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它們的組合。 2 Terms and definitions術(shù)語(yǔ)和定義For the purposes of this document, the following terms and definitions apply.下列術(shù)語(yǔ)和定義適用本文件。它提供了一個(gè)支持處理特定風(fēng)險(xiǎn)和/或部分風(fēng)險(xiǎn)的通用方法,而不是取代這些標(biāo)準(zhǔn)。設(shè)計(jì)和風(fēng)險(xiǎn)管理計(jì)劃和框架的實(shí)施需要考慮到特定組織的不同需要,具體做法受其特定的目標(biāo),環(huán)境,結(jié)構(gòu),業(yè)務(wù),流程,功能,項(xiàng)目,產(chǎn)品,服務(wù)或資產(chǎn)等影響。This International Standard can be applied to any type of risk, whatever its nature, whether having positive or negative consequences.本標(biāo)準(zhǔn)可以適用于任何類型的風(fēng)險(xiǎn),無(wú)論其性質(zhì)是否有積極或消極的后果。NOTE For convenience, all the different users of this International Standard are referred to by the general term “organization”.為方便起見,本國(guó)際標(biāo)準(zhǔn)提到的所有不同的用戶通用術(shù)語(yǔ)為“組織”。This International Standard can be used by any public, private or munity enterprise, association, group or individual. Therefore, this International Standard is not specific to any industry or sector.本標(biāo)準(zhǔn)可用于任何公共,私人或社區(qū)組織,協(xié)會(huì),團(tuán)體或個(gè)體。一般來(lái)說(shuō),“風(fēng)險(xiǎn)管理”是指管理風(fēng)險(xiǎn)的有效性架構(gòu)(原則,框架和流程),而“管理風(fēng)險(xiǎn)”是指運(yùn)用該架構(gòu)管理特定風(fēng)險(xiǎn)。在這種情況下,組織可以在本標(biāo)準(zhǔn)下開展對(duì)其現(xiàn)有的做法和程序嚴(yán)格審查。 andc)有人需要對(duì)風(fēng)險(xiǎn)管理評(píng)估的有效性負(fù)責(zé)。b)有人對(duì)組織作為一個(gè)整體、或者某一特定范圍、項(xiàng)目或者活動(dòng)的風(fēng)險(xiǎn)管理的有效性負(fù)責(zé)。a)開發(fā)者對(duì)其機(jī)構(gòu)內(nèi)的風(fēng)險(xiǎn)管理政策負(fù)責(zé)。 減少損失? improve organizational learning。? improve loss prevention and incident management。提高運(yùn)營(yíng)的效果和效率? enhance health and safety performance, as well as environmental protection。加強(qiáng)控制? effectively allocate and use resources for risk treatment。 提高利益相關(guān)者的信心和信任? establish a reliable basis for decision making and planning。 改進(jìn)財(cái)務(wù)報(bào)告? improve governance。 提高的機(jī)會(huì)和威脅識(shí)別能力? ply with relevant legal and regulatory requirements and international norms。 在組織中,意識(shí)到識(shí)別和對(duì)待風(fēng)險(xiǎn)的需要。 鼓勵(lì)主動(dòng)性管理。When implemented and maintained in accordance with this International Standard, the management of risk enables an organization to, for example:當(dāng)按照這一國(guó)際標(biāo)準(zhǔn)實(shí)施和維護(hù)時(shí),風(fēng)險(xiǎn)的管理者需使一個(gè)組織加強(qiáng),例如:? increase the likelihood of achieving objectives。環(huán)境建設(shè)方面將捕獲該組織的目標(biāo),它所追求目標(biāo)的環(huán)境,它的利益相關(guān)者和風(fēng)險(xiǎn)標(biāo)準(zhǔn)的多樣性,所有這些都將幫助揭示和評(píng)估風(fēng)險(xiǎn)的性質(zhì)和復(fù)雜性。Each specific sector or application of risk management brings with it individual needs, audiences, perceptions and criteria. Therefore, a key feature of this International Standard is the inclusion of “establishing the context” as an activity at the start of this generic risk management process. Establishing the context will capture the objectives of the organization, the environment in which it pursues those objectives, its stakeholders and the diversity of risk criteria – all of which will help reveal and assess the nature and plexity of its risks.每一個(gè)具體部門或風(fēng)險(xiǎn)管理的應(yīng)用都產(chǎn)生了獨(dú)自的需要,受眾,觀念和標(biāo)準(zhǔn)。Although the practice of risk management has been developed over time and within many sectors in order to meet diverse needs, the adoption of consistent processes within a prehensive framework can help to ensure that risk is managed effectively, efficiently and coherently across an organization. The generic approach described in this International Standard provides the principles and guidelines for managing any form of risk in a systematic, transparent and credible manner and within any scope and context.盡管在過(guò)去這段時(shí)間內(nèi)的許多部門,以滿足不同的需要的風(fēng)險(xiǎn)管理的做法是成熟的,但是通過(guò)采用一致性流程的綜合框架有助于確保風(fēng)險(xiǎn)管理的有效性,并且有效和連貫整個(gè)組織。本標(biāo)準(zhǔn)建議,組織制定,實(shí)施和不斷完善的框架,其目的是將風(fēng)險(xiǎn)管理納入到組織的治理,戰(zhàn)略和規(guī)劃,管理,報(bào)告程序,政策,價(jià)值觀和文化等綜合管理的整個(gè)過(guò)程。While all organizations manage risk to some degree, this International Standard establishes a number of principles that need to be satisfied to make risk management effective. This International Standard remends that organizations develop, implement and continuously improve a framework whose purpose is to integrate the process for managing risk into the organization39。Throughout this process, they municate and consult with stakeholders and monitor and review the risk and the controls that are modifying the risk in order to ensure that no further risk treatment is required. This International Standard describes this systematic and logical process in detail.在這個(gè)過(guò)程中,他們與利益相關(guān)者溝通協(xié)商,監(jiān)測(cè)和審查風(fēng)險(xiǎn)控制,并不斷的修正風(fēng)險(xiǎn),以確保風(fēng)險(xiǎn)處理不再是必需的。All activities of an organization involve risk. Organizations manage risk by identifying it, analysing it and then evaluating whether the risk should be modified by risk treatment in order to satisfy their risk criteria.一個(gè)組織的所有活動(dòng)都涉及風(fēng)險(xiǎn)。s objectives is “risk”.所有類型和規(guī)模的組織都面臨內(nèi)部和外部因素的影響,使得它不能確定是否及何時(shí)實(shí)現(xiàn)其目標(biāo)。ISO 31000 was prepared by the ISO Technical Management Board Working Group on risk management.ISO 31000由ISO技術(shù)管理委員會(huì)風(fēng)險(xiǎn)管理工作組編寫。The main task of technical mittees is to prepare International Standards. Draft International Standards adopted by the technical mittees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote.由技術(shù)委員會(huì)通過(guò)的國(guó)際標(biāo)準(zhǔn)草案提交各成員團(tuán)體投票表決,需取得了至少3/4參加表決的成員團(tuán)體的同意,國(guó)際標(biāo)準(zhǔn)草案才能作為國(guó)際標(biāo)準(zhǔn)證實(shí)發(fā)布。ISO與國(guó)際電工委員會(huì)(IEC)在電工技術(shù)標(biāo)準(zhǔn)化方面保持密切合作的關(guān)系。個(gè)成員團(tuán)體若對(duì)某技術(shù)委員會(huì)確定的項(xiàng)目感興趣,均由權(quán)參加該委員會(huì)的工作。INTERNATIONAL STANDARD ISO/FDIS31000Risk management — Principles and guidelinesForeword前言ISO (the International Organization 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 mittees. Each member body interested in a subject for which a technical mittee has been established has the right to be represented on that mittee. International organizations, governmental andnotgovernmental, in liaison with ISO, also take part in the work. ISO collaborates closely with theInternational Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.國(guó)際標(biāo)準(zhǔn)化組織(ISO)是各國(guó)標(biāo)準(zhǔn)化團(tuán)體(ISO成員團(tuán)體)組成的世界性的聯(lián)合匯。制定國(guó)際標(biāo)準(zhǔn)工作通常由ISO的技術(shù)委員會(huì)完成。與ISO保持聯(lián)系的各國(guó)際組織(官方的或非官方的)也可參加有關(guān)工作。International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.國(guó)際標(biāo)準(zhǔn)是根據(jù)ISO/IEC導(dǎo)則第2部分的規(guī)則起草的。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.本標(biāo)準(zhǔn)中的某些內(nèi)容有可能涉及一些專利權(quán)問(wèn)題,這一點(diǎn)應(yīng)引起注意,ISO不負(fù)責(zé)識(shí)別任何這樣的專利權(quán)問(wèn)題。Introduction簡(jiǎn)介Organizations of all types and sizes face internal and external factors and influences that make it uncertain whether and when they will achieve their objectives. The ef