IEC 62198-2013 Managing risk in projects - Application guidelines《项目风险管理.应用指南》.pdf

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1、 IEC 62198 Edition 2.0 2013-11 INTERNATIONAL STANDARD NORME INTERNATIONALE Managing risk in projects Application guidelines Gestion des risques lis un projet Lignes directrices pour lapplication IEC62198:2013 colourinsideTHIS PUBLICATION IS COPYRIGHT PROTECTED Copyright 2013 IEC, Geneva, Switzerland

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15、ne. Service Clients - webstore.iec.ch/csc Si vous dsirez nous donner des commentaires sur cette publication ou si vous avez des questions contactez-nous: csciec.ch. IEC 62198 Edition 2.0 2013-11 INTERNATIONAL STANDARD NORME INTERNATIONALE Managing risk in projects Application guidelines Gestion des

16、risques lis un projet Lignes directrices pour lapplication INTERNATIONAL ELECTROTECHNICAL COMMISSION COMMISSION ELECTROTECHNIQUE INTERNATIONALE X ICS 03.100.01 PRICE CODE CODE PRIX ISBN 978-2-8322-1192-2 Registered trademark of the International Electrotechnical Commission Marque dpose de la Commiss

17、ion Electrotechnique Internationale Warning! Make sure that you obtained this publication from an authorized distributor. Attention! Veuillez vous assurer que vous avez obtenu cette publication via un distributeur agr. colourinside 2 62198 IEC:2013 CONTENTS FOREWORD . 4 INTRODUCTION . 6 1 Scope 7 2

18、Normative references 7 3 Terms and definitions 7 4 Managing risks in projects . 9 5 Principles 11 6 Project risk management framework 12 6.1 General 12 6.2 Mandate and commitment 13 6.3 Design of the framework for managing project risk . 14 6.3.1 Understanding the project and its context . 14 6.3.2

19、Establishing the project risk management policy . 14 6.3.3 Accountability . 15 6.3.4 Integration into project management processes 16 6.3.5 Resources 16 6.3.6 Establishing internal project communication and reporting mechanisms . 16 6.3.7 Establishing external project communication and reporting mec

20、hanisms . 17 6.4 Implementing project risk management 17 6.4.1 Implementing the framework for managing project risk 17 6.4.2 Implementing the project risk management process 17 6.5 Monitoring and review of the project risk management framework 17 6.6 Continual improvement of the project risk managem

21、ent framework 18 7 Project risk management process 18 7.1 General 18 7.2 Communication and consultation 19 7.3 Establishing the context . 20 7.3.1 General 20 7.3.2 Establishing the external context 20 7.3.3 Establishing the internal context . 21 7.3.4 Establishing the context of the project risk man

22、agement process . 21 7.3.5 Defining risk criteria 22 7.3.6 Key elements 22 7.4 Risk assessment 23 7.4.1 General 23 7.4.2 Risk identification . 23 7.4.3 Risk analysis 24 7.4.4 Risk evaluation . 25 7.5 Risk treatment . 25 7.5.1 General 25 7.5.2 Selection of risk treatment options 25 7.5.3 Risk treatme

23、nt plans . 26 7.6 Monitoring and review 26 7.7 Recording and reporting the project risk management process . 27 62198 IEC:2013 3 7.7.1 Reporting 27 7.7.2 The project risk management plan 28 7.7.3 Documentation . 28 7.7.4 The project risk register 28 Annex A (informative) Examples 30 A.1 General 30 A

24、.2 Project risk management process 30 A.2.1 Stakeholder analysis (see 7.2) 30 A.2.2 External and internal context (see 7.3.4) 31 A.2.3 Risk management context (see 7.3.4) . 33 A.2.4 Risk management context for a power enhancement project . 33 A.2.5 Risk criteria (see 7.3.5). 34 A.2.6 Key elements (s

25、ee 7.3.6) 34 A.2.7 Risk analysis (see 7.4.3) . 36 A.2.8 Risk evaluation (see 7.4.4) . 40 A.2.9 Risk treatment (see 7.5) . 40 A.2.10 Risk register (see 7.4.2 and 7.7.4) 41 Bibliography 42 Figure 1 Principal stakeholders in a project 11 Figure 2 Relationship between the components of the framework for

26、 managing risk, adapted from ISO 31000 . 13 Figure 3 Project risk management process, adapted from ISO 31000 . 19 Figure A.1 Risk management scope for an open pit mine project . 34 Figure A.2 Distribution of costs using simulation 40 Table 1 Typical phases in a project 10 Table A.1 Stakeholders for

27、a government project . 30 Table A.2 Stakeholders and objectives for a ship upgrade . 31 Table A.3 Stakeholders and communication needs for a civil engineering project . 31 Table A.4 External context for an energy project 32 Table A.5 Internal context for a private sector infrastructure project . 33

28、Table A.6 Criteria for a high-technology project . 34 Table A.7 Key elements for a communications system project 35 Table A.8 Key elements and workshop planning guide for a defence project 36 Table A.9 Key elements for establishing a new health service organization 36 Table A.10 Example consequence

29、scale 37 Table A.11 Example likelihood scale 38 Table A.12 Example of a matrix for determining the level of risk 38 Table A.13 Example of priorities for attention . 40 Table A.14 Example of a treatment options worksheet . 41 Table A.15 Simple risk register structure 41 4 62198 IEC:2013 INTERNATIONAL

30、 ELECTROTECHNICAL COMMISSION _ MANAGING RISK IN PROJECTS APPLICATION GUIDELINES 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 promo

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40、e correct application of this publication. 9) Attention is drawn to the possibility that some of the elements of this IEC Publication may be the subject of patent rights. IEC shall not be held responsible for identifying any or all such patent rights. International Standard IEC 62198 has been prepar

41、ed by IEC technical committee 56: Dependability. This second edition cancels and replaces the first edition, published in 2001, and constitutes a technical revision. This edition includes the following significant technical changes with respect to the previous edition: a) major restructure and rewri

42、te of the first version; b) now aligned with ISO 31000, Risk management Principles and guidelines. 62198 IEC:2013 5 The text of this standard is based on the following documents: FDIS Report on voting 56/1529/FDIS 56/1539/RVD Full information on the voting for the approval of this standard can be fo

43、und in the report on voting indicated in the above table. This publication has been drafted in accordance with the ISO/IEC Directives, Part 2. The committee has decided that the contents of this publication will remain unchanged until the stability date indicated on the IEC web site under “http:/web

44、store.iec.ch“ in the data related to the specific publication. At this date, the publication will be reconfirmed, withdrawn, replaced by a revised edition, or amended. IMPORTANT The colour inside logo on the cover page of this publication indicates that it contains colours which are considered to be

45、 useful for the correct understanding of its contents. Users should therefore print this document using a colour printer. 6 62198 IEC:2013 INTRODUCTION Every project involves uncertainty and risk. Project risks can be related to the objectives of the project itself or to the objectives of the assets

46、, products or services the project creates. This International Standard provides guidelines for managing risks in a project in a systematic and consistent way. Risk management includes the coordinated activities to direct and control an organization with regard to risk. ISO 31000, Risk management Pr

47、inciples and guidelines, describes the principles for effective risk management, the framework that provides the foundations and organizational arrangements for designing, implementing, monitoring, reviewing and continually improving risk management throughout an organization and a process for manag

48、ing risk that can be applied to all types of risk in any organization. This standard shows how those general principles and guidelines apply to managing uncertainty in projects. This standard is relevant to individuals and organizations concerned with any or all phases in the life cycle of projects.

49、 It can also be applied to sub-projects and to sets of inter-related projects and programmes. The application of this standard needs to be tailored to each specific project. Therefore, it is considered inappropriate to impose a certification system for risk management practitioners. The guidance provided in this standard is not intended to override existing industry-specific standards, although the guidan