko uporablja na drugih področjih.
Vendar specifičnost nekaterih področij lahko vodi do uporabe obstoječih sektorskih standardov, kot je
EN ISO 17666, Vesoljski sistemi – Obvladovanje tveganja (ISO 17666:2003).
Ta dokument:
– predlaga glavne korake za vzpostavitev okvira za obvladovanje tveganja znotraj programskega upravljanja. Ta smernica se uporablja kot osnova za pisanje specifikacije za obvladovanje tveganja;
– opisuje postopek za tveganja programskega upravljanja znotraj opredeljenih mej, ki se štejejo za sprejemljive. Ta postopek standarda se uporablja kot metodološki vodič pri pisanju programskih načrtov za obvladovanje tveganja;
– prepoznava potrebo po obvladovanju znanja v zvezi z obvladovanjem tveganja za kapitalizacijo in deljenje izkušenj, pridobljenih v drugih programih, ter po oceni zrelosti za obvladovanje tveganja;
– opredeljuje uporabne dokumente za obvladovanje tveganja;
– predlaga primer običajnega kontrolnega seznama za tveganja, povezana s programom;
in
– obravnava priložnosti. Priložnost je negotov dogodek s pozitivnimi posledicami za program.

General Information

Status
Published
Publication Date
06-Jun-2016
Technical Committee
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
31-May-2016
Due Date
05-Aug-2016
Completion Date
07-Jun-2016

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SLOVENSKI STANDARD
SIST EN 9239:2016
01-julij-2016
Aeronavtika - Vodenje programov - Navodilo za obvladovanje tveganja
Aerospace series - Programme Management - Guide for the risk management
Luft- und Raumfahrt - Programme Management - Richtlinien zur Durchführung des
Risikomanagement
Série aérospatiale - Management de Programme - Recommandations pour la mise en
oeuvre du management des Risques
Ta slovenski standard je istoveten z: EN 9239:2016
ICS:
03.100.01 Organizacija in vodenje Company organization and
podjetja na splošno management in general
49.020 Letala in vesoljska vozila na Aircraft and space vehicles in
splošno general
SIST EN 9239:2016 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN 9239:2016

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SIST EN 9239:2016


EN 9239
EUROPEAN STANDARD

NORME EUROPÉENNE

May 2016
EUROPÄISCHE NORM
ICS 49.020
English Version

Aerospace series - Programme Management - Guide for the
risk management
Série aérospatiale - Management de Programme - Luft- und Raumfahrt - Programme Management -
Recommandations pour la mise en oeuvre du Richtlinien zur Durchführung des Risikomanagement
management des Risques
This European Standard was approved by CEN on 13 May 2016.

CEN 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 CEN
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 CEN member into its own language and notified to the CEN-CENELEC Management
Centre has the same status as the official versions.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and
United Kingdom.





EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION

EUROPÄISCHES KOMITEE FÜR NORMUNG

CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels
© 2016 CEN All rights of exploitation in any form and by any means reserved Ref. No. EN 9239:2016 E
worldwide for CEN national Members.

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SIST EN 9239:2016
EN 9239:2016 (E)
Contents Page
1 Scope . 4
2 Normative references . 4
3 Terms and definitions . 5
4 Framework of Risk Management in the programme . 6
4.1 General. 6
4.2 Customer’s requirements . 6
4.3 Roles and Responsibilities. 6
4.4 Multidisciplinary groups . 7
5 Risk Management process . 7
5.1 Steps of risk management . 7
5.2 Process synoptic . 13
5.3 Consolidation of risk . 14
5.4 Maturity of programme Risk Management approach . 14
6 Risk Management tools . 14
7 Awareness and Training . 15
8 Documentation . 15
9 Opportunity management concept . 16
9.1 Opportunity management process . 16
9.2 Identification of opportunities . 16
9.3 Assessment and prioritization of opportunities . 16
9.4 Opportunity treatment . 16
9.5 Secondary risks . 16
Annex A (informative) List type per category . 17
Annex B (informative) Example of risk sheet . 19
Annex C (informative) Example of qualitative and quantitative assessments . 20
Annex D (informative) Example of 3 colour code criticality and acceptability matrix:
general risk mapping . 22
Annex E (informative) Example of Risks Portfolio . 23
Annex F (informative) Risk assessment report . 24
Annex G (informative) Maturity of programme risk management: assessment criteria . 25
Bibliography . 29

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EN 9239:2016 (E)
European foreword
This document (EN 9239:2016) has been prepared by the Aerospace and Defence Industries
Association of Europe - Standardization (ASD-STAN).
After enquiries and votes carried out in accordance with the rules of this Association, this Standard has
received the approval of the National Associations and the Official Services of the member countries of
ASD, prior to its presentation to CEN.
This European Standard shall be given the status of a national standard, either by publication of an
identical text or by endorsement, at the latest by November 2016, and conflicting national standards
shall be withdrawn at the latest by November 2016.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CEN [and/or CENELEC] shall not be held responsible for identifying any or all such
patent rights.
According to the CEN-CENELEC Internal Regulations, the national standards organizations of the
following countries are bound to implement this European Standard: Austria, Belgium, Bulgaria,
Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia,
France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta,
Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland,
Turkey and the United Kingdom.
3

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Introduction
Risk Management forms an integral part of programme management. It should be implemented right
from the start of the project feasibility phase and continue until material disposal. The ultimate goal is
to contribute to an appropriate definition of programme objectives (costs, schedules and
performances …) and to continuously ensure that they are met or enhanced, despite any events likely
to affect the programme through its lifecycle. By implementing methods, the programme manager can
manage risks in another way than by using intuitive and non-formalised procedures. The aim of this
document is to describe the implementation of Risk Management within the Programme Management
framework. It complements programme management guidelines EN 9200.
This document is to be used as a basis, for any given programme, for negotiating the requirements and
relationships between customers and suppliers; they should comply with to ensure Management of
Risk.
1 Scope
This document enables to answer specific needs in the field of Aeronautics although it does not
present any sectorial characteristic and may therefore apply to the needs of other areas.
However, the specificity of some areas can lead to the use of existing sectorial standards such as
EN ISO 17666 Space systems – Risk management (ISO 17666:2003).
This document:
— proposes the main steps for setting up Risk Management framework within programme
Management. This guideline may serve as a basis for writing a Risk Management specification;
— describes a process for controlling programme risks within the defined boundaries that are
considered as tolerable. This standard process can be used as a methodological guide for writing
the programme Risk Management Plan;
— recognises the need for knowledge management related to Risk Management, in order to
capitalize and to share lessons learnt with other programmes, as well as the maturity assessment
of the Risk Management;
— identifies useful documents for Risk Management;
— proposes an example of a typical checklist of risks related to a programme;
in addition:
— addresses opportunities. An opportunity is an uncertain event with positive consequences on the
programme.
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
EN 9200, Aerospace series — Programme management — Guidelines for project management
specification
4

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3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
3.1
risk
uncertain event or circumstance which could have a negative impact on the objectives of the
programme
3.2
cause
event which is at the origin of a potential risk
3.3
severity
assessment of the significance of a risk impact with respect to the potential consequences on a
programme
3.4
impact
effects of a risk on the programme should it occur
3.5
criticality/level of risk
characteristic of the risk significance. It enables prioritization of the risks
Note 1 to entry: It is generally the combination of the severity and the probability of the risk.
3.6
detectability
ability or capacity to detect the direct trace of a risk or the triggering point of one of its causes
3.7
level of risk tolerance
criticality value beyond which specific actions to treat the risk are required
3.8
likelihood / probability/occurrence of the risk
assessment of the probability / likelihood or frequency of a risk to occur
3.9
risk portfolio
represented set of identified risks intended to be treated
3.10
lessons learnt - experience feedback
collection and exploitation, by all the stakeholders, of information concerning the events which have
occurred throughout programme, relating to risk management
3.11
residual risk
risk remaining after mitigating actions (protection, prevention, …)
5

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EN 9239:2016 (E)
3.12
opportunity
uncertain event or circumstance with potentially positive effects on the objectives (improvement) of a
programme
4 Framework of Risk Management in the programme
4.1 General
The framework of Risk Management in the programme should be set up right from the feasibility
phase through to disposal phase.
It covers the whole life cycle of the programme, all its components and activities.
It is led by the programme manager, who is responsible for defining the conditions within which it is
organised and operated.
It is based on multidisciplinary skills (law, technical, finance, logistics, …) in order to identify the
various aspects of risks and take into account the different points of view.
All programme stakeholders have a role, and should take an active part in Risk Management.
The Risk Management framework is described in a document (a specific chapter of Programme
Management Plan or a dedicated Risk Management Plan) approved established by the programme
manager.
4.2 Customer’s requirements
The customer should express in the programme management specification his requirements
concerning the implementation by his supplier, if necessary, of a risk management framework as well
as the rules related to risk information exchanged between customers and suppliers.
The supplier should comply with these requirements in one chapter of his Programme Management
Plan.
The supplier will detail in this chapter:
— programme framework in terms of Risk Management, in particular the roles and responsibilities
of each stakeholder in the programme,
— rules for cascading and or distributing these requirements to sub-contractor level,
— Risk Management process and associated deliverables (documentation, status reports, …),
— assessment, prioritization and definition criteria of risk criticality level,
— rules for sharing risk information with the customer.
4.3 Roles and Responsibilities
Programme manager: is responsible for managing the programme risks, and therefore is the risks
owner. He validates the process to be implemented as well as the assessment criteria for risk
prioritization and criticality. He ensures regular reviews of risk, validates the action plan for treating
the major risks, selects the risks treated at his level among the most critical ones, communicates with
the relevant stakeholder internal or external to the company (customers and suppliers especially), and
appoints the risk manager, if necessary.
NOTE Risk decision and acceptance should be addressed at the appropriate level specific to each
organisation.
Risk manager: defines and implements the Risk Management process under the authority of the
Programme manager, runs it in the programme, ensures a global visualisation of all risks identified in
the programme, ensures quality of data and manages communication to all those who have a stake in
the programme.
Risk owner: proposes the risk assessment. He leads the actions defined for risk treatment, ensures
that each person in charge of an action is informed of what has to be done and conducts his action.
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Action owner: carries out the assigned action.
The above mentioned organisation is to be adapted according to size and configuration of each
programme.
Others actors can be involved as “watchmen” who have to detect the weak signals coming from the
environment (economic, technical, …) of the programme(s).
4.4 Multidisciplinary groups
As risks are varied by nature, one individual person cannot ensure their complete management.
Therefore, using all the employees’ skills within the company is required during all the phases of the
process, for instance by forming multidisciplinary groups.
Resorting to internal skills requires an overall monitoring to avoid dispersion or ineffectiveness and
also the setting up of well defined rules.
Different group working methods can be involved when appropriate, which include interviews, subject
matter experts (SME), and brainstorming.
5 Risk Management process
5.1 Steps of risk management
The main stages of risk management are (see F igure 1):


Setting up the framework
Stage 1
of risk management



Identifying
Stage 2



Assessing
Stage 3



Treating
Stage 4



Capitalizing
Stage 6


Figure 1 — Main stages of risk management

7
Monitoring &
Stage 5
Controlling
Communicating
Stage 7

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SIST EN 9239:2016
EN 9239:2016 (E)
Stage 1 Setting up of Risk Management framework
Firstly, a Risk Management Plan shall be prepared, taking into account the general context of the
programme. It will include:
— organisation,
— roles and responsibilities of the main stakeholders,
— risk management process,
— reporting applied to programme (indicators, risk assessment report),
— allocated resources,
— utilised tools,
— interfaces with external entities,
— links with the programme environment/context, especially human relationships, …
Stage 2 Identifying
This step aims at identifying and sorting risks in the programme, as early as possible (according to the
company processes).
Risk identification is carried out from:
— analysis of field experience of situations having been the source of a past / previous problem,
— systematic analysis of all situations generating potential risk.
It is recommended to complete this approach with a warning system allowing to capture “weak
signals” and detect those that could become risks for the programme and to treat them after validation.
The systematic analysis of risk generating situations, in terms of causes and effects, consists in asking
oneself, for any specified objective in terms of costs, schedule and performance:
— which situations would result in not achieving this objective?
The answer to this question allows to identify the risks and to initialize the search for the causes by
endeavouring to trace back to the root cause.
This analysis can be based on a typical list of risk areas (see Annex A): policy, financial, management,
technical, … or on a typical list ordered by process.
The risks could be identified, sorted and grouped according to the processes and entities of the
organisation.
Stage 3 Assessing
A risk is characterized in particular by its probability of occurrence and its impacts if it occurs.
Probability of occurrence of a risk can be determined by its causes, the combinations of these causes
and their own probabilities of occurrence, and correlations between risks.
Impacts of a risk vary in severity according to specific objectives. A degree of severity is assigned to
the risk as a result of all its impacts. Severity is assessed by taking into account effects on the
programme objectives. This procedure may be extended to include the impacts on its company and its
environment.
Impacts may be on costs, schedule, and performance (or other category: human resources, corporate
image, technical and industrial resources).
The criticality of a risk is determined by combining the probability of its occurrence and the severity of
its effects. The various risks are prioritized according to their criticality.
The criticality is a function of probability p and severity s. Generally, this function can be the product
function of p by s.
Other criteria might be considered such as detectability or risk control level of each risk or time
closeness to balance criticality.
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a) Purpose of assessment
The purpose of assessment is to enable the prioritisation of risks. Prioritization allows defining risks to
be treated by using specific actions for each risk.
Risks identified as having a potential impact on the objectives of the programme can if necessary then
be assessed with respect to the strategic and operational objectives of the organisation/company in
charge of the programme. It may also be necessary to define the exportability criteria of the
programme risks to partners, customers and suppliers to ensure that exchange of information is
sufficient to enable achievement of the objectives of the programme while preserving the interests of
the company.
At the end of this process, it could be useful to organise and aggregate the risks in “macro-risks” either
by process or organisational entity.
b) Types of assessments
Two types of assessments are possible: qualitative and or quantitative.
1) Qualitative assessment: frequency and severity scale defined qualitatively
The purpose of a qualitative approach is to monitor the critical aspects of the programme. This
approach allows orientating the effort by:
— methodically prioritizing the potential risks of the programme;
— helping to set up the most appropriate treatment actions.
For each risk, it is recommended to assess (probability of occurrence, impact on cost and/or
profitability, schedule, performance) a scoring level ranking from “very low” to “very high”. Each level
corresponds to a scale of value to be adjusted according to the company (see example of tables in
Annex C).
2) Quantitative assessment: frequency and severity scale defined quantitatively
This approach makes the qualitative assessment more accurate and allows:
— a more accurate prioritization of risks,
— an assessment of the overall programme risk exposure.
See tables in Annex C.
It is better to define a scale with an even number of levels which prevents from the tendency to select
the medium one.
c) How to prioritize the risks: determination of their criticality?
The criticality of each risk can be determined by combining both level of occurrence probability and
highest impact level among costs, schedule, and performances.
A collegial strengthening made by a multi-disciplinary group of the listed risks is necessary at the end
of stage 3 “Assessment” to take into account the high number of risks, processes, stakeholders and
organisations associated which are concerned (see paragraph 5.3).
The general purpose of strengthening is to obtain a synthetic view of the “risk portfolio” (see Annex E)
and to facilitate decision making at Management programme level.
Criticality scale: See Annex D.
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d) Difficulty of the evaluation
The main difficulties are:
Concerning the occurrence assessment:
— few quantitative metrics available on the shelves.
To overcome this difficulty, we can encourage the use of conventional scale such as that presented in
the Annexes C, D and E. Anyway, there shall be a common scale for all parties involved in the process.
Where appropriate, we can define rules for transforming one scale to another.
— A common scale/rating depends on:
— domain,
— nature of the impact considered.
It is necessary to adapt the scales for each type of impact analysis. Annex C provides a mapping
between the qualitative and quantitative approach for different types of impact.
Concerning the severity assessment:
— The risk rating in terms of severity depends on the level of responsibility in the organisation
which can lead to a lack of coherence between the different rating scales.
— It is necessary to adjust the levels of severity depending on the relative level of the programme
and its place in the organisational system in order to prioritize risks.
Concerning the criticity assessment:
— It is necessary to take particular care for the evaluation and exploitation in terms of action plan to
criticality, where severity is very high and very low frequency of occurrence, or vice versa.
EXAMPLE Very low frequency of occurrence and financial impact or in terms of safety (of people and
goods) major.
e) The concept of proximity and manageability
Proximity and manageability of a risk may be considered in weighing its criticality (combination of the
probability of risk occurring and its impact [cost, schedule, performance, see paragraph c)].
The concept of proximity considers the difference between the estimated date of occurrence of the risk
and the current date of the project. The concept of manageability takes into account the ability to
control risk.
These concepts are useful to help how to prioritize the risks. It may be more urgent to address risk:
— with a date of occurrence in the short term rather than a risk with a date of occurrence in the
longer term,
— easily controllable rather than a difficult one to control and/or requiring changes.
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Stage 4 Actions
Stage 4 consists in:
— defining, with the agreement of the programme manager, the appropriate actions to reduce the
criticality of each risk to an acceptable level with respect to the programme objectives.
— implementing the actions,
— checking their efficiency.
Budget and resources required for the Risk Management activity are defined at the start of the
programme; it includes provision for risk mitigation activities and coverage for residual risk. This is
under the responsibility of the programme manager.
Generally speaking, implementation of a cost/benefit oriented approach shall be required for
assessing the efficiency of the risk treatment activities.
For each of these actions, one action owner, action name, deadline and state of progress of action shall
be clearly defined.
Each action aims at, either:
— avoiding / terminating the risk,
— reducing its criticality by reducing its probability of occurrence and/or its impact(s),
— accepting the risk while continuing to monitor it,
— transferring or sharing the responsibility with a third party in order to globally optimize costs and
schedule,
— or financing the risk (insurance or other provisions).
Risk treatment activities shall be included in the general programme planning.
The defined action plans shall not generate any new risks or constraints that are not acceptable.
Stage 5 Monitoring and Controlling
Data shall be recorded and updated in a risk sheet at all steps (identifying, assessing and acting) of risk
Management (see example in Annex B).
Based on the Risk Management Plan, Risk Management activities are monitored during progress
review meetings. This consists in reviewing risk reports analysis (see Annex F).
As the project is progressing, the risk portfolio shall be updated according to events which occur and
any newly collected information.
Therefore, purpose of stage 5 is to:
— update initial list of risks (stage 2),
— refine assessment data (stage 3) of already known risks,
— check that treatment activities are carried out (stage 4) and assess their efficiency, update the list
of actions,
— reassess the risk criticality accordingly (stage 3),
— monitor the occurrence of negative events and their consequences.
Risk monitoring can be based on different indicators and reporting statements related to the
programme risk portfolio and they are defined in the Risk Management Plan:
— evolution of criticality at each update,
— number of risks per category,
— number of risks per entity,
— number of risks per criticality level,
— number of actions in progress, and number of actions actually closed,
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EN 9239:2016 (E)
— .
Stage 6 Capitalizing
It is necessary to capitalize know-how and lessons learnt in the areas of Risk Management.
For this purpose, appropriate methodology and tools shall be set up.
NOTE Lessons learnt can contribute to the improvement / adaptation of the Risks Management process
itself or its implementation.
Stage 7 Communicating
It is necessary to communicate the programme risks at all stages described above.
Indeed the notion of returning to the relevant stakeholders should be enhanced. It's not just the
decision-making. This affects the involvement and motivation of the actors in the process. The
feedback is critical.
This communication shall be:
— ascending and descending,
— between different stakeholders and actors involved in the programme.
This communication shall be organized, formalized and mapped.
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5.2 Process synoptic
See Figure 2.

1. Setting up the framework

R isk managem
...

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