EN 16601-80-2014 en Space project management - Part 80 Risk management《太空项目管理 第80部分 风险管理》.pdf

1、BSI Standards PublicationBS EN 16601-80:2014Space project managementPart 80: Risk managementBS EN 16601-80:2014 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of EN 16601-80:2014.It supersedes BS EN ISO 17666:2003 which is withdrawn.The UK participation in its prepar

2、ation was entrusted to TechnicalCommittee ACE/68, Space systems and operations.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisions of a contract. Users are responsible for its correc

3、tapplication. The British Standards Institution 2014. Published by BSI StandardsLimited 2014ISBN 978 0 580 83333 5ICS 49.140Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was published under the authority of theStandards Policy and Strategy Comm

4、ittee on 31 August 2014.Amendments issued since publicationDate Text affectedBS EN 16601-80:2014EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM EN 16601-80 August 2014 ICS 49.140 Supersedes EN ISO 17666:2003 English version Space project management - Part 80: Risk management Systmes spatiaux - Par

5、tie 80: Management des risques Raumfahrtsysteme - Teil 80: Risikomanagement This European Standard was approved by CEN on 14 December 2013. CEN and CENELEC members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European Standard the statu

6、s 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 and CENELEC member. This European Standard exists in three official versions (English,

7、 French, German). A version in any other language made by translation under the responsibility of a CEN and CENELEC member into its own language and notified to the CEN-CENELEC Management Centre has the same status as the official versions. CEN and CENELEC members are the national standards bodies a

8、nd national electrotechnical committees 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, Port

9、ugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2014 CEN/CENELEC All rights of exploitation in any form and by any means reserved worldwide for CEN national Members and for CENELEC Members. Ref

10、. No. EN 16601-80:2014 EBS EN 16601-80:2014EN 16601-80:2014 (E) 2 Table of contents Foreword 4 Introduction 5 1 Scope . 6 2 Normative references . 7 3 Terms, definitions and abbreviated terms 8 3.1 Terms from other standards 8 3.2 Terms specific to the present standard . 8 3.3 Abbreviated terms. 9 4

11、 Principles of risk management 10 4.1 Risk management concept . 10 4.2 Risk management process . 10 4.3 Risk management implementation in a project 10 4.4 Risk management documentation . 11 5 The risk management process 12 5.1 Overview of the risk management process . 12 5.2 Risk management steps an

12、d tasks . 14 6 Risk management implementation . 21 6.1 General considerations . 21 6.2 Responsibilities . 21 6.3 Project life cycle considerations 22 6.4 Risk visibility and decision making 22 6.5 Documentation of risk management . 22 7 Risk management requirements . 24 7.1 General . 24 7.2 Risk man

13、agement process requirements 24 7.3 Risk management implementation requirements 27 Annex A (normative) Risk management policy document - DRD 29 BS EN 16601-80:2014EN 16601-80:2014 (E) 3 A.1 DRD identification . 29 A.2 Expected response . 29 Annex B (normative) Risk management plan - DRD . 32 B.1 DRD

14、 identification . 32 B.2 Expected response . 32 Annex C (normative) Risk assessment report - DRD . 35 C.1 DRD identification . 35 C.2 Expected response . 35 Annex D (informative) Risk register example and ranked risk log example 37 Annex E (informative) Contribution of ECSS Standards to the risk man

15、agement process . 40 E.1 General . 40 E.2 ECSS-M ST-Standards . 40 E.3 ECSS-Q Standards . 40 E.4 ECSS-E Standards . 41 Bibliography . 42 Figures Figure 5-1: The steps and cycles in the risk management process . 13 Figure 5-2: The tasks associated with the steps of the risk management process within

16、the risk management cycle . 13 Figure 5-3: Example of a severityofconsequence scoring scheme 14 Figure 5-4: Example of a likelihood scoring scheme . 15 Figure 5-5: Example of risk index and magnitude scheme 16 Figure 5-6: Example of risk magnitude designations and proposed actions for individual ris

17、ks . 16 Figure 5-7: Example of a risk trend . 20 BS EN 16601-80:2014EN 16601-80:2014 (E) 4 Foreword This document (EN 16601-80:2014) has been prepared by Technical Committee CEN/CLC/TC 5 “Space”, the secretariat of which is held by DIN. This standard (EN16601-80:2014) originates from ECSS-M-ST-80C.

18、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 February 2015, and conflicting national standards shall be withdrawn at the latest by February 2015. Attention is drawn to the possibility that some

19、 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. This document supersedes EN ISO 17666:2003. This document has been developed to cover specifically space systems and has therefore pr

20、ecedence over any EN covering the same scope but with a wider domain of applicability (e.g. : aerospace). 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, Croa

21、tia, 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 t

22、he United Kingdom. BS EN 16601-80:2014EN 16601-80:2014 (E) 5 Introduction Risks are a threat to project success because they have negative effects on the project cost, schedule and technical performance, but appropriate practices of controlling risks can also present new opportunities with positive

23、impact. The objective of project risk management is to identify, assess, reduce, accept, and control space project risks in a systematic, proactive, comprehensive and cost effective manner, taking into account the projects technical and programmatic constraints. Risk is considered tradable against t

24、he conventional known project resources within the management, programmatic (e.g. cost, schedule) and technical (e.g. mass, power, dependability, safety) domains. The overall risk management in a project is an iterative process throughout the project life cycle, with iterations being determined by t

25、he project progress through the different project phases, and by changes to a given project baseline influencing project resources. Risk management is implemented at each level of the customer-supplier network. Known project practices for dealing with project risks, such as system and engineering an

26、alyses, analyses of safety, critical items, dependability, critical path, and cost, are an integral part of project risk management. Ranking of risks according to their criticality for project success, allowing management attention to be directed to the essential issues, is a major objective of risk

27、 management. The project actors agree on the extent of the risk management to be implemented in a given project depending on the project definition and characterization. BS EN 16601-80:2014EN 16601-80:2014 (E) 6 1 Scope This Standard defines the principles and requirements for integrated risk manage

28、ment on a space project; it explains what is needed to implement a projectintegrated risk management policy by any project actor, at any level (i.e. customer, first level supplier, or lower level suppliers). This Standard contains a summary of the general risk management process, which is subdivided

29、 into four (4) basic steps and nine (9) tasks. The risk management process requires information exchange among all project domains, and provides visibility over risks, with a ranking according to their criticality for the project; these risks are monitored and controlled according to the rules defin

30、ed for the domains to which they belong. The fields of application of this Standard are all the activities of all the space project phases. A definition of project phasing is given in ECSS-M-ST-10. This standard may be tailored for the specific characteristics and constraints of a space project in c

31、onformance with ECSS-S-ST-00. BS EN 16601-80:2014EN 16601-80:2014 (E) 7 2 Normative references The following normative documents contain provisions which, through reference in this text, constitute provisions of this ECSS Standard. For dated references, subsequent amendments to, or revisions of any

32、of these publications do not apply. However, parties to agreements based on this ECSS Standard are encouraged to investigate the possibility of applying the most recent editions of the normative documents indicated below. For undated references the latest edition of the publication referred to appli

33、es. EN reference Reference in text Title EN 16601-00-01 ECSS-ST-00-01 ECSS system - Glossary of terms EN 16601-10 ECSS-M-ST-10 Space project management Project planning and implementation BS EN 16601-80:2014EN 16601-80:2014 (E) 8 3 Terms, definitions and abbreviated terms 3.1 Terms from other standa

34、rds For the purpose of this Standard, the terms and definitions from ECSS-ST-00-01 apply, in particular for the following terms: risk residual risk risk management risk management policy 3.2 Terms specific to the present standard 3.2.1 acceptance of (risk) decision to cope with consequences, should

35、a risk scenario materialize NOTE 1 A risk can be accepted when its magnitude is less than a given threshold, defined in the risk management policy. NOTE 2 In the context of risk management, acceptance can mean that even though a risk is not eliminated, its existence and magnitude are acknowledged an

36、d tolerated. 3.2.2 (risk) communication all information and data necessary for risk management addressed to a decisionmaker and to relevant actors within the project hierarchy 3.2.3 (risk) index score used to measure the magnitude of the risk; it is a combination of the likelihood of occurrence and

37、the severity of consequence, where scores are used to measure likelihood and severity 3.2.4 individual (risk) risk identified, assessed, and mitigated as a distinct risk items in a project BS EN 16601-80:2014EN 16601-80:2014 (E) 9 3.2.5 (risk) management process consists of all the project activitie

38、s related to the identification, assessment, reduction, acceptance, and feedback of risks 3.2.6 overall (risk) risk resulting from the assessment of the combination of individual risks and their impact on each other, in the context of the whole project NOTE Overall risk can be expressed as a combina

39、tion of qualitative and quantitative assessment. 3.2.7 (risk) reduction implementation of measures that leads to reduction of the likelihood or severity of risk NOTE Preventive measures aim at eliminating the cause of a problem situation, and mitigation measures aim at preventing the propagation of

40、the cause to the consequence or reducing the severity of the consequence or the likelihood of the occurrence. 3.2.8 resolved (risk) risk that has been rendered acceptable 3.2.9 (risk) scenario sequence or combination of events leading from the initial cause to the unwanted consequence NOTE The cause

41、 can be a single event or something activating a dormant problem. 3.2.10 (risk) trend evolution of risks throughout the life cycle of a project 3.2.11 unresolved (risk) risk for which risk reduction attempts are not feasible, cannot be verified, or have proved unsuccessful: a risk remaining unaccept

42、able 3.3 Abbreviated terms For the purpose of this standard, the abbreviated terms of ECSS-S-ST-00-01 and the following apply: Abbreviation Meaning IEC International Electrotechnical Commission BS EN 16601-80:2014EN 16601-80:2014 (E) 10 4 Principles of risk management 4.1 Risk management concept Ris

43、k management is a systematic and iterative process for optimizing resources in accordance with the projects risk management policy. It is integrated through defined roles and responsibilities into the daytoday activities in all project domains and at all project levels. Risk management assists manag

44、ers and engineers by including risk aspects in management and engineering practices and judgements throughout the project life cycle, including the preparation of project requirements documents. It is performed in an integrated, holistic way, maximizing the overall benefits in areas such as: design,

45、 manufacturing, testing, operation, maintenance, and disposal, together with their interfaces; control over risk consequences; management, cost, and schedule. 4.2 Risk management process The entire spectrum of risks is assessed. Trade-offs are made among different, and often competing, goals. Undesi

46、red events are assessed for their severity and likelihood of occurrence. The assessments of the alternatives for mitigating the risks are iterated, and the resulting measurements of performance and risk trend are used to optimize the tradable resources. Within the risk management process, available

47、risk information is produced and structured, facilitating risk communication and management decision making. The results of risk assessment and reduction and the residual risks are communicated to the project team for information and follow-up. 4.3 Risk management implementation in a project Risk ma

48、nagement requires corporate commitment in each actors organization and the establishment of clear lines of responsibility and accountability from the top corporate level downwards. Project management has the overall responsibility for the implementation of risk management, ensuring an integrated, co

49、herent approach for all project domains. BS EN 16601-80:2014EN 16601-80:2014 (E) 11 Independent validation of data ensures the objectiveness of risk assessment, performed as part of the risk management process. Risk management is a continuous, iterative process. It constitutes an integral part of normal project activity and is embedded within the existing management processes. It utilizes the existing elements of the project management processes to the maximum possible extent. 4.4 Risk management documentation The risk management process is documented to ensure tha