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AS/NZS 3931:1998

IEC 60300-3-9:1995

Australian/New Zealand Standard®


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Risk analysis of technological


systems—Application guide
[IEC title: Dependability management, Part 3: Application guide,
Section 9: Risk analysis of technological systems]
AS/NZS 3931:1998

This Joint Australian/New Zealand Standard was prepared by Joint Technical


Committee MB/2, Risk Management. It was approved on behalf of the Council of
Standards Australia on 1 December 1997 and on behalf of the Council of Standards
New Zealand on 2 March 1998. It was published on 5 April 1998.
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The following interests are represented on Committee MB/2:


Australian Electrical and Electronic Manufacturers Association
Australian Nuclear Science & Technology Organization
Australian Organization for Quality
Air Services Australia
Department of Defence (Commonwealth)
Industrial Research, New Zealand
Institution of Engineers Australia
Measurements Standards Laboratory, New Zealand
Quality Society of Australasia
Telstra Corporation, Australia
Telarc, New Zealand

Review of Standards. To keep abreast of progress in industry, Joint Australian/


New Zealand Standards are subject to periodic review and are kept up to date by the
issue of amendments or new editions as necessary. It is important therefore that
Standards users ensure that they are in possession of the latest edition, and any
amendments thereto.
Full details of all Joint Standards and related publications will be found in the Standards
Australia and Standards New Zealand Catalogue of Publications; this information is
supplemented each month by the magazines ‘The Australian Standard’ and ‘Standards
New Zealand’, which subscribing members receive, and which give details of new
publications, new editions and amendments, and of withdrawn Standards.
Suggestions for improvements to Joint Standards, addressed to the head office of either
Standards Australia or Standards New Zealand, are welcomed. Notification of any
inaccuracy or ambiguity found in a Joint Australian/New Zealand Standard should be
made without delay in order that the matter may be investigated and appropriate action
taken.
AS/NZS 3931:1998

Australian/New Zealand Standard®


This is a free 9 page sample. Access the full version at http://infostore.saiglobal.com.

Risk analysis of technological


systems—Application guide

Originated as AS/NZS 3931(Int):1995.


Revised and designated AS/NZS 3931:1998.

PUBLISHED JOINTLY BY:

STANDARDS AUSTRALIA
1 The Crescent,
Homebush NSW 2140 Australia

STANDARDS NEW ZEALAND


Level 10, Radio New Zealand House,
155 The Terrace,
Wellington 6001 New Zealand
ISBN 0 7337 1711 X
ii

PREFACE

This Standard was prepared by the Joint Standards Australia/Standards New Zealand Committee
MB/2, Risk Management. It is identical with, and has been reproduced from, IEC 60300-3-9:1995,
Dependability management, Part 3: Application guide, Section 9: Risk analysis of technological
systems.
The objectives of this Standard are to provide a basic model for analysis of risk; to provide
guidelines for selecting and implementing risk analysis techniques, primarily for risk assessment of
technological systems; and to enable quality and consistency in the planning and execution of risk
analyses and in the presentation of results and conclusions.
Risk analysis is an important tool which can provide a sound basis for risk management. Users of
this Standard should also be aware of AS/NZS 4360, Risk management, which was developed by the
Joint Standards Australia/Standards New Zealand Committee OB/7, and provides a generic guide for
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the establishment and implementation of a risk management process which involves identification,
analysis, evaluation, treatment and ongoing monitoring of risk. Risk management is an integral part
of good management practice, decision, making and improvement which may be applied at all
stages in the life of an activity, function, project or asset, and often involves a multi-disciplinary
approach.
The decision to follow Standards policy by this adoption without amendment of the International
Standard on risk analysis, IEC 60300-3-9, will assist in the development of a common methodology
and understanding of the process of analysis of technological risk, thus providing a gateway across a
range of countries and industries, and of applications such as design, quality and safety of
technological systems. However, it introduces the following differences in terminology and
application between this Standard and AS/NZS 4360 which need to be recognized and understood
by users of both Standards:
(a) Scope and application This Standard does not address the full process of risk management
described in AS/NZS 4360, as can be understood by contrasting Figure 1 of this Standard with
Figures 3.1 and 4.1 of AS/NZS 4360.
(b) Terminology This Standard defines risk as a combination of the probability of occurrence
and the consequences of a specified hazardous event, i.e. an event which can cause harm
(physical injury, damage to health, property or the environment). It starts with analysis of
‘what can go wrong’ and focuses on technological applications.
AS/NZS 4360 recognizes that risk is inherent in all activity, and that risk management may be
as much about identifying opportunities as avoiding or mitigating loss. It defines risk as ‘the
chance of something happening that will have an impact upon objectives, and which is
measured in terms of consequences and likelihood’.
This Standard refers to FMEA as Fault Modes and Effects Analysis (e.g., in Table 1), i.e. it uses the
term fault in preference to the more commonly accepted use of failure. The International Committee
reasoned that risk analysis should include options such as planned maintenance and replacement of
components to prevent failure, and that a failure is only a special case of a fault in the system or
equipment.
Annex A.5, Preliminary Hazard Analysis (PHA), provides a description of a PHA which is
consistent with international terminology, i.e. a qualitative study with a relatively low level of
detail. However, in Australia and New Zealand, the term PHA is often used to describe what can be
a very detailed risk assessment study, for example studies required as part of the development
approval process for hazardous industries, in which case there are government guidelines which
outline specific requirements. Care should be taken to ensure that the study objectives, methodology
and level of detail are understood.
The term ‘informative’ has been used in this Standard to define the application of the annex to
which it applies. An informative annex is only for information and guidance.
iii
For the purpose of this Standard, the source text should be modified by inserting the words ‘this
Australian/New Zealand Standard’ to replace the words ‘this section of IEC 300-3’ wherever they
appear. All IEC Standards have been renumbered as the IEC 60xxx series, therefore references in
the source text should be modified by adding 60 to the number as a prefix.
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© Copyright STANDARDS AUSTRALIA / STANDARDS NEW ZEALAND


Users of Standards are reminded that copyright subsists in all Standards Australia and Standards New Zealand publications and software.
Except where the Copyright Act allows and except where provided for below no publications or software produced by
Standards Australia or Standards New Zealand may be reproduced, stored in a retrieval system in any form or transmitted by any means
without prior permission in writing from Standards Australia or Standards New Zealand. Permission may be conditional on an
appropriate royalty payment. Australian requests for permission and information on commercial software royalties should be directed to
the head office of Standards Australia. New Zealand requests should be directed to Standards New Zealand.
Up to 10 percent of the technical content pages of a Standard may be copied for use exclusively in-house by purchasers of the
Standard without payment of a royalty or advice to Standards Australia or Standards New Zealand.
Inclusion of copyright material in computer software programs is also permitted without royalty payment provided such programs
are used exclusively in-house by the creators of the programs.
Care should be taken to ensure that material used is from the current edition of the Standard and that it is updated whenever the Standard
is amended or revised. The number and date of the Standard should therefore be clearly identified.
The use of material in print form or in computer software programs to be used commercially, with or without payment, or in commercial
contracts is subject to the payment of a royalty. This policy may be varied by Standards Australia or Standards New Zealand at any time.
iv

CONTENTS

Page

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v

Clause

1 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2 Normative references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
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3 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

4 Risk analysis concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

5 Risk analysis process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

6 Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

7 Risk analysis methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Annex A — Methods of analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21


v

INTRODUCTION

The process of risk management incorporates many different elements from the initial
identification and analysis of risk, to the evaluation of its tolerability and identification of
potential risk reduction options, through to the selection, implementation and monitoring of
appropriate control and reduction measures. This is illustrated in figure 1.

Risk analysis, which is the subject of this section of IEC 300-3, is a structured process that
identifies both the likelihood and extent of adverse consequences arising from a given
activity, facility or system. Within the context of this standard, the adverse consequences
of concern are physical harm to people, property or the environment.
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Risk analysis attempts to answer three fundamental questions:

What can go wrong (by hazard identification)?

How likely is this to happen (by frequency analysis)?

What are the consequences (by consequence analysis)?

This standard is intended to reflect current good practices in selection and utilisation of the
risk analysis techniques and does not refer to new or evolving concepts which have not
reached a satisfactory level of professional consensus.

This standard is general in nature, so that it may give guidance across many industries
and types of systems. There may be more specific standards in existence within these
industries that establish preferred methodologies and levels of analysis for particular
applications. If these standards are in harmony with this publication, the specific standards
will generally be sufficient.

This standard only covers the risk analysis portion of the broader risk assessment and risk
management activities. The latter may become the subject of future standards. To the
extent possible, this standard has built on the concepts and terminology given in the
documents listed in clause 2 and other standards. There are numerous instances where
these documents are not entirely consistent or where they principally apply to one industry
alone. In these cases, this standard may use one of the approaches/definitions available or
may present a more general one.
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vi

NOTES
1

AUSTRALIAN/NEW ZEALAND STANDARD

Risk analysis of technological systems — Application guide

1 Scope

This section of IEC 300-3 provides guidelines for selecting and implementing risk analysis
techniques, primarily for risk assessment of technological systems. The objective of this
standard is to ensure quality and consistency in the planning and execution of risk
analyses and the presentation of results and conclusions.
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This standard contains guidelines for risk analysis, presented as follows: risk analysis
concepts, risk analysis process, risk analysis methods.

This section of IEC 300-3 is applicable as:

— a guideline for planning, executing and documenting risk analyses;

— a basis for specifying quality requirements for risk analysis (this can be particularly
important when dealing with external consultants);

— a basis for evaluating risk analyses after completion.

Risk analysis carried out to this standard provides an input to risk management activities
(see figure 1).

NOTE — This standard does not provide specific criteria for identifying the need for risk analysis, or
specify the type of risk analysis method that is required for a given situation. Nor does it offer detailed
guidelines for specific hazards or include insurance, actuarial, legal, or financial interests.

2 Normative references

The following normative documents contain provisions which, through reference in this
text, constitute provisions of this section of IEC 300-3. At the time of publication, the
editions indicated were valid. All normative documents are subject to revision, and parties
to agreements based on this section of IEC 300-3 are encouraged to investigate the
possibility of applying the most recent editions of the normative documents indicated
below. Members of IEC and ISO maintain registers of currently valid International
Standards.

IEC 50(191): 1990, International Electrotechnical Vocabulary (IEV) — Chapter 191:


Dependability and quality of service

IEC 300-2, Dependability management — Part 2: Dependability programme elements and


tasks

IEC 812: 1985, Analysis techniques for system reliability — Procedure for failure mode and
effects analysis (FMEA)

COPYRIGHT
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AS/NZS 3931:1998, Risk analysis of technological


systems - Application guide
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