1、December 2014 Translation by DIN-Sprachendienst.English price group 16No part of this translation may be reproduced without prior permission ofDIN Deutsches Institut fr Normung e. V., Berlin. Beuth Verlag GmbH, 10772 Berlin, Germany,has the exclusive right of sale for German Standards (DIN-Normen).I
2、CS 49.140!%“2278899www.din.deDDIN EN 16601-80Space project management Part 80: Risk management;English version EN 16601-80:2014,English translation of DIN EN 16601-80:2014-12Raumfahrt-Projektmanagement Teil 80: Risikomanagement;Englische Fassung EN 16601-80:2014,Englische bersetzung von DIN EN 16601
3、-80:2014-12Systmes spatiaux Partie 80: Management des risques;Version anglaise EN 16601-80:2014,Traduction anglaise de DIN EN 16601-80:2014-12SupersedesDIN EN ISO 17666:2003-12www.beuth.deDocument comprises 44 pagesIn case of doubt, the German-language original shall be considered authoritative.12.1
4、4 DIN EN 16601-80:2014-12 2 A comma is used as the decimal marker. National foreword This document (EN 16601-80:2014) has been prepared by Technical Committee CEN/CLC/TC 5 “Space” (Secretariat: DIN, Germany). The responsible German body involved in its preparation was the DIN-Normenausschuss Luft- u
5、nd Raumfahrt (DIN Standards Committee Aerospace), Working Committee NA 131-10-01 AA Interoperabilitt von Informations-, Kommunikations- und Navigationssystemen. This document supersedes DIN EN ISO 17666:2003-12. This document has been developed to cover specifically space systems and has therefore p
6、recedence over any European Standard covering the same scope but with a wider domain of applicability (e.g. aerospace). Amendments This standard differs from DIN EN ISO 17666:2003-12 as follows: a) the number of the standard has been changed; b) the standard has been editorially revised. Previous ed
7、itions DIN EN ISO 17666: 2003-12 EUROPEAN 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 - Partie 80: Management des risques Raumfahrt-Projektmanagement - Te
8、il 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 status of a national standard without any alteration. Up-
9、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, French, German). A version in any other language ma
10、de 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 and national electrotechnical committees of Austria,
11、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, Sw
12、itzerland, 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. No. EN 16601-80:2014 ETable of contents Foreword 4
13、 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 Principles of risk management 10 4.1 Risk management concept . 10 4.2 Risk management process
14、 . 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 and tasks . 14 6 Risk management implementation . 21 6.1 General considerations . 21 6.2 Respons
15、ibilities . 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 management process requirements 24 7.3 Risk management implementation requirements 27 Annex A (no
16、rmative) Risk management policy document - DRD 29 DIN EN 16601-80:2014-12 EN 16601-80:2014 (E) 2 A.1 DRD identification . 29 A.2 Expected response . 29 Annex B (normative) Risk management plan - DRD . 32 B.1 DRD identification . 32 B.2 Expected response . 32 Annex C (normative) Risk assessment repor
17、t - 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 management process . 40 E.1 General . 40 E.2 ECSS-M ST-Standards . 40 E.3 ECSS-Q Standards .
18、 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 the risk management cycle . 13 Figure 5-3: Example of a severityofconsequence scoring sch
19、eme 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 risks . 16 Figure 5-7: Example of a risk trend . 20 DIN EN 16601-80:2014-12 EN 16601-80:2014
20、 (E) 3 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. This European Standard shall be given the status of a national standard, either by p
21、ublication 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 of the elements of this document may be the subject of patent rights. CEN and/or CE
22、NELEC 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 precedence over any EN covering the same scope but with a wider domain of applicabilit
23、y (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, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of
24、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. DIN EN 16601-80:2014-12 EN 16601-80:2014 (E) 4 Introduction Risks
25、 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 impact. The objective of project risk management is to identify, assess, reduce
26、, 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 the conventional known project resources within the management, programmatic (e.
27、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 the project progress through the different project phases, and by changes to a g
28、iven 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 analyses, analyses of safety, critical items, dependability, critical path, and c
29、ost, 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 management. The project actors agree on the extent of the risk management to b
30、e implemented in a given project depending on the project definition and characterization. DIN EN 16601-80:2014-12 EN 16601-80:2014 (E) 5 1 Scope This Standard defines the principles and requirements for integrated risk management on a space project; it explains what is needed to implement a project
31、integrated 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 into four (4) basic steps and nine (9) tasks. The risk management process
32、 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 defined for the domains to which they belong. The fields of application of this
33、 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 conformance with ECSS-S-ST-00. DIN EN 16601-80:2014-12 EN 16601-80:2014 (E)
34、 6 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 of these publications do not apply. However, parties to agreements ba
35、sed 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 applies. EN reference Reference in text Title EN 16601-00-01 ECSS-ST-00-01
36、 ECSS system - Glossary of terms EN 16601-10 ECSS-M-ST-10 Space project management Project planning and implementation DIN EN 16601-80:2014-12 EN 16601-80:2014 (E) 7 3 Terms, definitions and abbreviated terms 3.1 Terms from other standards For the purpose of this Standard, the terms and definitions
37、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 a risk scenario materialize NOTE 1 A risk can be accepted when i
38、ts 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 and tolerated. 3.2.2 (risk) communication all information and data
39、 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 the severity of consequence, where scores are used to measure li
40、kelihood and severity 3.2.4 individual (risk) risk identified, assessed, and mitigated as a distinct risk items in a project DIN EN 16601-80:2014-12 EN 16601-80:2014 (E) 8 3.2.5 (risk) management process consists of all the project activities related to the identification, assessment, reduction, acc
41、eptance, 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 combination of qualitative and quantitative assessment. 3.2.7 (ris
42、k) 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 the cause to the consequence or reducing the severity of th
43、e 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 can be a single event or something activating a dormant pr
44、oblem. 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 unacceptable 3.3 Abbreviated terms For the purpose of this standard
45、, the abbreviated terms of ECSS-S-ST-00-01 and the following apply: Abbreviation Meaning IEC International Electrotechnical Commission DIN EN 16601-80:2014-12 EN 16601-80:2014 (E) 9 4 Principles of risk management 4.1 Risk management concept Risk management is a systematic and iterative process for
46、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 managers 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 benefi
