标准简介
ISO 31000:2018 是由 国际标准化组织 (ISO) 发布的有效（指南，非认证标准）标准，常用于制造业、医疗健康、金融银行、科技、服务业、政府、能源、建筑等行业，并适用于全球等市场。
本页汇总了 ISO 31000:2018 的官方文档、当前状态以及常见相关认证或评估机构，便于快速理解要求与落地路径。
Universal Application
Applicable to any organization regardless of size, sector, or activity. Provides generic guidelines that can be customized to any type of risk — strategic, operational, financial, environmental, or compliance.
Integrated Framework
Built on three core pillars — principles, framework, and process — ensuring risk management is not a standalone activity but integrated into governance, strategy, planning, and decision-making at all levels.
Customizable & Scalable
Designed as a guidelines standard (not certifiable), giving organizations flexibility to adapt the framework and process to their specific context, risk appetite, and organizational culture.
list_alt Core Components
- Eight principles for effective risk management
- Leadership and commitment integration
- Framework design — integration, implementation, evaluation, improvement
- Risk identification across all organizational activities
- Risk analysis (qualitative, semi-quantitative, quantitative)
- Risk evaluation against criteria and risk appetite
- Risk treatment selection and implementation
- Communication, consultation, and continuous monitoring
谁需要合规？
Any organization seeking a structured approach to managing risk — from small businesses to multinational corporations, government agencies, and non-profits. Widely used as a foundation for sector-specific risk management frameworks.
关键要求
Principles of Risk Management
Adopt the eight principles: risk management creates and protects value, is an integral part of all organizational processes, is part of decision-making, explicitly addresses uncertainty, is systematic and structured, is based on the best available information, is tailored, and considers human and cultural factors.
Risk Management Framework
Design a framework that integrates risk management into the organization through leadership commitment, organizational design, resource allocation, and establishing communication and reporting mechanisms.
Risk Assessment Process
Implement a systematic process of risk identification (what can happen and why), risk analysis (likelihood and consequences), and risk evaluation (comparing against criteria to determine treatment priorities).
Risk Treatment
Select and implement risk treatment options — avoid, accept, modify likelihood, modify consequences, share, or retain risk. Develop treatment plans and monitor their effectiveness.
Monitoring & Continuous Improvement
Establish monitoring and review processes to ensure risk management remains relevant and effective. Continuously improve the framework and process based on organizational learning and changing context.
实施路线图
定义风险管理范围
识别 ISO 31000:2018 覆盖的产品、服务、场所、系统、团队、司法辖区和相关方。确认责任人、边界、适用义务、文件和证据期望，范围包括风险原则、治理框架、风险准则、内外部环境、评估、处置、沟通、协商、监视和评审。
评估差距并排列风险优先级
将当前实践与预期的风险管理方法进行比较。审查风险偏好和准则、责任人、风险登记册、评估方法、处置计划、报告、升级和评审节奏，并按法律暴露、安全影响、客户承诺、运营依赖以及审核或市场准入准备度排列差距优先级。
实施控制和记录
部署所需程序、技术控制、评审关口、培训、供应商流程、报告路径和运行记录。维护风险政策、准则、登记册、评估记录、处置计划、管理报告、评审纪要和改进行动作为可追溯证据。
评审、审核并改进
开展内部评审、管理报告、审核、纠正措施和变更评估。当产品、服务、供应商、技术、法规、事件或相关方期望变化时刷新项目。
合规检查清单
checklist 范围与治理
checklist 控制与证据
checklist 监控与改进
处罚与执行
No penalties — ISO 31000 is a guidelines standard and is not certifiable. There are no regulatory requirements to comply with it. However, many regulations and industry standards reference ISO 31000 principles, and organizations using its framework often demonstrate better risk governance to regulators, investors, and stakeholders.
常见问题解答
谁需要 ISO 31000:2018？
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ISO 31000:2018 最适用于需要一致企业风险管理方法的组织。具体范围取决于产品、服务、司法辖区、客户承诺，以及组织是否需要认证、符合性证据、监管准备或内部治理。
ISO 31000:2018 是否可认证？
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ISO 31000 是指南性标准，通常不作为可认证管理体系标准使用。
实施时应先关注什么？
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先定义范围和义务，再建立当前状态差距评估。早期最重要的工作是确认责任、受影响资产或过程、风险准则、客户或法律驱动因素，以及组织必须能够提供的证据。
ISO 31000:2018 需要哪些证据？
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有用证据包括风险政策、准则、登记册、评估记录、处置计划、管理报告、评审纪要和改进行动。证据应进行版本控制，能够追溯到责任人，并关联风险、义务、控制、决策和纠正措施。
项目应多久评审一次？
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应按计划周期评审，并在产品、服务、供应商、运行环境、事件、客户承诺或法规变化时评审。高风险领域应采用更频繁的监控和管理报告。