ARP 070-2009 Risk management - Vocabulary《风险管理 词汇表》.pdf

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1、 Collection of SANS standards in electronic format (PDF) 1. Copyright This standard is available to staff members of companies that have subscribed to the complete collection of SANS standards in accordance with a formal copyright agreement. This document may reside on a CENTRAL FILE SERVER or INTRA

2、NET SYSTEM only. Unless specific permission has been granted, this document MAY NOT be sent or given to staff members from other companies or organizations. Doing so would constitute a VIOLATION of SABS copyright rules. 2. Indemnity The South African Bureau of Standards accepts no liability for any

3、damage whatsoever than may result from the use of this material or the information contain therein, irrespective of the cause and quantum thereof. ISBN 978-0-626-23640-3 ARP 070:2009Edition 2ISO GUIDE 73:2009Edition 1SABS STANDARDS DIVISION Recommended practice Risk management Vocabulary This recomm

4、ended practice is the identical implementation of ISO Guide 73:2009 and is adopted with the permission of the International Organization for Standardization. This document does not have the status of a South African National Standard. Published by SABS Standards Division 1 Dr Lategan Road Groenkloof

5、 Private Bag X191 Pretoria 0001Tel: +27 12 428 7911 Fax: +27 12 344 1568 www.sabs.co.za SABS ARP 070:2009 Edition 2 ISO Guide 73:2009 Edition 1 Table of changes Change No. Date Scope National foreword This recommended practice was approved by National Committee SABS TC 178, Risk management, in accor

6、dance with procedures of the SABS Standards Division, in compliance with annex 3 of the WTO/TBT agreement. This document was published in December 2009. This document supersedes ARP 070:2007 (edition 1). First edition 2009 Premire dition 2009 ISO 2009 GUIDE 73 Risk management VocabularyManagement du

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14、 central ladresse donne ci-dessous. COPYRIGHT PROTECTED DOCUMENT DOCUMENT PROTG PAR COPYRIGHT ISO 2009 The reproduction of the terms and definitions contained in this International Standard is permitted in teaching manuals, instruction booklets, technical publications and journals for strictly educa

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21、ion and freemailing clients of the SABS .ISO GUIDE 73:2009(E/F) ISO 2009 All rights reserved/Tous droits rservs iiiContents Page Foreword .v Introduction.vii Scope.1 1 Terms relating to risk1 2 Terms relating to risk management 2 3 Terms relating to the risk management process .3 Bibliography13 Alph

22、abetical index14 French alphabetical index (Index alphabtique) .15 ARP 070:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO GUIDE 73:2009(E/F) ISO 2009 All rights reserved/Tous droits rservs vForeword ISO (the International Organizatio

23、n for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has

24、 the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. Inter

25、national Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. Draft Guides adopted by the responsible Committee or Group are circulated to the member bodies for voting. Publication as a Guide requires approval by at least 75 % of the member bodies casting a vot

26、e. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO Guide 73 was prepared by the ISO Technical Management Board Working Group on risk management.

27、This first edition of ISO Guide 73 cancels and replaces ISO/IEC Guide 73:2002, which has been technically revised. ARP 070:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO GUIDE 73:2009(E/F) ISO 2009 All rights reserved/Tous droits rse

28、rvs viiIntroduction This Guide provides basic vocabulary to develop common understanding on risk management concepts and terms among organizations and functions, and across different applications and types. In the context of risk management terminology, it is intended that preference be given to the

29、 definitions provided in this Guide. Risk management is application specific. In some circumstances, it can therefore be necessary to supplement the vocabulary in this Guide. Where terms related to the management of risk are used in a standard, it is imperative that their intended meanings within th

30、e context of the standard are not misinterpreted, misrepresented or misused. In addition to managing threats to the achievement of their objectives, organizations are increasingly applying risk management processes and developing an integrated approach to risk management in order to improve the mana

31、gement of potential opportunities. The terms and definitions in this Guide are, therefore, broader in concept and application than those contained in ISO/IEC Guide 51, which is confined to safety aspects of risk, i.e. with undesirable or negative consequences. Since organizations increasingly adopt

32、a broader approach to the management of risk, this Guide addresses all applications and sectors. This Guide is generic and is compiled to encompass the general field of risk management. The terms are arranged in the following order: terms relating to risk; terms relating to risk management; terms re

33、lating to the risk management process; terms relating to communication and consultation; terms relating to the context; term relating to risk assessment; terms relating to risk identification; terms relating to risk analysis; terms relating to risk evaluation; terms relating to risk treatment; terms

34、 relating to monitoring and measurement. ARP 070:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .This page is intentionally left blankARP 070:2009This s tandard may only be used and printed by approved subscription and freemailing clients

35、 of the SABS .ISO GUIDE 73:2009(E/F) ISO 2009 All rights reserved/Tous droits rservs 1Risk management Vocabulary Management du risque Vocabulaire Scope Domaine dapplication This Guide provides the definitions of generic terms related to risk management. It aims to encourage a mutual and consistent u

36、nderstanding of, and a coherent approach to, the description of activities relating to the management of risk, and the use of uniform risk management terminology in processes and frameworks dealing with the management of risk. This Guide is intended to be used by: those engaged in managing risks, th

37、ose who are involved in activities of ISO and IEC, and developers of national or sector-specific stan-dards, guides, procedures and codes of prac-tice relating to the management of risk. For principles and guidelines on risk management, reference is made to ISO 31000:2009. Le prsent Guide fournit le

38、s dfinitions de termes gnriques relatifs au management du risque. Son but est dencourager une comprhension commune homogne et une approche cohrente de la des-cription des activits relatives au management du risque, ainsi quune utilisation uniforme de la termi-nologie du management du risque dans les

39、 pro-cessus et cadres organisationnels en rapport avec ce domaine. Le prsent Guide est lusage des personnes charges du management des risques, des personnes impliques dans les activits de lISO et de la CEI, et des personnes charges de rdiger des nor-mes, guides, procdures et codes de bonne pratique

40、relatifs au management du risque, soit spcifiques dun secteur, soit lchelle natio-nale. Concernant les principes et lignes directrices du management du risque, il est fait rfrence lISO 31000:2009. 1 Terms relating to risk 1 Termes relatifs au risque 1.1 risk effect of uncertainty on objectives NOTE

41、1 An effect is a deviation from the expected positive and/or negative. NOTE 2 Objectives can have different aspects (such as financial, health and safety, and environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and process). 1.1 risque effet

42、 de lincertitude sur latteinte des objectifs NOTE 1 Un effet est un cart, positif et/ou ngatif, par rapport une attente. NOTE 2 Les objectifs peuvent avoir diffrents aspects (par exemple buts financiers, de sant et de scurit, ou environnementaux) et peuvent concerner diffrents niveaux (niveau stratg

43、ique, niveau dun projet, dun pro-duit, dun processus ou dun organisme tout entier). ARP 070:2009This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO GUIDE 73:2009(E/F) 2 ISO 2009 All rights reserved/Tous droits rservsNOTE 3 Risk is often chara

44、cterized by reference to potential events (3.5.1.3) and consequences (3.6.1.3), or a combination of these. NOTE 4 Risk is often expressed in terms of a combina-tion of the consequences of an event (including changes in circumstances) and the associated likelihood (3.6.1.1) of occurrence. NOTE 5 Unce

45、rtainty is the state, even partial, of defi-ciency of information related to, understanding or knowl-edge of, an event, its consequence, or likelihood. NOTE 3 Un risque est souvent caractris en rf-rence des vnements (3.5.1.3) et des consquences(3.6.1.3) potentiels ou une combinaison des deux. NOTE 4

46、 Un risque est souvent exprim en termes de combinaison des consquences dun vnement (incluant des changements de circonstances) et de sa vraisem-blance (3.6.1.1). NOTE 5 Lincertitude est ltat, mme partiel, de dfaut dinformation concernant la comprhension ou la connais-sance dun vnement, de ses consqu

47、ences ou de sa vraisemblance. 2 Terms relating to risk management 2 Termes relatifs au management du risque 2.1 risk management coordinated activities to direct and control an organization with regard to risk (1.1) 2.1 management du risque activits coordonnes dans le but de diriger et piloter un org

48、anisme vis-vis du risque (1.1) 2.1.1 risk management framework set of components that provide the foundations and organizational arrangements for designing, imple-menting, monitoring (3.8.2.1), reviewing and con-tinually improving risk management (2.1) through-out the organization NOTE 1 The foundat

49、ions include the policy, objectives, mandate and commitment to manage risk (1.1). NOTE 2 The organizational arrangements include plans, relationships, accountabilities, resources, processes and activities. NOTE 3 The risk management framework is embedded within the organizations overall strategic and operational pol