1、April 2013 Translation by DIN-Sprachendienst.English price group 17No 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).ICS
2、91.140.90!$L1“1974114www.din.deDDIN EN ISO 14798Lifts (elevators), escalators and moving walks Risk assessment and reduction methodology (ISO 14798:2009);English version EN ISO 14798:2013,English translation of DIN EN ISO 14798:2013-04Aufzge, Fahrtreppen und Fahrsteige Verfahren zur Risikobeurteilun
3、g und -minderung (ISO 14798:2009);Englische Fassung EN ISO 14798:2013,Englische bersetzung von DIN EN ISO 14798:2013-04Ascenseurs, escaliers mcaniques et trottoirs roulants Mthodologie de lapprciation et de la rduction du risque (ISO 14798:2009);Version anglaise EN ISO 14798:2013,Traduction anglaise
4、 de DIN EN ISO 14798:2013-04www.beuth.deDocument comprises pagesIn case of doubt, the German-language original shall be considered authoritative.4403.13DIN EN ISO 14798:2013-04 2 A comma is used as the decimal marker. National foreword The text of ISO 14798:2009 has been prepared by Technical Commit
5、tee ISO/TC 178 “Lifts, escalators and moving walks” and has been taken over as EN ISO 14798:2013 by Technical Committee CEN/TC 10 “Lifts, escalators and moving walks” (Secretariat: AFNOR, France). The responsible German body involved in its preparation was the Normenausschuss Maschinenbau (Mechanica
6、l Engineering Standards Committee), Working Committee NA 060-33-01 AA Aufzge of Section insurance associations contributed to this standard. Aufzge und Fahrtreppen. Representatives of manufacturers and users of lifts, and of the employers liability EUROPEAN STANDARD NORME EUROPENNE EUROPISCHE NORM E
7、N ISO 14798 January 2013 ICS 91.140.90 English Version Lifts (elevators), escalators and moving walks - Risk assessmentand reduction methodology (ISO 14798:2009) Ascenseurs, escaliers mcaniques et trottoirs roulants - Mthodologie de lapprciation et de la rduction du risque (ISO 14798:2009) Aufzge, F
8、ahrtreppen und Fahrsteige - Verfahren zur Risikobeurteilung und -minderung (ISO 14798:2009) This European Standard was approved by CEN on 24 November 2012. CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European Standard the s
9、tatus 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,
10、 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, Cr
11、oatia, 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
12、 United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG Management Centre: Avenue Marnix 17, B-1000 Brussels 2013 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. EN ISO 147
13、98:2013: EContents DIN EN ISO 14798:2013-04 EN ISO 14798:2013 (E) 2 Page Foreword 3 Introduction .4 1 Scope 5 2 Terms and definitions .5 3 General principles7 3.1 Concept of safety .7 3.2 Concept of risk assessment .7 4 Risk analysis procedure .9 4.1 Step 1 Determination of the reason for conducting
14、 a risk assessment 9 4.2 Step 2 Formation of a risk assessment team .9 4.3 Step 3 Determination of the subject of risk assessment and related factors .10 4.4 Step 4 Identification of scenarios: hazardous situations, causes and effects .12 4.5 Step 5 Risk estimation 13 5 Step 6 Risk evaluation 19 6 S
15、tep 7 Has the risk been sufficiently mitigated? .19 7 Step 8 Reduction of risk Protective measures 20 8 Documentation .21 Annex A (normative) Risk assessment template .22 Annex B (informative) Quick references to hazards (Table B.1), hazardous situations (Table B.2), causes (Table B.3), effects (Tab
16、le B.4) and harm (Table B.5) .24 Annex C (normative) Estimation of risk elements Severity (Table C.1) and probability (Table C.2) .29 Annex D (normative) Risk estimation and evaluation .30 Annex E (informative) Role of the team moderator .32 Annex F (informative) Examples of a risk assessment and pr
17、otective measures .36 Bibliography 42 Foreword 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 July 2013, and conflicting national standards shall be withdrawn at the latest by July 2013. Attentio
18、n 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 organisations of the
19、 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, Netherla
20、nds, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. Endorsement notice The text of ISO 14798:2009 has been approved by CEN as a EN ISO 14798:2013 without any modification. DIN EN ISO 14798:2013-04 EN ISO 14798:2013 (E) 3 The text of
21、ISO 14798:2009 has been prepared by Technical Committee ISO/TC 178 “Lifts, escalators and moving walks” of the International Organization for Standardization (ISO) and has been taken over as EN ISO 14798:2013 by Technical Committee CEN/TC 10 “Lifts, escalators and moving walks” the secretariat of wh
22、ich is held by AFNOR. Introduction The objective of this International Standard is to describe principles and set procedures for a consistent and systematic risk assessment methodology relevant to lifts (elevators), escalators, moving walks (“lifts”, for short). The risk analysis and assessment prin
23、ciples and process described in this International Standard may, however, be used for assessment of risk relevant to equipment other than lifts. This risk assessment methodology is a tool used to identify risk of harm resulting from various hazards, hazardous situations and harmful events. Knowledge
24、 and experience of the design, use, installation, maintenance, incidents, accidents and related harm are brought together in order to assess the risk during all phases of the life of lifts 1)(elevators), escalators and moving walks (hereafter referred to as “lifts”), from design and construction up
25、to decommissioning. The users of the methodology do not make medical judgements but, rather, evaluate events that can possibly lead to levels of harm defined in this International Standard. By itself, this International Standard does not provide a presumption of conformity to any safety requirements
26、 for lifts, including those noted in Clause 1. NOTE Risk assessment is not an exact science, as there is a certain degree of subjectivity in the process. It is recommended that this International Standard be incorporated into training courses and manuals so as to provide basic instructions on safety
27、 aspects to those involved in a) assessing designs, operations, testing and use of lift equipment, and b) writing of specifications or standards incorporating safety requirements for lifts. This International Standard describes a qualitative methodology for risk assessment that relies very much on t
28、he judgement and deliberations of the members of the risk assessment team who carry out the assessment. To ensure the most realistic and consistent assessment, it is essential that the methodology be followed faithfully. Aids such as numeric methods of assessment that follow the format described in
29、this International Standard are not precluded from use. It should, however, be recognized that numeric aids to qualitative methods may still retain some of the subjectivity inherent in the qualitative process. Clause 3 describes the concepts of safety and risk assessment. Clause 4 describes the proc
30、edure of risk analysis, including risk estimation. The procedure for risk evaluation is set out in Clause 5 and assessment in Clause 6. Clause 7 deals with protective measures. Clause 8 specifies relevant documentation. 1) Hereafter in this International Standard, the term “lift” is used instead of
31、the term “elevator”. In addition, the term “lift” is also used instead of the terms “lifts, escalators and moving walks”. DIN EN ISO 14798:2013-04 EN ISO 14798:2013 (E) 4 1 Scope This International Standard establishes general principles and specific procedures for assessing risk. The purpose of thi
32、s International Standard is to provide a process for making decisions relevant to the safety of lifts during the a) design, construction, installation and servicing of lifts, lift components and systems, b) development of generic procedures for the use, operation, testing, compliance verification an
33、d servicing of lifts, and c) development of technical specifications and standards affecting the safety of lifts. While examples in this International Standard refer primarily to risks of harm to persons, the risk assessment procedure set out in this International Standard can be equally effective f
34、or assessing other types of risk relevant to lifts, such as the risk of damage to property and environment. 2 Terms and definitions For the purposes of this document, the following terms and definitions apply. 2.1 cause circumstance, condition, event or action that in a hazardous situation contribut
35、es to the production of an effect 2.2 effect result of a cause in the presence of a hazardous situation 2.3 harm physical injury or damage to the health of people, or damage to property or the environment ISO/IEC Guide 51:1999, 3.3 2.4 harmful event occurrence in which a hazardous situation results
36、in harm ISO/IEC Guide 51:1999, 3.4 NOTE In this International Standard, the term “harmful event” is interpreted as a combination of cause and effect. DIN EN ISO 14798:2013-04 EN ISO 14798:2013 (E) 5 2.5 hazard potential source of harm NOTE The term “hazard” can be qualified in order to define its or
37、igin or the nature of the expected harm (e.g. electric shock hazard, crushing hazard, cutting hazard, toxic hazard, fire hazard, drowning hazard). ISO/IEC Guide 51:1999, 3.5 2.6 hazardous situation circumstance in which people, property or the environment are exposed to one or more hazards ISO/IEC G
38、uide 51:1999, 3.6 2.7 life cycle period of usage of a component or a lift system 2.8 protective measure means used to reduce risk NOTE Protective measures include risk reduction by inherently safe design, protective devices, personal protective equipment, information for use and installation and tra
39、ining ISO/IEC Guide 51:1999, 3.8 2.9 residual risk risk remaining after protective measures have been taken ISO/IEC Guide 51:1999, 3.9 2.10 risk combination of the probability of occurrence of harm and the severity of that harm ISO/IEC Guide 51:1999, 3.2 2.11 risk analysis systematic use of availabl
40、e information to identify hazards and to estimate the risk ISO/IEC Guide 51:1999, 3.10 2.12 risk assessment overall process comprising a risk analysis and a risk evaluation ISO/IEC Guide 51:1999, 3.12 2.13 risk evaluation consideration of the risk analysis results to determine if the risk reduction
41、is required 2.14 scenario sequence of a hazardous situation, cause and effect 2.15 severity level of potential harm DIN EN ISO 14798:2013-04 EN ISO 14798:2013 (E) 6 3 General principles 3.1 Concept of safety Safety, within this International Standard, is considered as freedom from unacceptable risk.
42、 There can be no absolute safety. Some risks, defined in this International Standard as residual risk, can remain. Therefore, a product or process (e.g. operation, use, inspection, testing, or servicing) can be only relatively safe. Safety is achieved by sufficient mitigation or reduction of the ris
43、k. Safety is achieved by the search for an optimal balance between the ideal of absolute safety, the demand to be met by a product or process, and factors such as benefit to the user, suitability for purpose, cost effectiveness and conventions of the society concerned. Consequently, there is a need
44、to review continually the established safety levels, in particular when experience necessitates review of the pre-set safety levels and when developments, both in technology and knowledge, can lead to feasible improvements to attain sufficient mitigation of the risk compatible with the use of a prod
45、uct, process, or service. 3.2 Concept of risk assessment 3.2.1 Safety is achieved by the iterative process of risk assessment (risk analysis and risk evaluation) and risk reduction (see Figure 1). 3.2.2 Risk assessment is a series of logical steps that enables, in a systematic way, the examination o
46、f hazards associated with lifts. Risk assessment is followed, whenever necessary, by the risk reduction process, as described in Clause 7. When this process is repeated, it gives the iterative process for eliminating hazards as far as possible and for implementing protective measures. 3.2.3 Risk ass
47、essment includes: a) risk analysis 1) determination of the subject of analysis (see 4.3), 2) identification of scenarios: hazardous situations, causes and effects (see 4.4), and 3) risk estimation (see 4.5); b) risk evaluation (see Clause 5). 3.2.4 Risk analysis provides the information required for
48、 the risk evaluation, which in turn allows judgements to be made on the level of safety of the lift and lift component, and any relevant process (e.g. operation, use, inspection, testing, or servicing). 3.2.5 Risk assessment relies on judgemental decisions. These decisions should be supported by qua
49、litative methods complemented, as far as possible, by quantitative methods. Quantitative methods are particularly appropriate when the foreseeable severity and extent of harm are high. Qualitative methods are useful to assess alternative safety measures and to determine which one gives better protection. NOTE The application of quantitative methods is restricted by the amount of useful data that is available, and in many applications, only a qualitative risk assessment is possible. 3.2.6 The risk assessment shall be conduct
