Professional Documents
Culture Documents
50126-1:1999
Incorporating
corrigendum no. 1
Railway applications —
The specification and
demonstration of
Reliability,
Availability,
Maintainability and
Safety (RAMS) —
Part 1: Basic requirements and generic
process
ICS 45.020
12&23<,1*:,7+287%6,3(50,66,21(;&(37$63(50,77('%<&23<5,*+7/$:
BS EN 50126-1:1999
National foreword
© BSI 2007
(QJOLVKYHUVLRQ
Railway applications –
The specification and demonstration of
Reliability, Availability, Maintainability and Safety (RAMS)
Part 1: Basic requirements and generic process
7KLV (XURSHDQ 6WDQGDUG ZDV DSSURYHG E\ &(1(/(& RQ &(1(/(& PHPEHUV DUH ERXQG WR
FRPSO\ZLWKWKH&(1&(1(/(&,QWHUQDO5HJXODWLRQVZKLFKVWLSXODWHWKHFRQGLWLRQVIRUJLYLQJWKLV(XURSHDQ
6WDQGDUGWKHVWDWXVRIDQDWLRQDOVWDQGDUGZLWKRXWDQ\DOWHUDWLRQ
8SWRGDWH OLVWV DQG ELEOLRJUDSKLFDO UHIHUHQFHV FRQFHUQLQJ VXFK QDWLRQDO VWDQGDUGV PD\ EH REWDLQHG RQ
DSSOLFDWLRQWRWKH&HQWUDO6HFUHWDULDWRUWRDQ\&(1(/(&PHPEHU
7KLV (XURSHDQ 6WDQGDUG H[LVWV LQ WKUHH RIILFLDO YHUVLRQV (QJOLVK )UHQFK *HUPDQ $ YHUVLRQ LQ DQ\ RWKHU
ODQJXDJH PDGH E\ WUDQVODWLRQ XQGHU WKH UHVSRQVLELOLW\ RI D &(1(/(& PHPEHU LQWR LWV RZQ ODQJXDJH DQG
QRWLILHGWRWKH&HQWUDO6HFUHWDULDWKDVWKHVDPHVWDWXVDVWKHRIILFLDOYHUVLRQV
&(1(/(& PHPEHUV DUH WKH QDWLRQDO VWDQGDUGV ERGLHV RI $XVWULD %HOJLXP &]HFK 5HSXEOLF 'HQPDUN
)LQODQG )UDQFH *HUPDQ\ *UHHFH ,FHODQG ,UHODQG ,WDO\ /X[HPERXUJ 1HWKHUODQGV 1RUZD\ 3RUWXJDO
6SDLQ6ZHGHQ6ZLW]HUODQGDQG8QLWHG.LQJGRP
&(1(/(&
(XURSHDQ&RPPLWWHHIRU(OHFWURWHFKQLFDO6WDQGDUGL]DWLRQ
&RPLWp(XURSpHQGH1RUPDOLVDWLRQ(OHFWURWHFKQLTXH
(XURSlLVFKHV.RPLWHHIU(OHNWURWHFKQLVFKH1RUPXQJ
&HQWUDO6HFUHWDULDWUXHGH6WDVVDUW%%UXVVHOV
&(1(/(& $OOULJKWVRIH[SORLWDWLRQLQDQ\IRUPDQGE\DQ\PHDQVUHVHUYHGZRUOGZLGHIRU&(1(/(&PHPEHUV
5HI1R(1(
3DJH
EN 50126-1:1999
)RUHZRUG
7KLV (XURSHDQ 6WDQGDUG ZDV SUHSDUHG E\ WKH 7HFKQLFDO &RPPLWWHH &(1(/(& 7& ; (OHFWULFDO DQG
HOHFWURQLFDSSOLFDWLRQVLQUDLOZD\V
7KHWH[WRIWKHGUDIWZDVVXEPLWWHGWRWKHIRUPDOYRWHDQGZDVDSSURYHGE\&(1(/(&DV(1RQ
7KHIROORZLQJGDWHVZHUHIL[HG
± ODWHVWGDWHE\ZKLFKWKH(1KDVWREHLPSOHPHQWHG
DWQDWLRQDOOHYHOE\SXEOLFDWLRQRIDQLGHQWLFDO
QDWLRQDOVWDQGDUGRUE\HQGRUVHPHQW GRS
± ODWHVWGDWHE\ZKLFKWKHQDWLRQDOVWDQGDUGVFRQIOLFWLQJ
ZLWKWKH(1KDYHWREHZLWKGUDZQ GRZ
To assist the user in the application of this standard for safety and for managing RAM performance in the
rolling stock procurement process, the following application guides have been produced:
1)
CLC/TR 50126-2 Guide to the application of EN 50126-1 for safety
CLC/TR 50126-3 Guide to the application of EN 50126-1 for rolling stock RAMS
$QQH[HVGHVLJQDWHG³QRUPDWLYH´DUHSDUWRIWKHERG\RIWKHVWDQGDUG
$QQH[HVGHVLJQDWHG³LQIRUPDWLYH´DUHJLYHQIRULQIRUPDWLRQRQO\
,QWKLVVWDQGDUGDQQH[HV$WR(DUHLQIRUPDWLYH
1)
In preparation.
© BSI 2007
3DJH
EN 50126-1:1999
&RQWHQWV
3DJH
,QWURGXFWLRQ
6FRSH
1RUPDWLYHUHIHUHQFHV
'HILQLWLRQV
5DLOZD\5$06
,QWURGXFWLRQ
5DLOZD\5$06DQGTXDOLW\RIVHUYLFH
(OHPHQWVRIUDLOZD\5$06
)DFWRUVLQIOXHQFLQJUDLOZD\5$06
*HQHUDO
&DWHJRULHVRIIDFWRUV
0DQDJHPHQWRIIDFWRUV
7KHPHDQVWRDFKLHYHUDLOZD\5$06UHTXLUHPHQWV
*HQHUDO
5$06VSHFLILFDWLRQ
5LVN
m
5LVNFRQFHSW
o
. c
5LVNDQDO\VLV
5LVNHYDOXDWLRQDQGDFFHSWDQFH
x w
6DIHW\LQWHJULW\
)DLOVDIHFRQFHSW
zf
0DQDJHPHQWRIUDLOZD\5$06
. b
*HQHUDO
w
6\VWHPOLIHF\FOH
ww
$SSOLFDWLRQRIWKLVVWDQGDUG
5$06OLIHF\FOH
3KDVH&RQFHSW
享网
3KDVH6\VWHPGHILQLWLRQDQGDSSOLFDWLRQFRQGLWLRQV
3KDVH5LVNDQDO\VLV
分
3KDVH6\VWHPUHTXLUHPHQWV
标准
3KDVH$SSRUWLRQPHQWRIV\VWHPUHTXLUHPHQWV
3KDVH'HVLJQDQGLPSOHPHQWDWLRQ
3KDVH0DQXIDFWXULQJ
3KDVH,QVWDOODWLRQ
3KDVH6\VWHPYDOLGDWLRQLQFOXGLQJVDIHW\DFFHSWDQFHDQGFRPPLVVLRQLQJ
3KDVH6\VWHPDFFHSWDQFH
3KDVH2SHUDWLRQDQGPDLQWHQDQFH
3KDVH3HUIRUPDQFHPRQLWRULQJ
3KDVH0RGLILFDWLRQDQGUHWURILW
3KDVH'HFRPPLVVLRQLQJDQGGLVSRVDO
$QQH[$LQIRUPDWLYH2XWOLQHRI5$06VSHFLILFDWLRQH[DPSOH
$QQH[%LQIRUPDWLYH5$06SURJUDPPH
$QQH[&LQIRUPDWLYH([DPSOHVRISDUDPHWHUVIRUUDLOZD\
$QQH['LQIRUPDWLYH([DPSOHVRIVRPHULVNDFFHSWDQFHSULQFLSOHV
$QQH[(LQIRUPDWLYH5HVSRQVLELOLWLHVZLWKLQWKH5$06SURFHVVWKURXJKRXWWKHOLIHF\FOH
© BSI 2007
3DJH
EN 50126-1:1999
)LJXUHV
)LJXUH 4XDOLW\RI6HUYLFHDQG5DLOZD\5$06
)LJXUH ,QWHUUHODWLRQRI5DLOZD\5$06HOHPHQWV
)LJXUH (IIHFWVRI)DLOXUHV:LWKLQD6\VWHP
)LJXUH ,QIOXHQFHVRQ5$06
)LJXUH )DFWRUV,QIOXHQFLQJ5DLOZD\5$06
)LJXUH ([DPSOHRID&DXVH(IIHFW'LDJUDP
)LJXUH &HUWLILHG3URGXFWVLQ6DIHW\6\VWHPV
)LJXUH 6\VWHP/LIHF\FOH
)LJXUH 3URMHFW3KDVH5HODWHG7DVNV6KHHWRI
)LJXUH 7KH³9´5HSUHVHQWDWLRQ
)LJXUH 9HULILFDWLRQDQG9DOLGDWLRQ
)LJXUH 5$06(QJLQHHULQJDQG0DQDJHPHQW,PSOHPHQWHGZLWKLQD
6\VWHP5HDOL]DWLRQ3URFHVV
7DEOHV
DEOH
7 5$0)DLOXUH&DWHJRULHV
7DEOH )UHTXHQF\RI2FFXUUHQFHRI+D]DUGRXV(YHQWV
7DEOH +D]DUG6HYHULW\/HYHO
7DEOH )UHTXHQF\&RQVHTXHQFH0DWUL[
7DEOH 4XDOLWDWLYH5LVN&DWHJRULHV
7DEOH 7\SLFDO([DPSOHRI5LVN(YDOXDWLRQDQG$FFHSWDQFH
om
7DEOH%
7DEOH&
([DPSOHRID%DVLF5$063URJUDPPH2XWOLQH
. c
([DPSOHVRI5HOLDELOLW\3DUDPHWHUV
7DEOH& w
([DPSOHVRI0DLQWDLQDELOLW\3DUDPHWHUV
x
7DEOH&
7DEOH&
zf
([DPSOHVRI$YDLODELOLW\3DUDPHWHUV
([DPSOHVRI/RJLVWLF6XSSRUW3DUDPHWHUV
7DEOH&
. b
([DPSOHVRI6DIHW\3HUIRUPDQFH3DUDPHWHUV
w
ww
享网
分
标准
© BSI 2007
3DJH
EN 50126-1:1999
,QWURGXFWLRQ
7KLV (XURSHDQ 6WDQGDUG SURYLGHV 5DLOZD\ $XWKRULWLHV DQG WKH UDLOZD\ VXSSRUW LQGXVWU\ WKURXJKRXW WKH
(XURSHDQ 8QLRQ ZLWK D SURFHVV ZKLFK ZLOO HQDEOH WKH LPSOHPHQWDWLRQ RI D FRQVLVWHQW DSSURDFK WR WKH
PDQDJHPHQW RI UHOLDELOLW\ DYDLODELOLW\ PDLQWDLQDELOLW\ DQG VDIHW\ GHQRWHG E\ WKH DFURQ\P 5$06
3URFHVVHV IRU WKH VSHFLILFDWLRQ DQG GHPRQVWUDWLRQ RI 5$06 UHTXLUHPHQWV DUH FRUQHUVWRQHV RI WKLV
VWDQGDUG 7KLV (XURSHDQ 6WDQGDUG DLPV WR SURPRWH D FRPPRQ XQGHUVWDQGLQJ DQG DSSURDFK WR WKH
PDQDJHPHQWRI5$06
7KLV (XURSHDQ 6WDQGDUG FDQ EH DSSOLHG V\VWHPDWLFDOO\ E\ D UDLOZD\ DXWKRULW\ DQG UDLOZD\ VXSSRUW
LQGXVWU\WKURXJKRXWDOOSKDVHVRIWKHOLIHF\FOHRIDUDLOZD\DSSOLFDWLRQWRGHYHORSUDLOZD\VSHFLILF5$06
UHTXLUHPHQWVDQGWRDFKLHYHFRPSOLDQFHZLWKWKHVHUHTXLUHPHQWV7KHV\VWHPVOHYHODSSURDFKGHILQHG
E\ WKLV (XURSHDQ 6WDQGDUG IDFLOLWDWHV DVVHVVPHQW RI WKH 5$06 LQWHUDFWLRQV EHWZHHQ HOHPHQWV RI
FRPSOH[UDLOZD\DSSOLFDWLRQV
7KLV (XURSHDQ 6WDQGDUG SURPRWHV FRRSHUDWLRQ EHWZHHQ D UDLOZD\ DXWKRULW\ DQG UDLOZD\ VXSSRUW
LQGXVWU\ ZLWKLQ D YDULHW\ RI SURFXUHPHQW VWUDWHJLHV LQ WKH DFKLHYHPHQW RI DQ RSWLPDO FRPELQDWLRQ RI
5$06DQGFRVWIRUUDLOZD\DSSOLFDWLRQV$GRSWLRQRIWKLV(XURSHDQ6WDQGDUGZLOOVXSSRUWWKHSULQFLSOHVRI
WKH(XURSHDQ6LQJOH0DUNHWDQGIDFLOLWDWH(XURSHDQUDLOZD\LQWHURSHUDELOLW\
om
7KH SURFHVV GHILQHG E\ WKLV (XURSHDQ 6WDQGDUG DVVXPHV WKDW UDLOZD\ DXWKRULWLHV DQG UDLOZD\ VXSSRUW
LQGXVWU\KDYHEXVLQHVVOHYHOSROLFLHVDGGUHVVLQJ4XDOLW\3HUIRUPDQFHDQG6DIHW\7KHDSSURDFKGHILQHG
. c
LQWKLVVWDQGDUGLVFRQVLVWHQWZLWKWKHDSSOLFDWLRQRITXDOLW\PDQDJHPHQWUHTXLUHPHQWVFRQWDLQHGZLWKLQ
WKH,62VHULHVRI,QWHUQDWLRQDOVWDQGDUGV
x w
zf
. b
w
ww
享网
分
标准
© BSI 2007
3DJH
EN 50126-1:1999
6FRSH
7KLV(XURSHDQ6WDQGDUG
£ GHILQHV 5$06 LQ WHUPV RI UHOLDELOLW\ DYDLODELOLW\ PDLQWDLQDELOLW\ DQG VDIHW\ DQG WKHLU
LQWHUDFWLRQ
£ GHILQHVDSURFHVVEDVHGRQWKHV\VWHPOLIHF\FOHDQGWDVNVZLWKLQLWIRUPDQDJLQJ5$06
£ HQDEOHVFRQIOLFWVEHWZHHQ5$06HOHPHQWVWREHFRQWUROOHGDQGPDQDJHGHIIHFWLYHO\
£ GHILQHVDV\VWHPDWLFSURFHVVIRUVSHFLI\LQJUHTXLUHPHQWVIRU5$06DQGGHPRQVWUDWLQJWKDW
WKHVHUHTXLUHPHQWVDUHDFKLHYHG
£ DGGUHVVHVUDLOZD\VSHFLILFV
£ GRHV QRW GHILQH 5$06 WDUJHWV TXDQWLWLHV UHTXLUHPHQWV RU VROXWLRQV IRU VSHFLILF UDLOZD\
DSSOLFDWLRQV
£ GRHVQRWVSHFLI\UHTXLUHPHQWVIRUHQVXULQJV\VWHPVHFXULW\
£ GRHVQRWGHILQHUXOHVRUSURFHVVHVSHUWDLQLQJWRWKHFHUWLILFDWLRQRIUDLOZD\SURGXFWVDJDLQVW
WKHUHTXLUHPHQWVRIWKLVVWDQGDUG
£ GRHVQRWGHILQHDQDSSURYDOSURFHVVE\WKHVDIHW\UHJXODWRU\DXWKRULW\
7KLV(XURSHDQ6WDQGDUGLVDSSOLFDEOH
om
£ WRWKHVSHFLILFDWLRQDQGGHPRQVWUDWLRQRI5$06IRUDOOUDLOZD\DSSOLFDWLRQVDQGDWDOOOHYHOV
. c
RIVXFKDQDSSOLFDWLRQDVDSSURSULDWHIURPFRPSOHWHUDLOZD\URXWHVWRPDMRUV\VWHPVZLWKLQ
DUDLOZD\URXWHDQGWRLQGLYLGXDODQGFRPELQHGVXEV\VWHPVDQGFRPSRQHQWVZLWKLQWKHVH
PDMRUV\VWHPVLQFOXGLQJWKRVHFRQWDLQLQJVRIWZDUHLQSDUWLFXODU
x w
£ WRQHZV\VWHPV
zf
. b
£ WR QHZ V\VWHPV LQWHJUDWHG LQWR H[LVWLQJ V\VWHPV LQ RSHUDWLRQ SULRU WR WKH FUHDWLRQ RI WKLV
VWDQGDUGDOWKRXJKLWLVQRWJHQHUDOO\DSSOLFDEOHWRRWKHUDVSHFWVRIWKHH[LVWLQJV\VWHP
w
£ WR PRGLILFDWLRQV RI H[LVWLQJ V\VWHPV LQ RSHUDWLRQ SULRU WR WKH FUHDWLRQ RI WKLV VWDQGDUG
ww
DOWKRXJKLWLVQRWJHQHUDOO\DSSOLFDEOHWRRWKHUDVSHFWVRIWKHH[LVWLQJV\VWHP
£ DWDOOUHOHYDQWSKDVHVRIWKHOLIHF\FOHRIDQDSSOLFDWLRQ
网
£ IRUXVHE\5DLOZD\$XWKRULWLHVDQGWKHUDLOZD\VXSSRUWLQGXVWU\
享
127(
分
*XLGDQFHRQWKHDSSOLFDELOLW\LVJLYHQLQWKHUHTXLUHPHQWVRIWKLVVWDQGDUG
准
标
© BSI 2007
3DJH
EN 50126-1:1999
1RUPDWLYHUHIHUHQFHV
7KLV(XURSHDQ6WDQGDUGLQFRUSRUDWHVE\GDWHGRUXQGDWHGUHIHUHQFHSURYLVLRQVIURPRWKHUSXEOLFDWLRQV
7KHVHQRUPDWLYHUHIHUHQFHVDUHFLWHGDWWKHDSSURSULDWHSODFHVLQWKHWH[WDQGWKHSXEOLFDWLRQVDUHOLVWHG
KHUHDIWHU )RU GDWHG UHIHUHQFHV VXEVHTXHQW DPHQGPHQWV WR RU UHYLVLRQV RI DQ\ RI WKHVH SXEOLFDWLRQV
DSSO\ WR WKLV (XURSHDQ 6WDQGDUG RQO\ ZKHQ LQFRUSRUDWHG LQ LW E\ DPHQGPHQW RU UHYLVLRQ )RU XQGDWHG
UHIHUHQFHVWKHODWHVWHGLWLRQRIWKHSXEOLFDWLRQUHIHUUHGWRDSSOLHV
(1,62
4XDOLW\V\VWHPV²0RGHOIRUTXDOLW\DVVXUDQFHLQGHVLJQGHYHORSPHQW
SURGXFWLRQLQVWDOODWLRQDQGVHUYLFLQJ
(1,62 4XDOLW\V\VWHPV²0RGHOIRUTXDOLW\DVVXUDQFHLQSURGXFWLRQLQVWDOODWLRQDQG
VHUYLFLQJ
(1,62 4XDOLW\V\VWHPV²0RGHOIRUTXDOLW\DVVXUDQFHLQILQDOLQVSHFWLRQDQGWHVW
(1
5DLOZD\DSSOLFDWLRQV²6RIWZDUHIRUUDLOZD\FRQWURODQGSURWHFWLRQV\VWHPV
(19 5DLOZD\DSSOLFDWLRQV²6DIHW\UHODWHGHOHFWURQLFV\VWHPVIRUVLJQDOOLQJ
,(& ,QWHUQDWLRQDO(OHFWURWHFKQLFDO9RFDEXODU\²&KDSWHU'HSHQGDELOLW\DQG
TXDOLW\RIVHUYLFH
,(& VHULHV )XQFWLRQDOVDIHW\RIHOHFWULFDOHOHFWURQLFSURJUDPPDEOHHOHFWURQLFVDIHW\UHODWHG
6\VWHPV
om
. c
x w
zf
.b
w
ww
享网
分
标准
,QSUHSDUDWLRQ
© BSI 2007
3DJH
EN 50126-1:1999
'HILQLWLRQV
)RUWKHSXUSRVHVRIWKLVVWDQGDUGWKHIROORZLQJGHILQLWLRQVDSSO\
DSSRUWLRQPHQW
DSURFHVVZKHUHE\WKH5$06HOHPHQWVIRUDV\VWHPDUHVXEGLYLGHGEHWZHHQWKHYDULRXVLWHPVZKLFK
FRPSULVHWKHV\VWHPWRSURYLGHLQGLYLGXDOWDUJHWV
DVVHVVPHQW
WKHXQGHUWDNLQJRIDQLQYHVWLJDWLRQLQRUGHUWRDUULYHDWDMXGJHPHQWEDVHGRQHYLGHQFHRIWKHVXLWDELOLW\
RIDSURGXFW
DXGLW
D V\VWHPDWLF DQG LQGHSHQGHQW H[DPLQDWLRQ WR GHWHUPLQH ZKHWKHU WKH SURFHGXUHV VSHFLILF WR WKH
UHTXLUHPHQWVRIDSURGXFWFRPSO\ZLWKWKHSODQQHGDUUDQJHPHQWVDUHLPSOHPHQWHGHIIHFWLYHO\DQGDUH
VXLWDEOHWRDFKLHYHWKHVSHFLILHGREMHFWLYHV
DYDLODELOLW\ om
. c
WKHDELOLW\RIDSURGXFWWREHLQDVWDWHWRSHUIRUPDUHTXLUHGIXQFWLRQXQGHUJLYHQFRQGLWLRQVDWDJLYHQ
w
LQVWDQWRIWLPHRURYHUDJLYHQWLPHLQWHUYDODVVXPLQJWKDWWKHUHTXLUHGH[WHUQDOUHVRXUFHVDUHSURYLGHG
x
zf
FRPPLVVLRQLQJ
. b
DFROOHFWLYHWHUPIRUWKHDFWLYLWLHVXQGHUWDNHQWRSUHSDUHDV\VWHPRUSURGXFWSULRUWRGHPRQVWUDWLQJWKDWLW
PHHWVLWVVSHFLILHGUHTXLUHPHQWV w
ww
FRPPRQFDXVHIDLOXUH
享网
DIDLOXUHZKLFKLVWKHUHVXOWRIDQHYHQWVZKLFKFDXVHV DFRLQFLGHQFH RI IDLOXUH VWDWHVRI WZR RUPRUH
分
FRPSRQHQWVOHDGLQJWRDV\VWHPIDLOLQJWRSHUIRUPLWVUHTXLUHGIXQFWLRQ
FRPSOLDQFH
标准
DGHPRQVWUDWLRQWKDWDFKDUDFWHULVWLFRUSURSHUW\RIDSURGXFWVDWLVILHVWKHVWDWHGUHTXLUHPHQWV
FRQILJXUDWLRQPDQDJHPHQW
DGLVFLSOLQHDSSO\LQJWHFKQLFDODQGDGPLQLVWUDWLYHGLUHFWLRQDQGVXUYHLOODQFHWRLGHQWLI\DQGGRFXPHQWWKH
IXQFWLRQDO DQG SK\VLFDO FKDUDFWHULVWLFV RI D FRQILJXUDWLRQ LWHP FRQWURO FKDQJH WR WKRVH FKDUDFWHULVWLFV
UHFRUG DQG UHSRUW FKDQJH SURFHVVLQJ DQG LPSOHPHQWDWLRQ VWDWXV DQG YHULI\ FRPSOLDQFH ZLWK VSHFLILHG
UHTXLUHPHQWV
FRUUHFWLYHPDLQWHQDQFH
WKHPDLQWHQDQFHFDUULHGRXWDIWHUIDXOWUHFRJQLWLRQDQGLQWHQGHGWRSXWDSURGXFWLQWRDVWDWHLQZKLFKLW
FDQSHUIRUPDUHTXLUHGIXQFWLRQ
GHSHQGHQWIDLOXUH
WKHIDLOXUHRIDVHWRIHYHQWVWKHSUREDELOLW\RIZKLFKFDQQRWEHH[SUHVVHGDVWKHVLPSOHSURGXFWRIWKH
XQFRQGLWLRQDOSUREDELOLWLHVRIWKHLQGLYLGXDOHYHQWV
© BSI 2007
3DJH
EN 50126-1:1999
GRZQWLPH
WKHWLPHLQWHUYDOGXULQJZKLFKDSURGXFWLVLQDGRZQVWDWH,(&
IDLOXUHFDXVH
WKHFLUFXPVWDQFHVGXULQJGHVLJQPDQXIDFWXUHRUXVHZKLFKKDYHOHGWRDIDLOXUH,(&
IDLOXUHPRGH
WKH SUHGLFWHG RU REVHUYHG UHVXOWV RI D IDLOXUH FDXVH RQ D VWDWHG LWHP LQ UHODWLRQ WR WKH RSHUDWLQJ
FRQGLWLRQVDWWKHWLPHRIWKHIDLOXUH
IDLOXUHUDWH
WKHOLPLWLIWKLVH[LVWVRIWKHUDWLRRIWKHFRQGLWLRQDOSUREDELOLW\WKDWWKHLQVWDQWRIWLPH7RIDIDLOXUHRID
SURGXFWIDOOVZLWKLQDJLYHQWLPHLQWHUYDOWWDWDQGWKHOHQJWKRIWKLVLQWHUYDODWZKHQDWWHQGVWRZDUGV
]HURJLYHQWKDWWKHLWHPLVLQDQXSVWDWHDWWKHVWDUWRIWKHWLPHLQWHUYDO
IDXOWPRGH
om
RQHRIWKHSRVVLEOHVWDWHVRIDIDXOW\SURGXFWIRUDJLYHQUHTXLUHGIXQFWLRQ,(&
. c
IDXOWWUHHDQDO\VLV
x w
f
DQ DQDO\VLV WR GHWHUPLQH ZKLFK IDXOW PRGHV RI WKH SURGXFW VXESURGXFWV RU H[WHUQDO HYHQWV RU
z
WUHH . b
FRPELQDWLRQVWKHUHRIPD\UHVXOWLQDVWDWHGIDXOWPRGHRIWKHSURGXFWSUHVHQWHGLQWKHIRUPRIDIDXOW
w w
KD]DUG w
DSK\VLFDOVLWXDWLRQZLWKDSRWHQWLDOIRUKXPDQLQMXU\
享 网
KD]DUGORJ
WKH GRFXPHQW LQ 准
分
ZKLFK DOO VDIHW\ PDQDJHPHQW DFWLYLWLHV KD]DUGV LGHQWLILHG GHFLVLRQV PDGH DQG
标
VROXWLRQVDGRSWHGDUHUHFRUGHGRUUHIHUHQFHG$OVRNQRZQDVD´6DIHW\/RJ´(19
ORJLVWLFVXSSRUW
WKHRYHUDOOUHVRXUFHVZKLFKDUHDUUDQJHGDQGRUJDQL]HGLQRUGHUWRRSHUDWHDQGPDLQWDLQWKHV\VWHPDW
WKHVSHFLILHGDYDLODELOLW\OHYHODWWKHUHTXLUHGOLIHF\FOHFRVW
PDLQWDLQDELOLW\
WKHSUREDELOLW\WKDWDJLYHQDFWLYHPDLQWHQDQFHDFWLRQIRUDQLWHPXQGHUJLYHQFRQGLWLRQVRIXVHFDQEH
FDUULHGRXWZLWKLQDVWDWHGWLPHLQWHUYDOZKHQWKHPDLQWHQDQFHLVSHUIRUPHGXQGHUVWDWHGFRQGLWLRQVDQG
XVLQJVWDWHGSURFHGXUHVDQGUHVRXUFHV,(&
PDLQWHQDQFH
WKH FRPELQDWLRQ RI DOO WHFKQLFDO DQG DGPLQLVWUDWLYH DFWLRQV LQFOXGLQJ VXSHUYLVLRQ DFWLRQV LQWHQGHG WR
UHWDLQDSURGXFWLQRUUHVWRUHLWWRDVWDWHLQZKLFKLWFDQSHUIRUPDUHTXLUHGIXQFWLRQ,(&
PDLQWHQDQFHSROLF\
D GHVFULSWLRQ RI WKH LQWHUUHODWLRQVKLS EHWZHHQ WKH PDLQWHQDQFH HFKHORQV WKH LQGHQWXUH OHYHOV DQG WKH
OHYHOVRIPDLQWHQDQFHWREHDSSOLHGIRUWKHPDLQWHQDQFHRIDQLWHP,(&
© BSI 2007
3DJH
EN 50126-1:1999
PLVVLRQ
DQREMHFWLYHGHVFULSWLRQRIWKHIXQGDPHQWDOWDVNSHUIRUPHGE\DV\VWHP
PLVVLRQSURILOH
RXWOLQH RI WKH H[SHFWHG UDQJH DQG YDULDWLRQ LQ WKH PLVVLRQ ZLWK UHVSHFW WR SDUDPHWHUV VXFK DV WLPH
ORDGLQJVSHHGGLVWDQFHVWRSVWXQQHOVHWFLQWKHRSHUDWLRQDOSKDVHVRIWKHOLIHF\FOH
SUHYHQWLYHPDLQWHQDQFH
WKHPDLQWHQDQFHFDUULHGRXWDWSUHGHWHUPLQHGLQWHUYDOVRUDFFRUGLQJWRSUHVFULEHGFULWHULDDQGLQWHQGHG
WRUHGXFHWKHSUREDELOLW\RIIDLOXUHRUWKHGHJUDGDWLRQRIWKHIXQFWLRQLQJRIDQLWHP,(&
UDLOZD\DXWKRULW\
WKHERG\ZLWKWKHRYHUDOODFFRXQWDELOLW\WRD5HJXODWRUIRURSHUDWLQJDUDLOZD\V\VWHP
127( 5DLOZD\DXWKRULW\DFFRXQWDELOLWLHVIRUWKHRYHUDOOV\VWHPRULWVSDUWVDQGOLIHF\FOHDFWLYLWLHVDUH
VRPHWLPHVVSOLWEHWZHHQRQHRUPRUHERGLHVRUHQWLWLHV)RUH[DPSOH
£
om
WKHRZQHUVRIRQHRUPRUHSDUWVRIWKHV\VWHPDVVHWVDQGWKHLUSXUFKDVLQJDJHQWV
£ WKHRSHUDWRURIWKHV\VWHP
. c
£
£
WKHPDLQWDLQHUVRIRQHRUPRUHSDUWVRIWKHV\VWHP
HWF
x w
zf
. b
6XFK VSOLWV DUH EDVHG RQ HLWKHU VWDWXWRU\ LQVWUXPHQWV RU FRQWUDFWXDO DJUHHPHQWV 6XFK UHVSRQVLELOLWLHV
VKRXOGWKHUHIRUHEHFOHDUO\VWDWHGDWWKHHDUOLHVWVWDJHVRIDV\VWHPOLIHF\FOH
w w
UDLOZD\VXSSRUWLQGXVWU\ w
网
JHQHULFWHUPGHQRWLQJVXSSOLHUVRIFRPSOHWHUDLOZD\V\VWHPVWKHLUVXEV\VWHPVRUFRPSRQHQWSDUWV
享
5$0SURJUDPPH
准 分
标 UHVSRQVLELOLWLHV SURFHGXUHV DFWLYLWLHV FDSDELOLWLHV DQG UHVRXUFHV WKDW WRJHWKHU
D GRFXPHQWHG VHW RI WLPH VFKHGXOHG DFWLYLWLHV UHVRXUFHV DQG HYHQWV VHUYLQJ WR LPSOHPHQW WKH
RUJDQL]DWLRQDOVWUXFWXUH
HQVXUH WKDW DQ LWHP ZLOO VDWLVI\ JLYHQ 5$0 UHTXLUHPHQWV UHOHYDQW WR D JLYHQ FRQWUDFW RU SURMHFW
,(&
5$06
DQDFURQ\PPHDQLQJDFRPELQDWLRQRI5HOLDELOLW\$YDLODELOLW\0DLQWDLQDELOLW\DQG6DIHW\
UHOLDELOLW\
WKH SUREDELOLW\ WKDW DQ LWHP FDQ SHUIRUP D UHTXLUHG IXQFWLRQ XQGHU JLYHQ FRQGLWLRQV IRU D JLYHQ WLPH
LQWHUYDOWW,(&
UHOLDELOLW\JURZWK
DFRQGLWLRQFKDUDFWHUL]HGE\DSURJUHVVLYHLPSURYHPHQWRIDUHOLDELOLW\SHUIRUPDQFHPHDVXUHRIDQLWHP
ZLWKWLPH,(&
UHSDLU
WKDWSDUWRIDFRUUHFWLYHPDLQWHQDQFHLQZKLFKPDQXDODFWLRQVDUHSHUIRUPHGRQDLWHP,(&
© BSI 2007
3DJH
EN 50126-1:1999
UHVWRUDWLRQ
WKDWHYHQWZKHQDQLWHPUHJDLQVWKHDELOLW\WRSHUIRUPDUHTXLUHGIXQFWLRQDIWHUDIDXOW,(&
ULVN
WKHSUREDEOHUDWHRIRFFXUUHQFHRIDKD]DUGFDXVLQJKDUPDQGWKHGHJUHHRIVHYHULW\RIWKHKDUP
VDIHW\
IUHHGRPIURPXQDFFHSWDEOHULVNRIKDUP
VDIHW\FDVH
WKHGRFXPHQWHGGHPRQVWUDWLRQWKDWWKHSURGXFWFRPSOLHVZLWKWKHVSHFLILHGVDIHW\UHTXLUHPHQWV
VDIHW\LQWHJULW\
WKH OLNHOLKRRG RI D V\VWHP VDWLVIDFWRULO\ SHUIRUPLQJ WKH UHTXLUHG VDIHW\ IXQFWLRQV XQGHU DOO WKH VWDWHG
FRQGLWLRQVZLWKLQDVWDWHGSHULRGRIWLPH
om
VDIHW\LQWHJULW\OHYHO6,/
. c
RQHRIDQXPEHURIGHILQHGGLVFUHWHOHYHOVIRUVSHFLI\LQJWKHVDIHW\LQWHJULW\UHTXLUHPHQWVRIWKHVDIHW\
x w
IXQFWLRQVWREHDOORFDWHGWRWKHVDIHW\UHODWHGV\VWHPV6DIHW\,QWHJULW\/HYHOZLWKWKHKLJKHVWILJXUHKDV
WKHKLJKHVWOHYHORIVDIHW\LQWHJULW\
zf
. b
VDIHW\SODQ w
ww
D GRFXPHQWHG VHW RI WLPH VFKHGXOHG DFWLYLWLHV UHVRXUFHV DQG HYHQWV VHUYLQJ WR LPSOHPHQW WKH
RUJDQL]DWLRQDO VWUXFWXUH UHVSRQVLELOLWLHV SURFHGXUHV DFWLYLWLHV FDSDELOLWLHV DQG UHVRXUFHV WKDWWRJHWKHU
HQVXUHWKDWDQLWHPZLOOVDWLVI\JLYHQVDIHW\UHTXLUHPHQWVUHOHYDQWWRDJLYHQFRQWUDFWRUSURMHFW
享网
分
VDIHW\UHJXODWRU\DXWKRULW\
标准
RIWHQ D QDWLRQDO JRYHUQPHQW ERG\ UHVSRQVLEOH IRU VHWWLQJ RU DJUHHLQJ WKH VDIHW\ UHTXLUHPHQWV IRU D
UDLOZD\DQGHQVXULQJWKDWWKHUDLOZD\FRPSOLHVZLWKWKHUHTXLUHPHQWV
V\VWHPOLIHF\FOH
WKHDFWLYLWLHVRFFXUULQJGXULQJDSHULRGRIWLPHWKDWVWDUWVZKHQDV\VWHPLVFRQFHLYHGDQGHQGZKHQWKH
V\VWHPLVQRORQJHUDYDLODEOHIRUXVHLVGHFRPPLVVLRQHGDQGLVGLVSRVHG
V\VWHPDWLFIDLOXUHV
IDLOXUHVGXHWRHUURUVLQDQ\VDIHW\OLIHF\FOHDFWLYLW\ZLWKLQDQ\SKDVHZKLFKFDXVHLWWRIDLOXQGHUVRPH
SDUWLFXODUFRPELQDWLRQRILQSXWVRUXQGHUVRPHSDUWLFXODUHQYLURQPHQWDOFRQGLWLRQ
WROHUDEOHULVN
WKHPD[LPXPOHYHORIULVNRIDSURGXFWWKDWLVDFFHSWDEOHWRWKH5DLOZD\$XWKRULW\
YDOLGDWLRQ
FRQILUPDWLRQ E\ H[DPLQDWLRQ DQG SURYLVLRQ RI REMHFWLYH HYLGHQFH WKDW WKH SDUWLFXODU UHTXLUHPHQWV IRU D
VSHFLILFLQWHQGHGXVHKDYHEHHQIXOILOOHG
© BSI 2007
3DJH
EN 50126-1:1999
YHULILFDWLRQ
FRQILUPDWLRQ E\ H[DPLQDWLRQ DQG SURYLVLRQ RI REMHFWLYH HYLGHQFH WKDW WKH VSHFLILHG UHTXLUHPHQWV KDYH
EHHQIXOILOOHG
127( )RUFODULILFDWLRQEHWZHHQYHULILFDWLRQDQGYDOLGDWLRQVHH)LJXUHDQG
5DLOZD\5$06
,QWURGXFWLRQ
&ODXVH RI WKLV VWDQGDUG SURYLGHV EDVHOLQH LQIRUPDWLRQ RQ WKH VXEMHFW RI 5$06 DQG 5$06
HQJLQHHULQJ 7KH SXUSRVH RI WKLV FODXVH LV WR SURYLGH WKH UHDGHU ZLWK VXIILFLHQW EDFNJURXQG
LQIRUPDWLRQWRHQDEOHWKHHIIHFWLYHDSSOLFDWLRQRIWKLVVWDQGDUGWRUDLOZD\V\VWHPV
5DLOZD\5$06LVDPDMRUFRQWULEXWRUWRWKH4XDOLW\RI6HUYLFHSURYLGHGE\D5DLOZD\$XWKRULW\
5DLOZD\ 5$06 LV GHILQHG E\ VHYHUDO FRQWULEXWRU\ HOHPHQWV FRQVHTXHQWO\ WKLV FODXVH RI WKLV
(XURSHDQ6WDQGDUGLVVWUXFWXUHGDVIROORZV
6XEFODXVHH[DPLQHVWKHUHODWLRQVKLSEHWZHHQUDLOZD\5$06DQGTXDOLW\RIVHUYLFH
6XEFODXVHVWRH[DPLQHDVSHFWVRIUDLOZD\5$06QDPHO\
£ WKHHOHPHQWVRI5$06
om
£
£
WKHIDFWRUVZKLFKLQIOXHQFHDQGPHDQVWRDFKLHYH5$06
ULVNDQGVDIHW\LQWHJULW\ . c
w
xDUH XVHG EXW ZKHUH QHZ WHUPV
f
:KHUH SRVVLEOH ZLWKLQ WKLV FODXVH LQWHUQDWLRQDOO\ GHILQHG WHUPV
zVSHFLILF LQ WKH UDLOZD\ FRQWH[W WKHVH
DUHGHILQHGLQFODXVHRIWKLVVWDQGDUG . b
DUH UHTXLUHG RU ZKHUH UHFRJQL]HG WHUPV KDYH EHHQ PDGH
w
:LWKLQ WKLV (XURSHDQ 6WDQGDUG WKH VHTXHQFH
w ´V\VWHP VXEV\VWHP FRPSRQHQW´ LV XVHG WR
w
GHPRQVWUDWH WKH EUHDNGRZQ RI DQ\ FRPSOHWH DSSOLFDWLRQ LQWR LWV FRQVWLWXHQW SDUWV 7KH SUHFLVH
DSSOLFDWLRQ
享 网
ERXQGDU\ RI HDFK WHUP V\VWHP VXEV\VWHP DQG FRPSRQHQW ZLOO GHSHQG XSRQ WKH VSHFLILF
准
DQ RUJDQL]HG ZD\
分
$V\VWHPFDQEHGHILQHGDVDQDVVHPEO\RIVXEV\VWHPVDQGFRPSRQHQWVFRQQHFWHGWRJHWKHULQ
WR DFKLHYH VSHFLILHG IXQFWLRQDOLW\ )XQFWLRQDOLW\ LV DVVLJQHG WR VXEV\VWHPV
标 ZLWKLQ D V\VWHP DQG WKH EHKDYLRXU DQG VWDWH RI WKH V\VWHP LV FKDQJHG LI WKH
DQG FRPSRQHQWV
VXEV\VWHP RU FRPSRQHQW IXQFWLRQDOLW\ FKDQJHV $ V\VWHP UHVSRQGV WR LQSXWV WR SURGXFH
VSHFLILHGRXWSXWVZKLOVWLQWHUDFWLQJZLWKDQHQYLURQPHQW
5DLOZD\5$06DQGTXDOLW\RIVHUYLFH
7KLVVXEFODXVHLQWURGXFHVWKHOLQNEHWZHHQ5$06DQGTXDOLW\RIVHUYLFHIRUDQXQGHUWDNLQJ
5$06LVDFKDUDFWHULVWLFRIDV\VWHP¶VORQJWHUPRSHUDWLRQDQGLVDFKLHYHGE\WKHDSSOLFDWLRQRI
HVWDEOLVKHGHQJLQHHULQJFRQFHSWVPHWKRGVWRROVDQGWHFKQLTXHVWKURXJKRXWWKHOLIHF\FOHRIWKH
V\VWHP7KH5$06RIDV\VWHPFDQEHFKDUDFWHUL]HGDVDTXDOLWDWLYHDQGTXDQWLWDWLYHLQGLFDWRURI
WKHGHJUHHWKDWWKHV\VWHPRUWKHVXEV\VWHPVDQGFRPSRQHQWVFRPSULVLQJWKDWV\VWHPFDQEH
UHOLHG XSRQ WR IXQFWLRQ DV VSHFLILHG DQG WR EH ERWK DYDLODEOH DQG VDIH 6\VWHP 5$06 LQ WKH
FRQWH[WRIWKLV(XURSHDQ6WDQGDUGLVDFRPELQDWLRQRIUHOLDELOLW\DYDLODELOLW\PDLQWDLQDELOLW\DQG
VDIHW\5$06
7KH JRDO RI D UDLOZD\ V\VWHP LV WR DFKLHYH D GHILQHG OHYHO RI UDLO WUDIILF LQ D JLYHQ WLPH VDIHO\
5DLOZD\5$06GHVFULEHVWKHFRQILGHQFHZLWKZKLFKWKHV\VWHPFDQJXDUDQWHHWKHDFKLHYHPHQW
RIWKLVJRDO5DLOZD\5$06KDVDFOHDULQIOXHQFHRQWKHTXDOLW\ZLWKZKLFKWKHVHUYLFHLVGHOLYHUHG
WRWKHFXVWRPHU4XDOLW\RI6HUYLFHLVLQIOXHQFHGE\RWKHUFKDUDFWHULVWLFVFRQFHUQLQJIXQFWLRQDOLW\
DQGSHUIRUPDQFHIRUH[DPSOHIUHTXHQF\RIVHUYLFHUHJXODULW\RIVHUYLFHDQGIDUHVWUXFWXUH7KLV
UHODWLRQVKLSLVVKRZQLQ)LJXUH
© BSI 2007
3DJH
EN 50126-1:1999
4XDOLW\RI6HUYLFH
2WKHU$WWULEXWHV 5DLOZD\5$06
)LJXUH²4XDOLW\RI6HUYLFHDQG5DLOZD\5$06
(OHPHQWVRIUDLOZD\5$06
7KLV VXEFODXVH LQWURGXFHV WKH LQWHUDFWLRQ EHWZHHQ 5$06 HOHPHQWV UHOLDELOLW\ DYDLODELOLW\
PDLQWDLQDELOLW\DQGVDIHW\LQWKHFRQWH[WRIUDLOZD\V\VWHPV
6DIHW\DQGDYDLODELOLW\DUHLQWHUOLQNHGLQWKHVHQVHWKDWDZHDNQHVVLQHLWKHURUPLVPDQDJHPHQW
RI FRQIOLFWV EHWZHHQ VDIHW\ DQG DYDLODELOLW\ UHTXLUHPHQWV PD\ SUHYHQW DFKLHYHPHQW RI D
GHSHQGDEOH V\VWHP 7KH LQWHUOLQNLQJ RI UDLOZD\ 5$06 HOHPHQWV UHOLDELOLW\ DYDLODELOLW\
PDLQWDLQDELOLW\DQGVDIHW\LVVKRZQLQ)LJXUH
$WWDLQPHQW RI LQVHUYLFH VDIHW\ DQG DYDLODELOLW\ WDUJHWV FDQ RQO\ EH DFKLHYHG E\ PHHWLQJ DOO
UHOLDELOLW\ DQG PDLQWDLQDELOLW\ UHTXLUHPHQWV DQG FRQWUROOLQJ WKH RQJRLQJ ORQJWHUP PDLQWHQDQFH
DQGRSHUDWLRQDODFWLYLWLHVDQGWKHV\VWHPHQYLURQPHQW
om
c
6HFXULW\ DV DQ HOHPHQW WKDW FKDUDFWHUL]HV WKH UHVLOLHQFH RI D UDLOZD\ V\VWHP WR YDQGDOLVP DQG
.
XQUHDVRQDEOHKXPDQEHKDYLRXUFDQEHFRQVLGHUHGDVDIXUWKHUFRPSRQHQWRI5$06+RZHYHU
FRQVLGHUDWLRQRIVHFXULW\LVRXWVLGHWKHVFRSHRIWKLVVWDQGDUG
x w
zf
. b
5DLOZD\5$06
w w
w6DIHW\ $YDLODELOLW\
享网
分
标准
5HOLDELOLW\ 2SHUDWLRQ
0DLQWDLQDELOLW\ 0DLQWHQDQFH
)LJXUH²,QWHUUHODWLRQRI5DLOZD\5$06HOHPHQWV
7HFKQLFDOFRQFHSWVRIDYDLODELOLW\DUHEDVHGRQDNQRZOHGJHRI
D UHOLDELOLW\LQWHUPVRI
£ DOOSRVVLEOHV\VWHPIDLOXUHPRGHVLQWKHVSHFLILHGDSSOLFDWLRQDQGHQYLURQPHQW
£ WKHSUREDELOLW\RIRFFXUUHQFHRIHDFKIDLOXUHRUDOWHUQDWLYHO\WKHUDWHRIRFFXUUHQFHRIHDFK
IDLOXUH
£ WKHHIIHFWRIWKHIDLOXUHRQWKHIXQFWLRQDOLW\RIWKHV\VWHP
E PDLQWDLQDELOLW\LQWHUPVRI
£ WLPHIRUWKHSHUIRUPDQFHRISODQQHGPDLQWHQDQFH
£ WLPHIRUGHWHFWLRQLGHQWLILFDWLRQDQGORFDWLRQRIWKHIDXOWV
£ WLPHIRUWKHUHVWRUDWLRQRIWKHIDLOHGV\VWHPXQSODQQHGPDLQWHQDQFH
F RSHUDWLRQDQGPDLQWHQDQFHLQWHUPVRI
£ DOOSRVVLEOHRSHUDWLRQPRGHVDQGUHTXLUHGPDLQWHQDQFHRYHUWKHV\VWHPOLIHF\FOH
£ WKHKXPDQIDFWRULVVXHV
© BSI 2007
3DJH
EN 50126-1:1999
7HFKQLFDOFRQFHSWVRIVDIHW\DUHEDVHGRQDNQRZOHGJHRI
D DOO SRVVLEOH KD]DUGV LQ WKH V\VWHP XQGHU DOO RSHUDWLRQ PDLQWHQDQFH DQG HQYLURQPHQW
PRGHV
E WKHFKDUDFWHULVWLFRIHDFKKD]DUGLQWHUPVRILWVVHYHULW\RIFRQVHTXHQFHV
F VDIHW\VDIHW\UHODWHGIDLOXUHVLQWHUPVRI
£ $OOV\VWHPIDLOXUHPRGHVWKDWFRXOGOHDGWRDKD]DUGVDIHW\UHODWHGIDLOXUHPRGHV7KLVLVD
VXEVHWRIDOOUHOLDELOLW\IDLOXUHPRGHVD
£ 7KHSUREDELOLW\RIRFFXUUHQFHRIHDFKVDIHW\UHODWHGV\VWHPIDLOXUHPRGH
£ 6HTXHQFHDQGRUFRLQFLGHQFHRIHYHQWVIDLOXUHVRSHUDWLRQDOVWDWHVHQYLURQPHQWFRQGLWLRQV
HWFLQWKHDSSOLFDWLRQWKDWPD\UHVXOWLQDQDFFLGHQWLHDKD]DUGUHVXOWLQJLQDQDFFLGHQW
£ 7KHSUREDELOLW\RIRFFXUUHQFHRIHDFKRIWKHHYHQWVIDLOXUHVRSHUDWLRQDOVWDWHVHQYLURQPHQW
FRQGLWLRQVHWFLQWKHDSSOLFDWLRQ
G PDLQWDLQDELOLW\RIVDIHW\UHODWHGSDUWVRIWKHV\VWHPLQWHUPVRI
£ WKH HDVH RI SHUIRUPLQJ PDLQWHQDQFH RQ WKRVH DVSHFWV RU SDUWV RI WKH V\VWHP RU LWV
FRPSRQHQWVWKDWDUHDVVRFLDWHGZLWKDKD]DUGRUZLWKDVDIHW\UHODWHGIDLOXUHPRGH
£ SUREDELOLW\ RI HUURUV RFFXUULQJ GXULQJ PDLQWHQDQFH DFWLRQV RQ WKRVH VDIHW\ UHODWHG SDUWV RI
WKHV\VWHP
£ WLPHIRUUHVWRULQJWKHV\VWHPLQWRDVDIHVWDWH
H V\VWHPRSHUDWLRQDQGPDLQWHQDQFHRIVDIHW\UHODWHGSDUWVRIWKHV\VWHPLQWHUPVRI
£ KXPDQ IDFWRUV LQIOXHQFH RQ WKH HIIHFWLYH PDLQWHQDQFH RI DOO VDIHW\ UHODWHG SDUWV RI WKH
V\VWHPDQGVDIHRSHUDWLRQRIWKHV\VWHP
£ 7RROV IDFLOLWLHV DQG SURFHGXUHV IRU HIIHFWLYH PDLQWHQDQFH RI WKH VDIHW\ UHODWHG SDUWV RI WKH
V\VWHPDQGIRUVDIHRSHUDWLRQ
£ HIIHFWLYHFRQWUROVDQGPHDVXUHVIRUGHDOLQJZLWKDKD]DUGDQGPLWLJDWLQJLWVFRQVHTXHQFHV
)DLOXUHV LQ D V\VWHP RSHUDWLQJ ZLWKLQ WKH ERXQGV RI DQ DSSOLFDWLRQ DQG HQYLURQPHQW ZLOO KDYH
VRPH HIIHFW RQ WKH EHKDYLRXU RI WKH V\VWHP $OO IDLOXUHV DGYHUVHO\ HIIHFW WKH V\VWHP UHOLDELOLW\
ZKHUHDV RQO\ VRPH VSHFLILF IDLOXUHV ZLOO KDYH DQ DGYHUVH HIIHFW RQ VDIHW\ ZLWKLQ WKH SDUWLFXODU
DSSOLFDWLRQ(QYLURQPHQWPD\DOVRLQIOXHQFHWKHIXQFWLRQDOLW\RIWKHV\VWHPDQGLQWXUQWKHVDIHW\
RIWKHUDLOZD\DSSOLFDWLRQ7KHVHOLQNVDUHVKRZQLQ)LJXUH
5$,/:$<$33/,&$7,21(19,5210(17
(IIHFWV$GYHUVHO\
'LVWXUEDQFH7KUHDWV $IIHFWLQJ5HOLDELOLW\
(IIHFWV
5$,/:$<6<67(0 $GYHUVHO\
$IIHFWLQJ
)DLOHG6WDWHV 6DIHW\
)XQFWLRQDO )DLOXUH0RGHV 6DIHW\5HODWHG
6WDWHV )DLOXUH0RGHV
)LJXUH²(IIHFWVRI)DLOXUHV:LWKLQD6\VWHP
© BSI 2007
3DJH
EN 50126-1:1999
$ GHSHQGDEOH UDLOZD\ V\VWHP FDQ RQO\ EH UHDOL]HG WKURXJK FRQVLGHUDWLRQ RI WKH LQWHUDFWLRQV RI
5$06 HOHPHQWV ZLWKLQ D V\VWHP DQG WKH VSHFLILFDWLRQ DQG DFKLHYHPHQW RI WKH RSWLPXP 5$06
FRPELQDWLRQIRUWKHV\VWHP
)DFWRUVLQIOXHQFLQJUDLOZD\5$06
*HQHUDO
7KLV VXEFODXVH LQWURGXFHV DQG GHILQHV D SURFHVV WR VXSSRUW WKH LGHQWLILFDWLRQ RI IDFWRUV ZKLFK
LQIOXHQFH WKH 5$06 RI UDLOZD\ V\VWHPV ZLWK SDUWLFXODU FRQVLGHUDWLRQ JLYHQ WR WKH LQIOXHQFH RI
KXPDQ IDFWRUV 7KHVH IDFWRUV DQG WKHLU HIIHFWV DUH DQ LQSXW WR WKH VSHFLILFDWLRQ RI 5$06
UHTXLUHPHQWVIRUV\VWHPV
7KH 5$06 RI D UDLOZD\ V\VWHP LV LQIOXHQFHG LQ WKUHH ZD\V E\ VRXUFHV RI IDLOXUH LQWURGXFHG
LQWHUQDOO\ZLWKLQWKHV\VWHPDWDQ\SKDVHRIWKHV\VWHPOLIHF\FOHV\VWHPFRQGLWLRQVE\VRXUFHV
RI IDLOXUH LPSRVHG RQ WKH V\VWHP GXULQJ RSHUDWLRQ RSHUDWLQJ FRQGLWLRQV DQG E\ VRXUFHV RI
IDLOXUH LPSRVHG RQ WKH V\VWHP GXULQJ PDLQWHQDQFH DFWLYLWLHV PDLQWHQDQFH FRQGLWLRQV 7KHVH
VRXUFHVRIIDLOXUHFDQLQWHUDFW7KLVUHODWLRQVKLSLVVKRZQLQ)LJXUHDQGGHWDLOHGLQ)LJXUH
5$06
)LJXUH²,QIOXHQFHVRQ5$06
7RUHDOL]HGHSHQGDEOHV\VWHPVIDFWRUVZKLFKFRXOGLQIOXHQFHWKH5$06RIWKHV\VWHPQHHGWR
EH LGHQWLILHG WKHLU HIIHFW DVVHVVHG DQG WKH FDXVH RI WKHVH HIIHFWV PDQDJHG WKURXJKRXW WKH
OLIHF\FOH RI WKH V\VWHP E\ WKH DSSOLFDWLRQ RI DSSURSULDWH FRQWUROV WR RSWLPL]H V\VWHP
SHUIRUPDQFH
&DWHJRULHVRIIDFWRUV
7KLV VXEFODXVH GHWDLOV D SURFHVV IRU WKH GHILQLWLRQ RI WKRVH IDFWRUV ZKLFK ZLOO DIIHFW WKH
VXFFHVVIXODFKLHYHPHQWRIDV\VWHPZKLFKFRPSOLHVZLWKVSHFLILHG5$06UHTXLUHPHQWV
$W D KLJK OHYHO WKH IDFWRUV ZKLFK LQIOXHQFH V\VWHP 5$06 DUH JHQHULF DSSO\LQJ DFURVV DOO
LQGXVWULDODSSOLFDWLRQV)LJXUHLQFOXGHVVRPHJHQHULFIDFWRUVZKLFKLQIOXHQFHWUDQVSRUWV\VWHP
5$067KLVILJXUHDOVRVKRZVWKHLQWHUDFWLRQEHWZHHQWKHVHIDFWRUV7RLGHQWLI\GHWDLOHGIDFWRUV
ZKLFK LQIOXHQFH WKH 5$06 RI UDLOZD\ V\VWHPV HDFK JHQHULF LQIOXHQFLQJ IDFWRU VKDOO EH
FRQVLGHUHGLQWKHFRQWH[WRIWKHVSHFLILFV\VWHP
$QDQDO\VLVRIKXPDQIDFWRUVZLWKUHVSHFWWRWKHLUHIIHFWRQV\VWHP5$06LVLQKHUHQWZLWKLQWKH
³V\VWHPVDSSURDFK´UHTXLUHGE\WKLVVWDQGDUG
+XPDQ IDFWRUV FDQ EH GHILQHG DV WKH LPSDFW RI KXPDQ FKDUDFWHULVWLFV H[SHFWDWLRQV DQG
EHKDYLRXUXSRQDV\VWHP7KHVHIDFWRUVLQFOXGHWKHDQDWRPLFDOSK\VLRORJLFDODQGSV\FKRORJLFDO
DVSHFWVRIKXPDQV7KHFRQFHSWVZLWKLQKXPDQIDFWRUVDUHXVHGWRHQDEOHSHRSOHWRFDUU\RXW
ZRUN HIILFLHQWO\ DQG HIIHFWLYHO\ ZLWK GXH UHJDUG IRU KXPDQ QHHGV RQ LVVXHV VXFK DV KHDOWK
VDIHW\DQGMREVDWLVIDFWLRQ
© BSI 2007
3DJH
EN 50126-1:1999
5DLOZD\ DSSOLFDWLRQV W\SLFDOO\ LQYROYH D ZLGH UDQJH RI KXPDQ JURXSV IURP SDVVHQJHUV
RSHUDWLRQDOVWDIIDQGVWDIIUHVSRQVLEOHIRULPSOHPHQWLQJV\VWHPVWRRWKHUVDIIHFWHGE\WKHUDLOZD\
RSHUDWLRQ VXFK DV FDU GULYHUV DW OHYHO FURVVLQJV (DFK LV FDSDEOH RI UHDFWLQJ WR VLWXDWLRQV LQ
GLIIHUHQW ZD\V &OHDUO\ WKH SRWHQWLDO LPSDFW RI KXPDQV RQ WKH 5$06 RI D UDLOZD\ V\VWHP LV
JUHDW&RQVHTXHQWO\WKHDFKLHYHPHQWRIUDLOZD\5$06UHTXLUHVPRUHULJRURXVFRQWURORIKXPDQ
IDFWRUV WKURXJKRXW WKH HQWLUH V\VWHP OLIHF\FOH WKDQ LV UHTXLUHG LQ PDQ\ RWKHU LQGXVWULDO
DSSOLFDWLRQV
+XPDQVVKDOOEHFRQVLGHUHGDVSRVVHVVLQJWKHDELOLW\WRSRVLWLYHO\FRQWULEXWHWRWKH5$06RID
UDLOZD\V\VWHP 7R DFKLHYH WKLV DLP WKH PDQQHU LQ ZKLFK KXPDQ IDFWRUV FDQLQIOXHQFH UDLOZD\
5$06 VKRXOG EH LGHQWLILHG DQG PDQDJHG WKURXJKRXW WKH HQWLUH OLIHF\FOH 7KLV DQDO\VLV VKRXOG
LQFOXGH WKH SRWHQWLDO LPSDFW RI KXPDQ IDFWRUV RQ UDLOZD\ 5$06 ZLWKLQ WKH GHVLJQ DQG
GHYHORSPHQWSKDVHVRIWKHV\VWHP
:KLOVWWKHQHHGWRDGGUHVVKXPDQIDFWRUVZLWKLQWKHOLIHF\FOHLVJHQHULFWKHSUHFLVHLQIOXHQFHRI
KXPDQIDFWRUVRQ5$06LVVSHFLILFWRWKHDSSOLFDWLRQXQGHUFRQVLGHUDWLRQ
*HQHULFIDFWRUVLQFOXGLQJWKRVHFRQWDLQHGLQ)LJXUHVKRXOGEHUHYLHZHGLQWKHFRQWH[WRIWKH
UDLOZD\ V\VWHP XQGHU FRQVLGHUDWLRQ 7KH 5DLOZD\ $XWKRULW\ VKDOO VSHFLI\ DQ\ QRQDSSOLFDEOH
IDFWRUV LQ WKHLU FDOO IRU WHQGHUV (DFK DSSOLFDEOH JHQHULF IDFWRU VKDOO EH DVVHVVHG DQG GHWDLOHG
LQIOXHQFLQJ IDFWRUV VSHFLILF WR WKH DSSOLFDWLRQ V\VWHPDWLFDOO\ GHULYHG +XPDQ IDFWRUV LVVXHV D
FRUH DVSHFW ZLWKLQ DQ LQWHJUDWHG 5$06 PDQDJHPHQW SURFHVV VKDOO EH DGGUHVVHG ZLWKLQ WKLV
DVVHVVPHQW
7KH SURFHVV RI GHULYLQJ GHWDLOHG LQIOXHQFLQJ IDFWRUV VKDOO EH VXSSRUWHG E\ WKH XVH RI WKH WZR
FKHFNOLVWV FRYHULQJ UDLOZD\ VSHFLILF IDFWRUV DQG KXPDQ IDFWRUV RU DV DQ
DOWHUQDWLYHSUHVHQWDWLRQ)LJXUH
© BSI 2007
5$,/:$<5$06
© BSI 2007
6$)(7< $9$,/$%,/,7<
(UURUVLQ
UHTXLUHPHQWV 2SHUDWLQJPRGHV
'HVLJQ UHDOLVDW
Q (QYLURQPHQW 'LDJQRVWLFV
LQDGHTXDFLHV 'LDJQRVWLFV
6WUHVVGHJUDGDWLRQ 0DQXDO ,QWHUQDO
0DQXIDFWXULQJ :HDURXW $XWRPDWLF ([WHUQDO
GHILFLHQFLHV
2YHUVWUHVV
,QKHUHQWZHDNQHVVHV
(WF
6RIWZDUHHUURUV
2SHUDW
QJLQVWUXFW
Q
GHILFLHQFLHV
,QVW
QLQDGHTXDFLHV
+XPDQHUURUV
(WF
)LJXUH²)DFWRUV,QIOXHQFLQJ5DLOZD\5$06
3DJH
EN 50126-1:1999
3DJH
EN 50126-1:1999
7KHGHULYDWLRQRIGHWDLOHGUDLOZD\VSHFLILFLQIOXHQFLQJIDFWRUVVKRXOGLQFOXGHEXWQRWEHOLPLWHG
WRDFRQVLGHUDWLRQRIHDFKRIWKHIROORZLQJUDLOZD\VSHFLILFIDFWRUV,WVKRXOGEHQRWHGWKDWWKH
IROORZLQJFKHFNOLVWLVQRQH[KDXVWLYHDQGVKRXOGEHDGDSWHGWRWKHVFRSHDQGSXUSRVHRIWKH
DSSOLFDWLRQ
D V\VWHPRSHUDWLRQ
£ WKHWDVNVZKLFKWKHV\VWHPKDVWRSHUIRUPDQGWKHFRQGLWLRQVLQZKLFKWKHWDVNVKDYHWR
EHSHUIRUPHG
£ WKH FRH[LVWHQFH RI SDVVHQJHUV IUHLJKW VWDII DQG V\VWHPV ZLWKLQ WKH RSHUDWLQJ
HQYLURQPHQW
£ V\VWHPOLIHUHTXLUHPHQWVLQFOXGLQJV\VWHPOLIHH[SHFWDQF\VHUYLFHLQWHQVLW\DQGOLIHF\FOH
FRVWUHTXLUHPHQWV
E HQYLURQPHQW
£ WKHSK\VLFDOHQYLURQPHQW
£ WKHKLJKOHYHORILQWHJUDWLRQRIUDLOZD\V\VWHPVZLWKLQWKHHQYLURQPHQW
£ WKHOLPLWHGRSSRUWXQLW\IRUWHVWLQJFRPSOHWHV\VWHPVLQWKHUDLOZD\HQYLURQPHQW
F DSSOLFDWLRQFRQGLWLRQV
£ WKHFRQVWUDLQWVLPSRVHGE\H[LVWLQJLQIUDVWUXFWXUHDQGV\VWHPVRQWKHQHZV\VWHP
£ WKHQHHGWRPDLQWDLQUDLOVHUYLFHVGXULQJOLIHF\FOHWDVNV
G RSHUDWLQJFRQGLWLRQV
£ WUDFNVLGHEDVHGLQVWDOODWLRQFRQGLWLRQV
£ WUDFNVLGHEDVHGPDLQWHQDQFHFRQGLWLRQV
£ WKH LQWHJUDWLRQ RI H[LVWLQJ V\VWHPV DQG QHZ V\VWHPV GXULQJ FRPPLVVLRQLQJ DQG
RSHUDWLRQ
H IDLOXUHFDWHJRULHV
£ WKHHIIHFWVRIIDLOXUHZLWKLQDGLVWULEXWHGUDLOZD\V\VWHP
7KH GHULYDWLRQ RI GHWDLOHG KXPDQ LQIOXHQFLQJ IDFWRUV VKRXOG LQFOXGH EXW QRW EH OLPLWHG WR D
FRQVLGHUDWLRQ RI HDFK RI WKH IROORZLQJ KXPDQ IDFWRUV ,W VKRXOG EH QRWHG WKDW WKH IROORZLQJ
FKHFNOLVW LV QRQH[KDXVWLYH DQG VKRXOG EH DGDSWHG WR WKH VFRSH DQG SXUSRVH RI WKH
DSSOLFDWLRQ
D WKHDOORFDWLRQRIV\VWHPIXQFWLRQVEHWZHHQKXPDQDQGPDFKLQH
E WKHHIIHFWRQKXPDQSHUIRUPDQFHZLWKLQWKHV\VWHPRI
£ WKHKXPDQV\VWHPLQWHUIDFH
£ WKHHQYLURQPHQWLQFOXGLQJWKHSK\VLFDOHQYLURQPHQWDQGHUJRQRPLFUHTXLUHPHQWV
£ KXPDQZRUNLQJSDWWHUQV
£ KXPDQFRPSHWHQFH
£ WKHGHVLJQRIKXPDQWDVNV
£ KXPDQLQWHUZRUNLQJ
£ KXPDQIHHGEDFNSURFHVV
£ UDLOZD\RUJDQL]DWLRQDOVWUXFWXUH
£ UDLOZD\FXOWXUH
£ SURIHVVLRQDOUDLOZD\YRFDEXODU\
£ SUREOHPVDULVLQJIURPWKHLQWURGXFWLRQRIQHZWHFKQRORJ\
F UHTXLUHPHQWVRQWKHV\VWHPDULVLQJIURP
£ KXPDQFRPSHWHQFH
£ KXPDQPRWLYDWLRQDQGDVSLUDWLRQVXSSRUW
£ PLWLJDWLQJWKHHIIHFWVRIKXPDQEHKDYLRXUDOFKDQJHV
£ RSHUDWLRQDOVDIHJXDUGV
£ KXPDQUHDFWLRQWLPHDQGVSDFH
© BSI 2007
3DJH
EN 50126-1:1999
G WKHUHTXLUHPHQWVRQWKHV\VWHPDULVLQJIURPKXPDQLQIRUPDWLRQSURFHVVLQJFDSDELOLWLHV
LQFOXGLQJ
£ KXPDQPDFKLQHFRPPXQLFDWLRQV
£ GHQVLW\RILQIRUPDWLRQWUDQVIHU
£ UDWHRILQIRUPDWLRQWUDQVIHU
£ WKHTXDOLW\RILQIRUPDWLRQ
£ KXPDQUHDFWLRQWRDEQRUPDOVLWXDWLRQV
£ KXPDQWUDLQLQJ
£ VXSSRUWLQJKXPDQGHFLVLRQPDNLQJSURFHVVHV
£ RWKHUIDFWRUVFRQWULEXWLQJWRKXPDQVWUDLQ
H WKHHIIHFWRQWKHV\VWHPRIKXPDQV\VWHPLQWHUIDFHIDFWRUVLQFOXGLQJ
£ WKHGHVLJQDQGRSHUDWLRQRIWKHKXPDQV\VWHPLQWHUIDFH
£ WKHHIIHFWRIKXPDQHUURU
£ WKHHIIHFWRIGHOLEHUDWHKXPDQUXOHYLRODWLRQ
£ KXPDQLQYROYHPHQWDQGLQWHUYHQWLRQLQWKHV\VWHP
£ KXPDQV\VWHPPRQLWRULQJDQGRYHUULGH
£ KXPDQSHUFHSWLRQRIULVN
£ KXPDQLQYROYHPHQWLQFULWLFDODUHDVRIWKHV\VWHP
£ KXPDQDELOLW\WRDQWLFLSDWHV\VWHPSUREOHPV
I KXPDQIDFWRUVLQV\VWHPGHVLJQDQGGHYHORSPHQWLQFOXGLQJ
£ KXPDQFRPSHWHQF\
£ KXPDQLQGHSHQGHQFHGXULQJGHVLJQ
£ KXPDQLQYROYHPHQWLQYHULILFDWLRQDQGYDOLGDWLRQ
£ LQWHUIDFHEHWZHHQKXPDQDQGDXWRPDWHGWRROV
£ V\VWHPDWLFIDLOXUHSUHYHQWLRQSURFHVVHV
$GLDJUDPPDWLFDSSURDFKWRWKHGHULYDWLRQRIGHWDLOHGIDFWRUVVXFKDVWKHXVHRIFDXVHHIIHFW
GLDJUDPVLVUHFRPPHQGHG$QH[DPSOHRIDPXFKVLPSOLILHGFDXVHHIIHFWGLDJUDPLVVKRZQ
LQ)LJXUH
2UJDQL]DWLRQ
(QYLURQPHQW 0DQDJHPHQW 'RFXPHQWDWLRQ
5DLOZD\
5$06
)LJXUH²([DPSOHRID&DXVH(IIHFW'LDJUDP
0DQDJHPHQWRIIDFWRUV
7KH SRWHQWLDO HIIHFW RI HDFK LQIOXHQFLQJ IDFWRU RQ WKH 5$06 RI WKH UDLOZD\ V\VWHP XQGHU
FRQVLGHUDWLRQ VKDOO EH HYDOXDWHG DW D OHYHO DSSURSULDWH WR WKH UDLOZD\ V\VWHP XQGHU
FRQVLGHUDWLRQ7KLVHYDOXDWLRQVKDOOLQFOXGHDFRQVLGHUDWLRQRIWKHHIIHFWRIHDFKIDFWRUDWHDFK
SKDVH RI WKH OLIHF\FOH DQG VKDOO EH DW D OHYHO ZKLFK LV DSSURSULDWH WR WKH V\VWHP XQGHU
FRQVLGHUDWLRQ7KHHYDOXDWLRQVKDOODGGUHVVWKHLQWHUDFWLRQRIDVVRFLDWHGLQIOXHQFLQJIDFWRUV)RU
KXPDQIDFWRUVWKHHYDOXDWLRQVKDOODOVRFRQVLGHUWKHHIIHFWRIHDFKIDFWRULQUHODWLRQWRHDFK
© BSI 2007
3DJH
EN 50126-1:1999
7KHPHDQVWRDFKLHYHUDLOZD\5$06UHTXLUHPHQWV
*HQHUDO
7KH PHDQV WR DFKLHYH UDLOZD\ 5$06 UHTXLUHPHQWV UHODWHV WR FRQWUROOLQJ WKH IDFWRUV ZKLFK
LQIOXHQFH5$06WKURXJKRXWWKHOLIHRIWKHV\VWHP(IIHFWLYHFRQWUROUHTXLUHVWKHHVWDEOLVKPHQWRI
PHFKDQLVPV DQG SURFHGXUHV WR GHIHQG DJDLQVW VRXUFHV RI HUURU EHLQJ LQWURGXFHG GXULQJ WKH
UHDOL]DWLRQDQGVXSSRUWRIWKHV\VWHP6XFKGHIHQFHVQHHGWRWDNHDFFRXQWRIERWKUDQGRPDQG
V\VWHPDWLFIDLOXUHV
7KHPHDQVXVHGWRDFKLHYH5$06UHTXLUHPHQWVDUHEDVHGRQWKHFRQFHSWRIWDNLQJSUHFDXWLRQV
WRPLQLPL]HWKHSRVVLELOLW\RIDQLPSDLUPHQWRFFXUULQJDVDUHVXOWRIDQHUURUGXULQJWKHOLIHF\FOH
SKDVHV3UHFDXWLRQLVDFRPELQDWLRQRI
D SUHYHQWLRQFRQFHUQHGZLWKORZHULQJWKHSUREDELOLW\RIWKHLPSDLUPHQW
E SURWHFWLRQFRQFHUQHGZLWKORZHULQJWKHVHYHULW\RIWKHFRQVHTXHQFHVRIWKHLPSDLUPHQW
7KH VWUDWHJ\ WR DFKLHYH 5$06 UHTXLUHPHQWV IRU WKH V\VWHP LQFOXGLQJ WKH XVH RI SUHYHQWLRQ
DQGRUSURWHFWLRQPHDQVVKDOOEHMXVWLILHG
5$06VSHFLILFDWLRQ
7KH VSHFLILFDWLRQ RI 5$06 UHTXLUHPHQWV LV D FRPSOH[ SURFHVV $QQH[ $ RI WKLV VWDQGDUG
SURYLGHV DQ H[DPSOH RXWOLQH RI D 5$06 UHTXLUHPHQWV VSHFLILFDWLRQ EDVHG RQ WKH SURFHVV
GHWDLOHGLQWKLVGRFXPHQW$QQH[%RIWKLVVWDQGDUGSURYLGHVDQH[DPSOHRXWOLQHSURFHGXUHIRU
WKH GHILQLWLRQ RI D 5$06 SURJUDPPH EDVHG RQ WKH UHTXLUHPHQWV RI WKLV VWDQGDUG %RWK
LQIRUPDWLYH DQQH[HV DUH IRU JXLGDQFH RQO\ DQG KDYH EHHQ SRSXODWHG XVLQJ UROOLQJ VWRFN DV DQ
H[DPSOH
$OLVWRIVXLWDEOHWRROVIRU5$06DQDO\VLVLVDOVRLQFOXGHGLQDQQH[%6HOHFWLRQRIDQDSSURSULDWH
WRROZLOOGHSHQGRQWKHV\VWHPXQGHUFRQVLGHUDWLRQDQGRQIDFWRUVVXFKDVWKHFULWLFDOLW\QRYHOW\
FRPSOH[LW\HWFRIWKHV\VWHP
7DEOHGHILQHV5$0IDLOXUHFDWHJRULHVVXLWDEOHIRUXVHLQUDLOZD\DSSOLFDWLRQV
7DEOH²5$0)DLOXUH&DWHJRULHV
)DLOXUH&DWHJRU\ 'HILQLWLRQ
6LJQLILFDQW $IDLOXUHWKDW
,PPRELOL]LQJ SUHYHQWVWUDLQPRYHPHQWRUFDXVHVDGHOD\WRVHUYLFHJUHDWHUWKDQD
)DLOXUH VSHFLILHGWLPHDQGRUJHQHUDWHVDFRVWJUHDWHUWKDQDVSHFLILHGOHYHO
0DMRU $IDLOXUHWKDW
6HUYLFH)DLOXUH PXVWEHUHFWLILHGIRUWKHV\VWHPWRDFKLHYHLWVVSHFLILHGSHUIRUPDQFH
DQG
GRHVQRWFDXVHDGHOD\RUFRVWJUHDWHUWKDQWKHPLQLPXPWKUHVKROG
VSHFLILHGIRUDVLJQLILFDQWIDLOXUH
0LQRU $IDLOXUHWKDW
GRHVQRWSUHYHQWDV\VWHPDFKLHYLQJLWVVSHFLILHGSHUIRUPDQFHDQG
GRHVQRWPHHWFULWHULDIRU6LJQLILFDQWRU0DMRUIDLOXUHV
© BSI 2007
3DJH
EN 50126-1:1999
6XLWDEOHSDUDPHWHUVWRFKDUDFWHUL]HUHOLDELOLW\DYDLODELOLW\PDLQWDLQDELOLW\ORJLVWLFVXSSRUWDQG
VDIHW\ UHTXLUHPHQWV RI UDLOZD\ V\VWHPV DUH VKRZQ LQ DQQH[ & LQIRUPDWLYH 6SHFLILF
SDUDPHWHUV ZLOO GHSHQG RQ WKH V\VWHP XQGHU FRQVLGHUDWLRQ $OO 5$06 SDUDPHWHUV XVHG
VKRXOG EH DJUHHG EHWZHHQ WKH 5DLOZD\ $XWKRULW\ DQG WKH 5DLOZD\ 6XSSRUW ,QGXVWU\ :KHUH
SDUDPHWHUV PD\ EH H[SUHVVHG LQ DOWHUQDWLYH GLPHQVLRQV FRQYHUVLRQ IDFWRUV VKRXOG EH
SURYLGHG
5LVN
5LVNFRQFHSW
7KHFRQFHSWRIULVNLVWKHFRPELQDWLRQRIWZRHOHPHQWV
£ WKHSUREDELOLW\RIRFFXUUHQFHRIDQHYHQWRUFRPELQDWLRQRIHYHQWVOHDGLQJWRDKD]DUGRUWKH
IUHTXHQF\RIVXFKRFFXUUHQFHV
£ WKHFRQVHTXHQFHRIWKHKD]DUG
5LVNDQDO\VLV
5LVN DQDO\VLV VKDOO EH SHUIRUPHG DW YDULRXV SKDVHV RI WKH V\VWHP OLIH F\FOH E\ WKH DXWKRULW\
UHVSRQVLEOH IRU WKDW SKDVH DQG VKDOO EH GRFXPHQWHG 7KH GRFXPHQWDWLRQ VKDOO FRQWDLQ DV D
PLQLPXP
D DQDO\VLVPHWKRGRORJ\
E DVVXPSWLRQVOLPLWDWLRQVDQGMXVWLILFDWLRQRIWKHPHWKRGRORJ\
F KD]DUGLGHQWLILFDWLRQUHVXOWV
G ULVNHVWLPDWLRQUHVXOWVDQGWKHLUFRQILGHQFHOHYHOV
H UHVXOWVRIWUDGHRIIVWXGLHV
I GDWDWKHLUVRXUFHVDQGFRQILGHQFHOHYHOV
J UHIHUHQFHV
7DEOHSURYLGHVLQTXDOLWDWLYHWHUPVW\SLFDOFDWHJRULHVRISUREDELOLW\RUIUHTXHQF\RIRFFXUUHQFH
RIDKD]DUGRXVHYHQWDQGDGHVFULSWLRQRIHDFKFDWHJRU\IRUDUDLOZD\V\VWHP7KHFDWHJRULHV
WKHLU QXPEHUV DQG WKHLU QXPHULFDO VFDOLQJ WR EH DSSOLHG VKDOO EH GHILQHG E\ WKH 5DLOZD\
$XWKRULW\DSSURSULDWHWRWKHDSSOLFDWLRQXQGHUFRQVLGHUDWLRQ
7DEOH²)UHTXHQF\RIRFFXUUHQFHRIKD]DUGRXVHYHQWV
DWHJRU\
& 'HVFULSWLRQ
)UHTXHQW /
LNHO\WRRFFXUIUHTXHQWO\7KHKD]DUGZLOOEHFRQWLQXDOO\
H[SHULHQFHG
3UREDEOH :
LOO RFFXU VHYHUDO WLPHV 7KH KD]DUG FDQ EH H[SHFWHG WR RFFXU
RIWHQ
2FFDVLRQDO /LNHO\ WR RFFXU VHYHUDO WLPHV 7KH KD]DUG FDQ EH H[SHFWHG WR
RFFXUVHYHUDOWLPHV
5HPRWH /
LNHO\WRRFFXUVRPHWLPHLQWKHV\VWHPOLIHF\FOH7KHKD]DUGFDQ
UHDVRQDEO\H[SHFWHGWRRFFXU
,PSUREDEOH 8QOLNHO\WRRFFXUEXWSRVVLEOH,WFDQEHDVVXPHGWKDWWKHKD]DUG
PD\H[FHSWLRQDOO\RFFXU
,QFUHGLEOH ([WUHPHO\ XQOLNHO\ WR RFFXU ,W FDQ EH DVVXPHG WKDW WKH KD]DUG
PD\QRWRFFXU
&RQVHTXHQFHDQDO\VLVVKDOOEHXVHGWRHVWLPDWHWKHOLNHO\LPSDFW7DEOHGHVFULEHVW\SLFDO
KD]DUGVHYHULW\OHYHOVDQGWKHFRQVHTXHQFHVDVVRFLDWHGZLWKHDFKVHYHULW\OHYHOIRUDOOUDLOZD\V\VWHPV
7KH QXPEHU RI VHYHULW\ OHYHOV DQG WKH FRQVHTXHQFHV IRU HDFK VHYHULW\ OHYHO WR EH DSSOLHG VKDOO EH
GHILQHGE\WKH5DLOZD\$XWKRULW\DSSURSULDWHIRUWKHDSSOLFDWLRQXQGHUFRQVLGHUDWLRQ
© BSI 2007
3DJH
EN 50126-1:1999
7DEOH²+D]DUG6HYHULW\/HYHO
6HYHULW\ &RQVHTXHQFHWR3HUVRQVRU &RQVHTXHQFHWR
/HYHO (QYLURQPHQW 6HUYLFH
&DWDVWURSKLF )DWDOLWLHVDQGRUPXOWLSOHVHYHUHLQMXULHV
DQGRUPDMRUGDPDJHWRWKHHQYLURQPHQW
&ULWLFDO 6LQJOHIDWDOLW\DQGRUVHYHUHLQMXU\DQGRU RVVRIDPDMRU
/
VLJQLILFDQWGDPDJHWRWKHHQYLURQPHQW V\VWHP
0DUJLQDO 0LQRULQMXU\DQGRUVLJQLILFDQWWKUHDWWRWKH 6HYHUHV\VWHPV
HQYLURQPHQW GDPDJH
,QVLJQLILFDQW 3RVVLEOHPLQRULQMXU\ 0LQRUV\VWHP
GDPDJH
5LVNHYDOXDWLRQDQGDFFHSWDQFH
7KLVVXEFODXVHGHDOVZLWKWKHIRUPDWLRQRIDIUHTXHQF\FRQVHTXHQFHPDWUL[IRUHYDOXDWLRQRI
WKH UHVXOWV RI ULVN DQDO\VLV ULVN FDWHJRUL]DWLRQ DFWLRQV IRU ULVN UHGXFWLRQ RU HOLPLQDWLRQ RI
LQWROHUDEOHULVNVDQGIRUULVNDFFHSWDQFH
5LVN HYDOXDWLRQ VKDOO EH SHUIRUPHG E\ FRPELQLQJ WKH IUHTXHQF\ RI RFFXUUHQFH RI D KD]DUGRXV
HYHQW ZLWK WKH VHYHULW\ RI LWV FRQVHTXHQFH WR HVWDEOLVK WKH OHYHO RI ULVN JHQHUDWHG E\ WKH
KD]DUGRXVHYHQW$IUHTXHQF\FRQVHTXHQFHPDWUL[LVVKRZQLQ7DEOH
7DEOH²)UHTXHQF\&RQVHTXHQFH0DWUL[
)UHTXHQF\RI 5LVN/HYHOV
RFFXUUHQFHRID
KD]DUGRXVHYHQW
UHTXHQW
)
3UREDEOH
2FFDVLRQDO
5HPRWH
,PSUREDEOH
,QFUHGLEOH
,QVLJQLILFDQW 0DUJLQDO &ULWLFDO &DWDVWURSKLF
6
HYHULW\/HYHOVRI+D]DUG&RQVHTXHQFH
5LVNDFFHSWDQFHVKRXOGEHEDVHGRQDJHQHUDOO\DFFHSWHGSULQFLSOH$QXPEHURISULQFLSOHVDUH
DYDLODEOH WKDW PD\ EH XWLOL]HG 6RPH H[DPSOHV DUH DV IROORZV $OVR VHH DQQH[ ' IRU PRUH
LQIRUPDWLRQRQWKHVHSULQFLSOHV
£ $V/RZ$V5HDVRQDEO\3UDFWLFDEOH$/$53SULQFLSOHDVSUDFWLVHGLQ8.
£ *OREDOHPHQW$X0RLQV$XVVL%RQ*$0$%SULQFLSOHDVSUDFWLVHGLQ)UDQFH7KHFRPSOHWH
IRUPXODWLRQ RI WKLV SULQFLSOH LV$OO QHZ JXLGHG WUDQVSRUW V\VWHPV PXVW RIIHU D OHYHO RI ULVN
JOREDOO\DWOHDVWDVJRRGDVWKHRQHRIIHUHGE\DQ\HTXLYDOHQWH[LVWLQJV\VWHP
£ 0LQLPXP(QGRJHQRXV0RUWDOLW\0(0SULQFLSOHDVSUDFWLVHGLQ*HUPDQ\
7DEOH GHILQHV TXDOLWDWLYH FDWHJRULHV RI ULVN DQG WKH DFWLRQV WR EH DSSOLHG DJDLQVW HDFK
FDWHJRU\7KH5DLOZD\$XWKRULW\VKDOOEHUHVSRQVLEOHIRUGHILQLQJSULQFLSOHWREHDGRSWHGDQGWKH
WROHUDELOLW\OHYHORIDULVNDQGWKHOHYHOVWKDWIDOOLQWRWKHGLIIHUHQWULVNFDWHJRULHV
© BSI 2007
3DJH
EN 50126-1:1999
7DEOH²4XDOLWDWLYHULVNFDWHJRULHV
5LVN&DWHJRU\ $FWLRQVWREHDSSOLHGDJDLQVWHDFKFDWHJRU\
,QWROHUDEOH 6KDOOEHHOLPLQDWHG
8QGHVLUDEOH 6KDOORQO\EHDFFHSWHGZKHQULVNUHGXFWLRQLVLPSUDFWLFDEOHDQG
ZLWK WKH DJUHHPHQW RI WKH 5DLOZD\ $XWKRULW\ RU WKH 6DIHW\
5HJXODWRU\$XWKRULW\DVDSSURSULDWH
7ROHUDEOH $FFHSWDEOHZLWKDGHTXDWHFRQWURODQGZLWKWKHDJUHHPHQWRIWKH
5DLOZD\$XWKRULW\
1HJOLJLEOH $FFHSWDEOHZLWKZLWKRXWWKHDJUHHPHQWRIWKH5DLOZD\$XWKRULW\
7DEOHVKRZVDQH[DPSOHRIULVNHYDOXDWLRQDQGULVNUHGXFWLRQFRQWUROVIRUULVNDFFHSWDQFH
7DEOH²7\SLFDO([DPSOHRI5LVN(YDOXDWLRQDQG$FFHSWDQFH
)UHTXHQF\RI 5LVN/HYHOV
RFFXUUHQFHRID
KD]DUGRXVHYHQW
)UHTXHQW 8QGHVLUDEOH ,QWROHUDEOH ,QWROHUDEOH ,QWROHUDEOH
3UREDEOH 7ROHUDEOH 8QGHVLUDEOH ,QWROHUDEOH ,QWROHUDEOH
2FFDVLRQDO 7ROHUDEOH 8QGHVLUDEOH 8QGHVLUDEOH ,QWROHUDEOH
5HPRWH 1HJOLJLEOH 7ROHUDEOH 8QGHVLUDEOH 8QGHVLUDEOH
,PSUREDEOH 1HJOLJLEOH 1HJOLJLEOH 7ROHUDEOH 7ROHUDEOH
,QFUHGLEOH 1HJOLJLEOH 1HJOLJLEOH 1HJOLJLEOH 1HJOLJLEOH
,QVLJQLILFDQW 0DUJLQDO &ULWLFDO &DWDVWURSKLF
6HYHULW\/HYHOVRI+D]DUG&RQVHTXHQFH
6FDOLQJ IRU WKH IUHTXHQF\ RI RFFXUUHQFH RI KD]DUGRXV HYHQWV ZLOO GHSHQG RQ WKH
DSSOLFDWLRQXQGHUFRQVLGHUDWLRQ
5LVN(YDOXDWLRQ 5LVNUHGXFWLRQFRQWURO
,QWROHUDEOH 6KDOOEHHOLPLQDWHG
8QGHVLUDEOH 6KDOORQO\EHDFFHSWHGZKHQULVNUHGXFWLRQLVLPSUDFWLFDEOH
DQGZLWKWKHDJUHHPHQWRIWKH5DLOZD\$XWKRULW\
7ROHUDEOH $FFHSWDEOHZLWKDGHTXDWHFRQWURODQGWKHDJUHHPHQWRIWKH
5DLOZD\$XWKRULW\
1HJOLJLEOH $FFHSWDEOHZLWKRXWDQ\DJUHHPHQW
6DIHW\LQWHJULW\
:KHQ WKH OHYHO RI VDIHW\ IRU WKH DSSOLFDWLRQ KDV EHHQ VHW DQG WKH QHFHVVDU\ ULVN UHGXFWLRQ
HVWLPDWHGEDVHGRQWKHUHVXOWVRIWKHULVNDVVHVVPHQWSURFHVVWKHVDIHW\LQWHJULW\UHTXLUHPHQWV
IRU WKH V\VWHPV DQG FRPSRQHQWV RI WKH DSSOLFDWLRQ FDQ EH GHULYHG 6DIHW\ LQWHJULW\ FDQ EH
YLHZHG DV D FRPELQDWLRQ RI TXDQWLILDEOH HOHPHQWV JHQHUDOO\ DVVRFLDWHG ZLWK KDUGZDUH LH
UDQGRPIDLOXUHVDQGQRQTXDQWLILDEOHHOHPHQWVJHQHUDOO\DVVRFLDWHGZLWKV\VWHPDWLFIDLOXUHVLQ
VRIWZDUH VSHFLILFDWLRQ GRFXPHQWV SURFHVVHV HWF ([WHUQDO ULVN UHGXFWLRQ IDFLOLWLHV DQG WKH
V\VWHPULVNUHGXFWLRQIDFLOLWLHVVKRXOGPDWFKWKHQHFHVVDU\ULVNUHGXFWLRQUHTXLUHGIRUWKHV\VWHP
WRPHHWLWVWDUJHWOHYHORIVDIHW\
© BSI 2007
3DJH
EN 50126-1:1999
&RQILGHQFH LQ WKH DFKLHYHPHQW RI WKH VDIHW\ LQWHJULW\ RI D IXQFWLRQ ZLWKLQ D V\VWHP PD\ EH
REWDLQHG WKURXJK WKH HIIHFWLYH DSSOLFDWLRQ RI D FRPELQDWLRQ RI VSHFLILF DUFKLWHFWXUH PHWKRGV
WRROV DQG WHFKQLTXHV 6DIHW\ LQWHJULW\ FRUUHODWHV WR WKH SUREDELOLW\ RI IDLOXUH WR DFKLHYH UHTXLUHG
VDIHW\IXQFWLRQDOLW\)XQFWLRQVZLWKJUHDWHULQWHJULW\UHTXLUHPHQWVDUHOLNHO\WREHPRUHH[SHQVLYH
WR UHDOL]H 7KLV VWDQGDUG GRHV QRW GHILQH WKH FRUUHODWLRQ EHWZHHQ VDIHW\ LQWHJULW\ DQG IDLOXUH
SUREDELOLWLHVIRUUDLOZD\V\VWHPVDOWKRXJKLWVKRXOGEHQRWHGWKDWDJHQHULFFRUUHODWLRQLVGHILQHG
ZLWKLQ GUDIW VWDQGDUG ,(& 7KH GHILQLWLRQ RI WKLV FRUUHODWLRQ IRU UDLOZD\ DSSOLFDWLRQV LV WKH
UHVSRQVLELOLW\ RI WKH 5DLOZD\ $XWKRULW\ +RZHYHU WKH PDQDJHPHQW SURFHVV GHILQHG ZLWKLQ WKLV
VWDQGDUGLVJHQHULFDQGVXLWDEOHIRUXVHZLWKDQ\FRUUHODWLRQDVDJUHHGE\LQGLYLGXDODXWKRULWLHV
RUMRLQWO\E\(XURSHDQ5DLOZD\$XWKRULWLHV
6DIHW\ IXQFWLRQV ZLWKLQ V\VWHPV VKRXOG EH LPSOHPHQWHG XVLQJ WKH DUFKLWHFWXUH PHWKRGV WRROV
DQG WHFKQLTXHV GHILQHG LQ RWKHU UHOHYDQW GHWDLOHG VWDQGDUGV )RU H[DPSOH (1 GHILQHV
PHWKRGV WRROV DQG WHFKQLTXHV WR GHYHORS VRIWZDUH V\VWHPV DQG (19 GHILQHV D SURFHVV
IRUWKHDFFHSWDQFHDQGDSSURYDORIHOHFWURQLFUDLOZD\VLJQDOOLQJV\VWHPV
6DIHW\LQWHJULW\LVEDVLFDOO\VSHFLILHGIRUVDIHW\IXQFWLRQV6DIHW\IXQFWLRQVVKRXOGEHDVVLJQHGWR
VDIHW\V\VWHPVDQGRUWRH[WHUQDOULVNUHGXFWLRQIDFLOLWLHV7KLVDVVLJQPHQWSURFHVVLVLWHUDWLYHLQ
RUGHUWRRSWLPL]HWKHGHVLJQDQGFRVWRIWKHRYHUDOOV\VWHP
,W LV WKH 6DIHW\ 3ODQ DQG WKH 5$0 3URJUDPPH ZKLFK ZKHQ LPSOHPHQWHG HIIHFWLYHO\ JLYH
FRQILGHQFHLQWKHDELOLW\RIWKHILQDOV\VWHPWRDFKLHYHFRPSOLDQFHZLWK5$06UHTXLUHPHQWV
7KHIROORZLQJSRLQWVFRQFHUQLQJSURGXFWVDIHW\LQWHJULW\VKDOOEHQRWHG
D WKH VDIHW\ IXQFWLRQDOLW\ UHTXLUHG RI D V\VWHP DQG LWV FRUUHVSRQGLQJ VDIHW\ LQWHJULW\ LV
LQIOXHQFHGE\WKHHQYLURQPHQWLQZKLFKWKHV\VWHPLVXVHG
E ZKHQDSURGXFWLVGHYHORSHGXVLQJPHWKRGVWRROVDQGWHFKQLTXHVDSSURSULDWHWRDVSHFLILF
VDIHW\LQWHJULW\FODLPVPD\EHPDGHWKDWWKHSURGXFWLVDVDIHW\LQWHJULW\OHYHO´;´SURGXFW
7KLV FODLP PHDQV WKDW WKH SURGXFW ZLOO H[KLELW VSHFLILF IXQFWLRQDOLW\ ZLWKLQ D VWDWHG
HQYLURQPHQWDWDFHUWDLQLQWHJULW\
F )LJXUHVKRZVWKDWWKHXVHRIFRPPHUFLDORIIWKHVKHOISURGXFWVPD\GLIIHUZLWKLQGLIIHUHQW
DSSOLFDWLRQV )RU H[DPSOH 3URGXFW$ LV EHLQJ XVHG WR LPSOHPHQW GLIIHUHQW IXQFWLRQV ZLWKLQ
6\VWHPV DQG &RQVHTXHQWO\ WKH VDIHW\ LQWHJULW\ UHTXLUHG RI D SURGXFW PD\ GLIIHU
EHWZHHQDSSOLFDWLRQV7KHUHIRUHEHIRUHDSSO\LQJDSURGXFWZLWKLQDQ\V\VWHPWKHOLPLWDWLRQV
DQG FRQVWUDLQWV DSSO\LQJ WR WKH IXQFWLRQDOLW\ DQG WKH VWDWHG HQYLURQPHQW RI WKH SURGXFW
VKRXOGEHDVVHVVHGWRHQVXUHWKDWWKH\DUHFRQVLVWHQWZLWKWKHRYHUDOOUHTXLUHPHQWVRIWKH
V\VWHP
& & $ %
$ % &
&RPPHUFLDO2II7KH6KHOI3URGXFWV
)LJXUH²&HUWLILHG3URGXFWVLQ6DIHW\6\VWHPV
© BSI 2007
3DJH
EN 50126-1:1999
%HIRUHDSSO\LQJWKHFRQFHSWRI6,/WKHIROORZLQJUHTXLUHPHQWVVKRXOGEHFRQVLGHUHG
D 7KH DGHTXDWH OHYHO RI 6,/ DSSOLFDELOLW\ VKRXOG EH HVWDEOLVKHG E\ VDIHW\ H[SHUWV ,W LV
UHFRPPHQGHGWKDWQRPRUHWKDQOHYHOVVKRXOGEHXVHG
E $ 6,/ VKDOO RQO\ EH DOORFDWHG WR DQ HOHPHQW QDPHO\ D VWDQGDORQH HTXLSPHQW ZKLFK
SHUIRUPV RQH RU PRUH VLPSOH IXQFWLRQV DQG ZKLFK FDQ EH UHSODFHG E\ DQRWKHU RQH
SHUIRUPLQJ WKH VDPH IXQFWLRQV *HQHUDOO\ VXFK DQ HOHPHQW LV RIWHQ WKH ORZHVW OHYHO
HTXLSPHQWWKDWFDQEHUHSODFHGGXULQJDILUVWOHYHOFRUUHFWLYHPDLQWHQDQFHRSHUDWLRQ
F ,QVRIDU DV WKH HQYLURQPHQW LQ ZKLFK D SURGXFW ZLOO EH LQVHUWHGLV RI WKH XWPRVW LPSRUWDQFH
WKHH[WHQWLQWHUPVRI6,/WRZKLFKDQRIIWKHVKHOISURGXFWLVFHUWLILHGDQGZKDWFHUWLILFDWLRQ
PHDQVZKHQFRPSDUHGWRLWVVDIHW\UHTXLUHPHQWVVKDOOEHH[DPLQHGWRVWDWHZKHWKHUDOOWKH
FRQGLWLRQVDUHPHWIRUWKHV\VWHPXQGHUVWXG\
G $ 6,/ LV RQO\ DGGUHVVLQJ DQ H[SHFWHG OHYHO RI FRQILGHQFH LQ WKH VDIHW\ IRU D SURGXFW $V
H[SODLQHGLQRIWKLVVWDQGDUGVDIHW\UHTXLUHPHQWVDQGDYDLODELOLW\UHTXLUHPHQWVDUHLQWHU
UHODWHG LQ WKH FRQWH[W RI UDLOZD\ WUDQVSRUW 6,/ FRQFHSW GRHV QRW FRYHU DOO DVSHFWV RI D
V\VWHPDQGWKHUHIRUHFRQVLGHULQJ6,/DORQHPD\QRWEHVXIILFLHQWHJGHJUDGHGRSHUDWLRQ
PRGHVRUIDOOEDFNVWDWHVZLWKGLIIHUHQWVDIHW\UHTXLUHPHQWVHWF
)DLOVDIHFRQFHSW
7KLVVWDQGDUGDGRSWVDEURDGULVNPDQDJHPHQWDSSURDFKWRVDIHW\7KLVDSSURDFKLVFRQVLVWHQW
ZLWKWKHIDLOVDIHFRQFHSWZHOOHVWDEOLVKHGZLWKUDLOZD\HQJLQHHUV
)URP WKH HDUO\ GD\V RI UDLOZD\V WKH LQKHUHQW IDLOVDIH FRQFHSW KDV EHHQ XVHG 7KH FRQFHSW
GHSHQGHQW XSRQ D VHW RI K\SRWKHVHV LV EDVHG RQ WKH XVH RIFRPSRQHQWV ZLWK ZHOO HVWDEOLVKHG
IDLOXUH PRGHV DQG WKDW D VDIH FRQGLWLRQ H[LVWV LQ FDVH RI IDLOXUH RI RQH RI LWV SDUWV $OO WKRVH
FRPSRQHQWV DUH DUUDQJHG VXFK WKDW D V\VWHP VR FRQVWUXFWHG FDQQRW DOORZ D PRUH SHUPLVVLYH
FRQGLWLRQWKDQWKDWH[LVWLQJLQWKHDEVHQFHRIDIDLOXUH
7KH YDOLGLW\ RI WKH FRQFHSW LV LQ JHQHUDO EDVHG RQ H[SHULHQFH EXW LW KDV OLPLWHG DSSOLFDELOLW\ WR
WKH GHYHORSPHQW DQG XVH RI ODUJH FRPSOH[ V\VWHPV HPSOR\LQJ FRPPHUFLDO PLFURSURFHVVRUV
7KHH[SRQHQWLDOJURZWKLQWKHQXPEHURIIDLOXUHFRPELQDWLRQVWREHFRQVLGHUHGZKHQXVLQJVXFK
FRPSRQHQWV PHDQV WKDW D GHWHUPLQLVWLF DSSURDFK LV JHQHUDOO\ QRW SUDFWLFDEOH :LWK VXFK
FRPSOH[V\VWHPVWKHSUREDELOLVWLFDSSURDFKFDQEHXVHGHIIHFWLYHO\
7KH IDLOVDIH DSSURDFK PD\ EH YDOLG IRU SDUWV RI D V\VWHP DQG OLNH RWKHU GHWHUPLQLVWLF
DSSURDFKHVLWLVQRWSUHFOXGHGE\WKLV(XURSHDQ6WDQGDUG)RUDOODSSURDFKHVLWLVQHFHVVDU\WR
DFKLHYHFRPSOLDQFHZLWKWKHVSHFLILHG5$06UHTXLUHPHQWVIRUWKHV\VWHP
0DQDJHPHQWRIUDLOZD\5$06
*HQHUDO
&ODXVH RI WKLV (XURSHDQ 6WDQGDUG GHILQHV D PDQDJHPHQW SURFHVV EDVHG RQ WKH V\VWHP
OLIHF\FOH ZKLFK ZLOO HQDEOH WKH FRQWURO RI 5$06 IDFWRUV VSHFLILF WR UDLOZD\ DSSOLFDWLRQV 7KH
SURFHVVVXSSRUWVWKH
£ GHILQLWLRQRI5$06UHTXLUHPHQWV
£ DVVHVVPHQWDQGFRQWURORIWKUHDWVWR5$06
£ SODQQLQJDQGLPSOHPHQWDWLRQRI5$06WDVNV
£ DFKLHYHPHQWRIFRPSOLDQFHZLWK5$06UHTXLUHPHQWV
£ RQJRLQJPRQLWRULQJGXULQJWKHOLIHF\FOHRIFRPSOLDQFH
© BSI 2007
3DJH
EN 50126-1:1999
$OWKRXJK UDLOZD\ 5$06 LV WKH IRFXV RI WKLV (XURSHDQ 6WDQGDUG LW LV RQH RI PDQ\ DVSHFWV RI D
WRWDOUDLOZD\V\VWHP7KLVFODXVHGHILQHVDV\VWHPDWLFSURFHVVIRU5$06PDQDJHPHQWVXFKWKDW
WKH SURFHVV LV RQH FRPSRQHQW RI DQ LQWHJUDWHG PDQDJHPHQW DSSURDFK ZKLFK DGGUHVVHV DOO
DVSHFWVRIWKHFRPSOHWHUDLOZD\V\VWHP
7KH WROHUDEOH VDIHW\ ULVN RI D UDLOZD\ V\VWHP IRU DQ\ 5DLOZD\ $XWKRULW\ LV GHSHQGHQW XSRQ WKH
VDIHW\FULWHULDVHWE\WKHQDWLRQDO6DIHW\5HJXODWRU\$XWKRULW\RUE\WKH5DLOZD\$XWKRULW\LWVHOILQ
DJUHHPHQW ZLWK WKH 6DIHW\ 5HJXODWRU\ $XWKRULW\ 7KH SULPDU\ UHVSRQVLELOLW\ IRU DVVHVVLQJ
FRQWUROOLQJ DQG PLQLPL]LQJ ULVN UHVWV ZLWK WKH 5DLOZD\ $XWKRULW\ ,Q VRPH FDVHV OHJLVODWLRQ
UHTXLUHVWKHIRUPDOSUHVHQWDWLRQRIHYLGHQFHWRGHPRQVWUDWHWKHDGHTXDF\RIV\VWHPVDIHW\
6\VWHPOLIHF\FOH
7KHV\VWHPOLIHF\FOHLVDVHTXHQFHRISKDVHVHDFKFRQWDLQLQJWDVNVFRYHULQJWKHWRWDOOLIHRID
V\VWHP IURP LQLWLDO FRQFHSW WKURXJK WR GHFRPPLVVLRQLQJ DQG GLVSRVDO 7KH OLIHF\FOH SURYLGHV D
VWUXFWXUH IRU SODQQLQJ PDQDJLQJ FRQWUROOLQJ DQG PRQLWRULQJ DOO DVSHFWV RI D V\VWHP LQFOXGLQJ
5$06DVWKHV\VWHPSURJUHVVHVWKURXJKWKHSKDVHVLQRUGHUWRGHOLYHUWKHULJKWSURGXFWDWWKH
ULJKWSULFHZLWKLQWKHDJUHHGWLPHVFDOHV7KHOLIHF\FOHFRQFHSWLVIXQGDPHQWDOWRWKHVXFFHVVIXO
LPSOHPHQWDWLRQRIWKLVVWDQGDUG
/LIHF\FOHDSSURSULDWHLQWKHFRQWH[WRIUDLOZD\DSSOLFDWLRQLVVKRZQLQ)LJXUH)RUHDFKSKDVH
RI WKH OLIHF\FOH WKH PDLQ WDVNV DUH VXPPDUL]HG LQ )LJXUH 7KLV ILJXUH VKRZV 5$06 WDVNV DV
FRPSRQHQWVRIJHQHUDOSURMHFWWDVNV7KHJHQHUDOWDVNVDUHRXWVLGHWKHVFRSHRIWKLV(XURSHDQ
6WDQGDUG EXW DUH UHSUHVHQWDWLYH RI FRPPRQ LQGXVWU\ SUDFWLFH 5$06 WDVNV FRQWULEXWH WR WKH
JHQHUDO SURMHFW WDVNV IRU HDFK SKDVH DQG UHTXLUHPHQWV IRU WKH 5$06 WDVNV DUH GHWDLOHG LQ
VXEVHTXHQWFODXVHVRIWKLV(XURSHDQ6WDQGDUG
© BSI 2007
3DJH
EN 50126-1:1999
&RQFHSW
6\VWHP'HILQLWLRQDQG
$SSOLFDWLRQ&RQGLWLRQV
5LVN$QDO\VLV 5HDSSO\5LVN$QDO\VLV
6HH1RWH
6\VWHP5HTXLUHPHQWV
$SSRUWLRQPHQWRI
6\VWHP5HTXLUHPHQWV
'HVLJQDQG
,PSOHPHQWDWLRQ
0DQXIDFWXUH
,QVWDOODWLRQ
6\VWHP9DOLGDWLRQ
,QFOXGLQJ6DIHW\$FFHSWDQFH
DQG&RPPLVVLRQLQJ
6\VWHP$FFHSWDQFH
5HDSSO\/LIHF\FOH
'HFRPPLVVLRQLQJ 6HH1RWH
DQG'LVSRVDO
127( 7KHSKDVHDWZKLFKDPRGLILFDWLRQHQWHUVWKHOLIHF\FOHZLOOEHGHSHQGDQWXSRQERWKWKHV\VWHP
EHLQJPRGLILHGDQGWKHVSHFLILFPRGLILFDWLRQXQGHUFRQVLGHUDWLRQ
)LJXUH²6\VWHP/LIHF\FOH
© BSI 2007
3DJH
(VWDEOLVK0DQDJHPHQW
6<67(0'(),1,7,21 (VWDEOLVK6\VWHP0LVVLRQ3URILOH (YDOXDWH3DVW([SHULHQFH'DWDIRU5$0 (YDOXDWH3DVW([SHULHQFH'DWDIRU6DIHW\
$1'$33/,&$7,21 3UHSDUH6\VWHP'HVFULSWLRQ 3HUIRUP3UHOLPLQDU\5$0$QDO\VLV 3HUIRUP3UHOLPLQDU\+D]DUG$QDO\VLV
&21',7,216 ,GHQWLI\2SHUDWLRQ 0DLQWHQDQFH6WUDWHJLHV 6HW5$03ROLF\ (VWDEOLVK6DIHW\3ODQ2YHUDOO
,GHQWLI\2SHUDWLQJ&RQGLWLRQV ,GHQWLI\/RQJ7HUP2S 0WFH&RQGLWLRQV 'HILQH7ROHUDELOLW\RI5LVN&ULWHULD
,GHQWLI\0DLQWHQDQFH&RQGLWLRQV ,GHQWLI\,QIOXHQFHRQ5$0RI([LVWLQJ ,GHQWLI\,QIOXHQFHRQ6DIHW\RI([LVWLQJ
,GHQWLI\,QIOXHQFHRI([LVWLQJ,QIUDVWUXFWXUH&RQVWUDLQWV ,QIUDVWUXFWXUH&RQVWUDLQWV ,QIUDVWUXFWXUH&RQVWUDLQWV
5,6.$1$/<6,6 8QGHUWDNH3URMHFW5HODWHG5LVN$QDO\VLV 3HUIRUP6\VWHP+D]DUG 6DIHW\5LVN$QDO\VLV
VHH1RWH 6HW8S+D]DUG/RJ
3HUIRUP5LVN$VVHVVPHQW
6<67(0 8QGHUWDNH5HTXLUHPHQWV$QDO\VLV 6SHFLI\6\VWHP5$05HTXLUHPHQWV2YHUDOO 6SHFLI\6\VWHP6DIHW\5HTXLUHPHQWV2YHUDOO
5(48,5(0(176 6SHFLI\6\VWHP2YHUDOO5HTXLUHPHQWV 'HILQH5$0$FFHSWDQFH&ULWHULD2YHUDOO 'HILQH6DIHW\$FFHSWDQFH&ULWHULD2YHUDOO
6SHFLI\(QYLURQPHQW 'HILQH6\VWHP)XQFWLRQDO6WUXFWXUH 'HILQH6DIHW\5HODWHG)XQFWLRQDO5HTXLUHPHQWV
'HILQH6\VWHP'HPRQVWUDWLRQ $FFHSWDQFH&ULWHULD (VWDEOLVK5$03URJUDPPH (VWDEOLVK6DIHW\0DQDJHPHQW
2YHUDOO5HTXLUHPHQWV (VWDEOLVK5$00DQDJHPHQW
(VWDEOLVK9DOLGDWLRQ3ODQ
(VWDEOLVK0DQDJHPHQW4XDOLW\ 2UJDQL]DWLRQ
5HTXLUHPHQWV
,PSOHPHQW&KDQJH&RQWURO3URFHGXUH
$33257,210(17 $SSRUWLRQ6\VWHP5HTXLUHPHQWV $SSRUWLRQ6\VWHP5$05HTXLUHPHQWV $SSRUWLRQ6\VWHP6DIHW\7DUJHWV 5HTXLUHPHQWV
2)6<67(0 - 6SHFLI\6XE6\VWHP &RPSRQHQW5HTXLUHPHQWV - 6SHFLI\6XE6\VWHP &RPSRQHQW5$0 - 6SHFLI\6XE6\VWHP &RPSRQHQW6DIHW\
5(48,5(0(176 - 'HILQH6XE6\VWHP &RPSRQHQW$FFHSWDQFH 5HTXLUHPHQWV 5HTXLUHPHQWV
&ULWHULD - 'HILQH6XE6\VWHP &RPSRQHQW5$0 - 'HILQH6XE6\VWHP &RPSRQHQW6DIHW\
$FFHSWDQFH&ULWHULD $FFHSWDQFH&ULWHULD
8SGDWH6\VWHP6DIHW\3ODQ
'(6,*1$1' 3HUIRUP3ODQQLQJ ,PSOHPHQW5$03URJUDPPHE\ ,PSOHPHQW6DIHW\3ODQE\5HYLHZ$QDO\VLV7HVWLQJ
,03/(0(17$7,21 3HUIRUP'HVLJQDQG'HYHORSPHQW 5HYLHZ$QDO\VLV7HVWLQJDQG'DWD DQG'DWD$VVHVVPHQWDGGUHVVLQJ
3HUIRUP'HVLJQ$QDO\VLVDQG7HVWLQJ $VVHVVPHQWFRYHULQJ +D]DUG/RJ
3HUIRUP'HVLJQ9HULILFDWLRQ - 5HOLDELOLW\ $YDLODELOLW\ +D]DUG$QDO\VLV 5LVN$VVHVVPHQW
3HUIRUP,PSOHPHQWDWLRQDQG9DOLGDWLRQ - 0DLQWHQDQFH 0DLQWDLQDELOLW\ -XVWLI\6DIHW\5HODWHG'HVLJQ'HFLVLRQV
3HUIRUP'HVLJQRI/RJLVWLF6XSSRUW5HVRXUFHV - 2SWLPDO0DLQWHQDQFH3ROLF\ 8QGHUWDNH3URJUDPPH&RQWUROFRYHULQJ
- /RJLVWLF6XSSRUW - 6DIHW\0DQDJHPHQW
8QGHUWDNH3URJUDPPH&RQWUROFRYHULQJ - &RQWURORI6XE&RQWUDFWRUV 6XSSOLHUV
- 5$03URJUDPPH0DQDJHPHQW 3UHSDUH*HQHULF6DIHW\&DVH
- &RQWURORI6XE&RQWUDFWRUV 6XSSOLHUV 3UHSDUH LI DSSURSULDWH *HQHULF $SSOLFDWLRQ 6DIHW\
&DVH
)LJXUH3URMHFW3KDVH5HODWHG7DVNV6KHHWRI
© BSI 2007
© BSI 2007
/,)(&<&/(3+$6( 3+$6(5(/$7('*(1(5$/7$6.6 3+$6(5(/$7('5$07$6.6 3+$6(5(/$7('6$)(7<7$6.6
0$18)$&785,1* 3HUIRUP3URGXFWLRQ3ODQQLQJ 3HUIRUP(QYLURQPHQWDO6WUHVV6FUHHQLQJ ,PSOHPHQW6DIHW\3ODQE\5HYLHZ$QDO\VLV
0DQXIDFWXUH 3HUIRUP5$0,PSURYHPHQW7HVWLQJ 7HVWLQJ 'DWD$VVHVVPHQW
0DQXIDFWXUHDQG7HVW6XE$VVHPEO\RI&RPSRQHQWV &RPPHQFH)DLOXUH5HSRUWLQJDQG 8VH+D]DUG/RJ
3UHSDUH'RFXPHQWDWLRQ &RUUHFWLYH$FWLRQ6\VWHP)5$&$6
(VWDEOLVK7UDLQLQJ
,167$//$7,21 $VVHPEOH6\VWHP 6WDUW0DLQWDLQHU7UDLQLQJ (VWDEOLVK,QVWDOODWLRQ3URJUDPPH
,QVWDOO6\VWHP (VWDEOLVK6SDUH3DUWVDQG7RRO3URYLVLRQ ,PSOHPHQW,QVWDOODWLRQ3URJUDPPH
6<67(0 &RPPLVVLRQ 3HUIRUP5$0'HPRQVWUDWLRQ (VWDEOLVK&RPPLVVLRQLQJ3URJUDPPH
9$/,'$7,21 3HUIRUP3UREDWLRQDU\3HULRGRI2SHUDWLRQ ,PSOHPHQW&RPPLVVLRQLQJ3URJUDPPH
,1&/8',1*6$)(7< 8QGHUWDNH7UDLQLQJ 3UHSDUH$SSOLFDWLRQ6SHFLILF6DIHW\&DVH
$&&(37$1&($1'
&200,66,21,1*
6<67(0 8QGHUWDNH$FFHSWDQFH3URFHGXUHVEDVHGRQ $VVHVV5$0'HPRQVWUDWLRQ $VVHVV$SSOLFDWLRQ6SHFLILF6DIHW\&DVH
$&&(37$1&( $FFHSWDQFH&ULWHULD
&RPSLOH(YLGHQFHIRU$FFHSWDQFH
(QWU\LQWR6HUYLFH
&RQWLQXH3UREDWLRQDU\3HULRGRI2SHUDWLRQLI
DSSURSULDWH
23(5$7,21 /RQJ7HUP6\VWHP2SHUDWLRQ 2Q*RLQJ3URFXUHPHQWRI6SDUH3DUWV 8QGHUWDNH2Q*RLQJ6DIHW\&HQWUHG
$1'0$,17(1$1&( 3HUIRUP2Q*RLQJ0DLQWHQDQFH 7RROV 0DLQWHQDQFH
8QGHUWDNH2Q*RLQJ7UDLQLQJ 3HUIRUP2Q*RLQJ5HOLDELOLW\&HQWUHG 3HUIRUP2Q*RLQJ6DIHW\3HUIRUPDQFH
0DLQWHQDQFH/RJLVWLF6XSSRUW 0RQLWRULQJDQG+D]DUG/RJ0DLQWHQDQFH
3(5)250$1&( &ROOHFW2SHUDWLRQDO3HUIRUPDQFH6WDWLVWLFV &ROOHFW$QDO\VH(YDOXDWHDQG8VH &ROOHFW$QDO\VH(YDOXDWHDQG8VH
021,725,1* $FTXLUH$QDO\VHDQG(YDOXDWH'DWD 3HUIRUPDQFH 5$06WDWLVWLFV 3HUIRUPDQFH 6DIHW\6WDWLVWLFV
02',),&$7,21 ,PSOHPHQW&KDQJH5HTXHVW3URFHGXUHV &RQVLGHU5$0,PSOLFDWLRQVIRU &RQVLGHU6DIHW\,PSOLFDWLRQVIRU0RGLILFDWLRQ
$1'5(752),7 ,PSOHPHQW0RGLILFDWLRQDQG5HWURILW3URFHGXUHV 0RGLILFDWLRQ 5HWURILW 5HWURILW
'(&200,66,21,1* 3ODQ'HFRPPLVVLRQLQJDQG'LVSRVDO 1RDFWLYLW\IRU5$0 (VWDEOLVK6DIHW\3ODQ
$1'',6326$/ 8QGHUWDNH'HFRPPLVVLRQLQJ 3HUIRUP+D]DUG$QDO\VLV 5LVN$VVHVVPHQW
8QGHUWDNH'LVSRVDO ,PSOHPHQW6DIHW\3ODQ
127( &KDQJH&RQWURORU&RQILJXUDWLRQ0DQDJHPHQWDFWLYLW\DSSOLHVWRDOOSURMHFWSKDVHV
127( 9HULILFDWLRQDQG9DOLGDWLRQDFWLYLWLHVDSSO\ZLWKLQPRVWOLIHF\FOHSKDVHVDQGDUHLQFOXGHGLQWKHPDLQWH[W
127( )RU5$0WKHWHUP³5$03URJUDPPH´LVLQFRPPRQXVH LVDGRSWHGE\WKLVVWDQGDUG)RU6DIHW\WKHWHUP³6DIHW\3ODQ´LVLQFRPPRQXVHDQGLVDGRSWHGE\WKLVVWDQGDUG
127( 1RWHWKDWWKHVFRSHRIWKLVVWDQGDUGLVOLPLWHGWR5$06DQGGRHVQRWDGGUHVVDOOV\VWHPVDVVXUDQFHDFWLYLWLHV+RZHYHULWLVQHFHVVDU\WRHQVXUHWKHV\QFKURQL]DWLRQEHWZHHQ5$06SKDVHVDQGSURMHFW
UHODWHGSKDVHVDQGWRDJUHHRQWKHFRQGLWLRQVIRUSDVVLQJIURPRQHSKDVHWRDQRWKHUIURP5$06SRLQWRIYLHZ
127( $FWLYLWLHVZLWKLQ3KDVHVDQGPD\EHLQWHJUDWHGGHSHQGLQJXSRQWKHDSSOLFDWLRQXQGHUFRQVLGHUDWLRQ
127( 5LVNDQDO\VLVPD\KDYHWREHUHSHDWHGDWVHYHUDOVWDJHVVHHFODXVHDQGG
)LJXUH3URMHFW3KDVH5HODWHG7DVNV6KHHWRI
3DJH
EN 50126-1:1999
3DJH
EN 50126-1:1999
&ODXVH DQG LWV VXEFODXVHV GHILQH WKH REMHFWLYHV UHTXLUHPHQWV LQSXWV DQG GHOLYHUDEOHV IRU
5$06 WDVNV LQ D FRQVLVWHQW IRUPDW DQG ZLWKLQ DQ RYHUDOO SURMHFW FRQWH[W IRU HDFK OLIH F\FOH
SKDVH
7KH SURFHVV VXSSRUWV SURFXUHPHQW E\ SURYLGLQJ D FRPSUHKHQVLYH VHTXHQFH RI WDVNV ZLWKLQ
OLIHF\FOH SKDVHV 7KLV SURYLGHV D EDVLV IRU WKH LQIRUPHG FRQWUDFWLQJ RI HLWKHU LQGLYLGXDO 5$06
WDVNV RU D FRPELQDWLRQ RI WDVNV ZLWKLQ DQ LQWHJUDWHG PDQDJHPHQW SURFHVV 5HVSRQVLELOLWLHV IRU
FDUU\LQJRXWWKHWDVNVZLOOGHSHQGRQWKHV\VWHPXQGHUFRQVLGHUDWLRQDQGWKHFRQWUDFWFRQGLWLRQV
DSSOLFDEOH6RPHJHQHUDOJXLGHOLQHVIRUHVWDEOLVKLQJWKHVHUHVSRQVLELOLWLHVDUHJLYHQLQDQQH[(
7KLVVWDQGDUGUHSUHVHQWVWKHV\VWHPOLIHF\FOHVHTXHQWLDOO\7KLVUHSUHVHQWDWLRQVKRZVLQGLYLGXDO
SKDVHV DQG WKH OLQNV EHWZHHQ SKDVHV 2WKHU OLIHF\FOH UHSUHVHQWDWLRQV DUH ZLGHVSUHDG ZLWKLQ
LQGXVWU\DQGLQFOXGHWKH³9´PRGHO
$³9´UHSUHVHQWDWLRQRIWKHOLIHF\FOHFRQWDLQHGZLWKLQWKLVVWDQGDUGLVVKRZQLQ)LJXUH7KHWRS
GRZQEUDQFKOHIWVLGHLVJHQHUDOO\FDOOHGGHYHORSPHQWDQGLVDUHILQLQJSURFHVVHQGLQJZLWKWKH
PDQXIDFWXULQJ RI V\VWHP FRPSRQHQWV 7KH ERWWRPXS EUDQFK ULJKW VLGH LV UHODWHG WR WKH
DVVHPEO\WKHLQVWDOODWLRQWKHUHFHLSWDQGWKHQWKHRSHUDWLRQRIWKHZKROHV\VWHP
7KH ³9´ UHSUHVHQWDWLRQ DVVXPHV WKDW WKH DFWLYLWLHV RI DFFHSWDQFH DUH LQWULQVLFDOO\ OLQNHG WR WKH
GHYHORSPHQWDFWLYLWLHVLQVRIDUDVZKDWLVDFWXDOO\GHVLJQHGKDVWREHILQDOO\FKHFNHGLQUHJDUGWR
WKH UHTXLUHPHQWV 6R WKH YDOLGDWLRQ DFWLYLWLHV IRU DFFHSWDQFH DW YDULRXV VWDJHV RI D V\VWHP DUH
EDVHGRQWKHVSHFLILFDWLRQRIWKHV\VWHPDQGVKRXOGEHSODQQHGLQWKHHDUOLHUVWDJHVLHVWDUWLQJ
DWWKHFRUUHVSRQGLQJGHYHORSPHQWSKDVHVRIWKHOLIHF\FOH6XFKDOLQNLVVKRZQLQ)LJXUH
7KLV UHSUHVHQWDWLRQ LV HIIHFWLYH LQ VKRZLQJ YHULILFDWLRQ DQG YDOLGDWLRQ WDVNV ZLWKLQ WKH OLIHF\FOH
7KHREMHFWLYHRIYHULILFDWLRQLVWRGHPRQVWUDWHWKDWIRUWKHVSHFLILFLQSXWVWKHGHOLYHUDEOHVRIHDFK
SKDVH PHHW LQ DOO UHVSHFWV WKH UHTXLUHPHQWV RI WKDW SKDVH 7KH REMHFWLYH RI YDOLGDWLRQ LV WR
GHPRQVWUDWH WKDW WKH V\VWHP XQGHU FRQVLGHUDWLRQ DW DQ\ VWHS RI LWV GHYHORSPHQW DQG DIWHU LWV
LQVWDOODWLRQPHHWVLWVUHTXLUHPHQWVLQDOOUHVSHFWV
,Q WKLV VWDQGDUG YHULILFDWLRQ WDVNV DUH LQFOXGHG ZLWKLQ HDFK OLIHF\FOH SKDVH $OWKRXJK WKLV
VWDQGDUGLVFRQFHUQHGZLWKV\VWHPDVVXUDQFHLQWKHFRQWH[WRI5$06YHULILFDWLRQDQGYDOLGDWLRQ
9 9 WDVNV DUH LQWHJUDO WR WKH RYHUDOO GHPRQVWUDWLRQ RI V\VWHPV DVVXUDQFH &RQVHTXHQWO\
5$069 9FRQWULEXWHVWRRYHUDOOV\VWHPDVVXUDQFH9 9
© BSI 2007
&RQFHSW
© BSI 2007
6\VWHP'HILQLWLRQ
2SHUDWLRQDQG 'HFRPPLVVLRQLQJ
6\VWHP$FFHSWDQFH
$SSOLFDWLRQ&RQGLWLRQV 0DLQWHQDQFH DQG'LVSRVDO
5LVN$QDO\VLV
6\VWHP5HTXLUHPHQWV
6\VWHP9DOLGDWLRQ
,QFOXGLQJ6DIHW\$FFHSWDQFH
DQG&RPPLVVLRQLQJ
$SSRUWLRQPHQWRI
6\VWHP5HTXLUHPHQWV
'HVLJQDQG
,PSOHPHQWDWLRQ ,QVWDOODWLRQ
0DQXIDFWXUH
)LJXUH²7KH³9´5HSUHVHQWDWLRQ
3DJH
EN 50126-1:1999
3DJH
EN 50126-1:1999
9DOLGDWLRQ
6\VWHP5HTXLUHPHQWV 6\VWHP$FFHSWDQFH
$SSRUWLRQPHQW 6\VWHP9DOLGDWLRQ
9HULILFDWLRQ 9HULILFDWLRQ
95HSUHVHQWDWLRQ
RIWKH/LIHF\FOH
6\VWHP5HTXLUHPHQWV 9HULILFDWLRQ
$SSRUWLRQPHQW 9HULILFDWLRQ
9DOLGDWLRQ
6\VWHP9DOLGDWLRQ 9HULILFDWLRQ
6\VWHP$FFHSWDQFH 9HULILFDWLRQ
6HTXHQWLDO5HSUHVHQWDWLRQ
RIWKH/LIHF\FOH
127(6XEFODXVHSURYLGHVDGGLWLRQDOLQIRUPDWLRQRQWKHUROHRIYHULILFDWLRQDQGYDOLGDWLRQ
)LJXUH²9HULILFDWLRQDQG9DOLGDWLRQ
$SSOLFDWLRQRIWKLVVWDQGDUG
7KLVVXEFODXVHJLYHVUHTXLUHPHQWVWRSURYLGHDIOH[LEOHDQGHIIHFWLYHDSSOLFDWLRQRIWKLVVWDQGDUG
WRUDLOZD\V\VWHPVLQWHUPVRIVL]HFRPSOH[LW\DQGFRVW
7KHUHTXLUHPHQWVGHILQHGLQWKLVVWDQGDUGDUHJHQHULFDQGDUHDSSOLFDEOHWRDOOW\SHVRIUDLOZD\
V\VWHPV7KH5DLOZD\$XWKRULW\VKDOOGHILQHWKHDSSOLFDWLRQRIWKHUHTXLUHPHQWVRIWKLVVWDQGDUG
WR WKH V\VWHP XQGHU FRQVLGHUDWLRQ 7KLV DVVHVVPHQW VKDOO EH EDVHG RQ WKH DSSOLFDELOLW\ RI WKH
UHTXLUHPHQWV WR WKH SDUWLFXODU V\VWHP 3DUWLFXODU FDUH LV UHTXLUHG GXULQJ WKH DVVHVVPHQW RI WKH
WDVNVHTXHQFHVXQGHUWDNHQLQSKDVH6\VWHP9DOLGDWLRQDQGSKDVH6\VWHP$FFHSWDQFH
,QFDVHVRIUHQHZDORIDV\VWHPWKHUHLVRIWHQDPL[HGSKDVHVWDJHZKHUHWKHRSHUDWLRQZLWK
WKH H[LVWLQJ DQG WKH UHQHZHG V\VWHPV LV PL[HG RU WKDW WKH\ DUH RSHUDWHG DW WKH VDPH WLPH ,Q
VXFKFDVHVVDIHW\VWXG\VKDOOVSHFLILFDOO\DGGUHVVWKHSRVVLEOHHIIHFWVRILQWHUDFWLRQEHWZHHQWKH
H[LVWLQJDQGWKHUHQHZHGV\VWHPV
7KHDSSOLFDWLRQRIWKLVVWDQGDUGVKDOOEHDGDSWHGWRWKHVSHFLILFUHTXLUHPHQWVRIWKHV\VWHPXQGHU
FRQVLGHUDWLRQ 7KH DVVHVVPHQW RI WKH DSSOLFDWLRQ RI WKLV VWDQGDUG WR WKH V\VWHP XQGHU
FRQVLGHUDWLRQVKDOO
D VSHFLI\ WKH OLIHF\FOH SKDVHV ZKLFK DUH UHTXLUHG WR UHDOL]H WKH V\VWHP XQGHU FRQVLGHUDWLRQ
SURYLGLQJ D MXVWLILFDWLRQ IRU WKH OLIHF\FOH SKDVHV VSHFLILHG DQG GHPRQVWUDWLQJ WKDW WKH WDVNV
XQGHUWDNHQ ZLWKLQ WKHVH OLIHF\FOH SKDVHV FRPSO\ ZLWK WKH SULQFLSOHV RI WKH UHTXLUHPHQWV RI
WKLVVWDQGDUG
© BSI 2007
3DJH
EN 50126-1:1999
E VSHFLI\ WKH PDQGDWRU\ DFWLYLWLHV DQG UHTXLUHPHQWV RI HDFK UHTXLUHG OLIHF\FOH SKDVH XVLQJ
)LJXUHDQGWKHUHOHYDQWSKDVHUHODWHGLQIRUPDWLRQRIFODXVHDVDFKHFNOLVWLQFOXGLQJ
£ WKHVFRSHRIHDFKUHTXLUHPHQWLQUHODWLRQWRWKHV\VWHPXQGHUFRQVLGHUDWLRQ
£ WKH PHWKRGV WRROV DQG WHFKQLTXHV UHTXLUHG DJDLQVW HDFK UHTXLUHPHQW DQG WKH VFRSH DQG
GHSWKRIWKHLUDSSOLFDWLRQ
£ WKHYHULILFDWLRQDQGYDOLGDWLRQDFWLYLWLHVUHTXLUHGDJDLQVWHDFKUHTXLUHPHQWDQGWKHVFRSHRI
WKHLUDSSOLFDWLRQ
£ DOOVXSSRUWLQJGRFXPHQWDWLRQ
F MXVWLI\DQ\GHYLDWLRQIURPWKHDFWLYLWLHVDQGUHTXLUHPHQWVRIWKHVWDQGDUG
G MXVWLI\WKHDGHTXDF\RIWKHWDVNVFKRVHQIRUWKHDSSOLFDWLRQXQGHUFRQVLGHUDWLRQ
:LWKLQDOODSSOLFDWLRQVRIWKLVVWDQGDUGWKHIROORZLQJUHTXLUHPHQWVDUHPDQGDWRU\
D UHVSRQVLELOLWLHV IRU FDUU\LQJ RXW DOO 5$06 WDVNV ZLWKLQ HDFK SKDVH RI WKH OLIHF\FOH LQFOXGLQJ WKH
LQWHUIDFHV EHWZHHQ DVVRFLDWHG WDVNV VKDOO EH GHILQHG DQG DJUHHG IRU WKH V\VWHP XQGHU
FRQVLGHUDWLRQ
E DOO SHUVRQQHO ZLWK UHVSRQVLELOLWLHV ZLWKLQ WKH 5$06 PDQDJHPHQW SURFHVV VKDOO EH FRPSHWHQW WR
GLVFKDUJHWKRVHUHVSRQVLELOLWLHV
F WKH HVWDEOLVKPHQW DQG LPSOHPHQWDWLRQ RI WKH 5$0 3URJUDPPH DQG 6DIHW\ 3ODQ DUH HVVHQWLDO
FRPSRQHQWV LQ WKH UHDOL]DWLRQ RI GHSHQGDEOH V\VWHPV :KLOVW WKH FRQWHQW RI WKHVH SODQQLQJ
GRFXPHQWVZLOOEHVSHFLILFWRWKHV\VWHPXQGHUFRQVLGHUDWLRQPDQ\5$06WDVNVZLOOUHTXLUHVLPLODU
DQDO\VLV DFWLYLWLHV +RZHYHU WKH FRQVWUDLQWV RQ WKHVH DFWLYLWLHV PD\ EH GLIIHUHQW )RU 5$0IRFXVHG
WDVNVFRVWFRQVLGHUDWLRQVDUHOLNHO\WREHWKHSULPHGULYHUZKHUHDVIRUVDIHW\IRFXVHGWDVNVLWLVWKH
DYRLGDQFH RI DFFLGHQWV DQG LQFLGHQWV :LWKLQ WKLV FRQWH[W 5$06 UHTXLUHPHQWV FDQ FRQIOLFW DV WKH
HFRQRPLFFRQVHTXHQFHVSHUWDLQLQJWR5$06PD\EHGLIIHUHQWGHSHQGLQJXSRQWKHUHTXLUHPHQWVRI
WKH 5DLOZD\ $XWKRULW\ 5HFRJQLWLRQ RI WKH QHHG WR LGHQWLI\ DQG PDQDJH 5$06 FRQIOLFWV VKDOO EH
LQFOXGHGZLWKLQ5$06SODQQLQJGRFXPHQWVDORQJZLWKGHWDLOVRIDOO5$06DQDO\VLVDVWKHGHSWKRI
DQDO\VLVDFWLYLWLHVPD\YDU\EHWZHHQ5$06WDVNV
G WKHUHTXLUHPHQWVRIWKLVVWDQGDUGVKDOOEHLPSOHPHQWHGZLWKLQWKHEXVLQHVVSURFHVVHVVXSSRUWHGE\
D 4XDOLW\ 0DQDJHPHQW 6\VWHP 406 FRPSOLDQW ZLWK WKH UHTXLUHPHQWV RI (1,62
(1,62RU(1,62DSSURSULDWHIRUWKHV\VWHPXQGHUFRQVLGHUDWLRQ
H DQDGHTXDWHDQGHIIHFWLYHFRQILJXUDWLRQPDQDJHPHQWV\VWHPVKDOOEHHVWDEOLVKHGDQGLPSOHPHQWHG
DGGUHVVLQJ 5$06 WDVNV ZLWKLQ DOO OLIHF\FOH SKDVHV 7KH VFRSH RI FRQILJXUDWLRQ PDQDJHPHQW ZLOO
GHSHQGRQWKHV\VWHPXQGHUFRQVLGHUDWLRQEXWVKDOOQRUPDOO\LQFOXGHDOOV\VWHPGRFXPHQWDWLRQDQG
DOORWKHUV\VWHPGHOLYHUDEOHV
&ODXVH RI WKLV VWDQGDUG HODERUDWHV WKH PHDQV WR HQVXUH DFKLHYHPHQW RI 5$06 UHTXLUHPHQWV
WKURXJKPLQLPL]LQJWKHHIIHFWVRIDQ\LPSDLUPHQWVDQGFRQWUROOLQJWKHIDFWRUVGLVFXVVHGLQFODXVH
E\ GHILQLQJ D PDQDJHPHQW SURFHVV EDVHG RQ WKH V\VWHP OLIHF\FOH 0HWKRGV WRROV DQG
WHFKQLTXHV DSSURSULDWH WR HQJLQHHULQJ GHSHQGDEOH V\VWHPV DUH SUHVHQWHG LQ RWKHU VWDQGDUGV
VHHDQQH[%,WLVLPSRUWDQWWRQRWHWKDWWKHFKRLFHRIPHWKRGVWRROVDQGWHFKQLTXHVDQGWKH
GHSWKDQGVFRSHRIWKHLUDSSOLFDWLRQDQGWKDWRIWKHGRFXPHQWDWLRQVKDOOEHFRPPHQVXUDWHZLWK
WKH UHTXLUHPHQWV RI WKH V\VWHP XQGHU FRQVLGHUDWLRQ 7KHVH VKRXOG EH DJUHHG EHWZHHQ WKH
5DLOZD\$XWKRULW\DQGWKH6XSSOLHUIRUWKHV\VWHPXQGHUFRQVLGHUDWLRQ$JHQHUDORYHUYLHZRIWKH
PDQQHULQZKLFKWKHVHGLIIHUHQWDVSHFWVUHODWHWRVXSSRUW5$06HQJLQHHULQJDQGPDQDJHPHQWLV
VKRZQLQ)LJXUH
7KHUHTXLUHPHQWVGHWDLOHGLQWKLVVWDQGDUGDUHZULWWHQLQRUGHUWRVXSSRUWDQDXGLWSURFHVV7KH
5DLOZD\$XWKRULW\DQGWKHUDLOZD\VXSSRUWLQGXVWU\IRUWKHV\VWHPXQGHUFRQVLGHUDWLRQVKDOODJUHH
DQG LPSOHPHQW DQ $XGLW 3ODQ ZKLFK DGGUHVVHV WKH DSSOLFDWLRQ RI WKH UHTXLUHPHQWV RI WKLV
VWDQGDUGDVDGDSWHGWRWKHV\VWHP
© BSI 2007
3DJH
EN 50126-1:1999
(GXFDWLRQ 5$06
7UDLQLQJ 7KHRU\0DWKV
5$06
(QJLQHHU 0HWKRGV7HFKQLTXHV
&RPSHWHQFH
5$06
3URFHGXUHV
5$06(QJLQHHULQJ
7RRO%R[
3URFHVV
,PSOHPHQWDWLRQ
)LJXUH²5$06(QJLQHHULQJDQG0DQDJHPHQW,PSOHPHQWHGZLWKLQD6\VWHP5HDOL]DWLRQ
3URFHVV
5$06OLIHF\FOH
7KLVFODXVHGHWDLOVREMHFWLYHVUHTXLUHPHQWVGHOLYHUDEOHVDQGYHULILFDWLRQDQGYDOLGDWLRQDFWLYLWLHVWREH
XQGHUWDNHQ WKURXJKRXW HDFK OLIHF\FOH SKDVH 7KH VFRSH DQG DSSOLFDWLRQ RI WKH UHTXLUHPHQWV VKDOO EH
DVVHVVHGDQGDGDSWHGWRPHHWWKHSDUWLFXODUUHTXLUHPHQWVRIWKHV\VWHPXQGHUFRQVLGHUDWLRQ)RUIXUWKHU
LQIRUPDWLRQRQWKLVWRSLFVHHRIWKLVVWDQGDUG
3KDVH&RQFHSW
2EMHFWLYHV
7KHREMHFWLYHRIWKLVSKDVHVKDOOEHWRGHYHORSDOHYHORIXQGHUVWDQGLQJRIWKHV\VWHPVXIILFLHQWWRHQDEOH
DOOVXEVHTXHQW5$06OLIHF\FOHWDVNVWREHVDWLVIDFWRULO\SHUIRUPHG
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWVRIWKHSKDVHIRUH[DPSOHWKHVFRSHDQGSXUSRVHVWDWHPHQWVIRUWKHSURMHFW
5HTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR DFTXLUH LQ WKH FRQWH[W RI 5$06 SHUIRUPDQFH DQ
XQGHUVWDQGLQJRI
D WKHVFRSHFRQWH[WDQGSXUSRVHRIWKHV\VWHP
E WKHHQYLURQPHQWRIWKHV\VWHPLQFOXGLQJ
£ SK\VLFDOLVVXHV
£ SRWHQWLDOV\VWHPLQWHUIDFHLVVXHV
£ VRFLDOLVVXHV
£ SROLWLFDOLVVXHV
£ OHJLVODWLYHLVVXHV
£ HFRQRPLFDOLVVXHV
F WKHJHQHUDO5$06LPSOLFDWLRQVRIWKHV\VWHP
© BSI 2007
3DJH
EN 50126-1:1999
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRUHYLHZ
D WKH5$06LPSOLFDWLRQVRIDQ\ILQDQFLDODQDO\VLVRIWKHV\VWHP
E WKH5$06LPSOLFDWLRQVRIDQ\V\VWHPIHDVLELOLW\VWXGLHV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRLGHQWLI\VRXUFHVRIKD]DUGVZKLFKFRXOGDIIHFWWKH5$06
SHUIRUPDQFHRIWKHV\VWHPLQFOXGLQJ
£ LQWHUDFWLRQZLWKRWKHUV\VWHPV
£ LQWHUDFWLRQZLWKKXPDQV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRREWDLQLQIRUPDWLRQDERXW
D SUHYLRXV 5$06 UHTXLUHPHQWV DQG SDVW 5$06 SHUIRUPDQFH RI VLPLODU DQGRU UHODWHG
V\VWHPV
E LGHQWLILHGVRXUFHVRIKD]DUGVWR5$06SHUIRUPDQFH
F FXUUHQW5DLOZD\$XWKRULW\6DIHW\3ROLF\DQG7DUJHWV
G VDIHW\OHJLVODWLRQ
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRGHILQHWKHVFRSHRIWKHPDQDJHPHQWUHTXLUHPHQWVIRU
VXEVHTXHQWV\VWHPOLIHF\FOH5$06WDVNV
'HOLYHUDEOHV
7KHUHVXOWVIURPWKLVSKDVHVKDOOEHGRFXPHQWHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
7KH GHOLYHUDEOHV VKDOO LQFOXGH D PDQDJHPHQW VWUXFWXUH DGHTXDWH WR LPSOHPHQW WKH 5$06
UHTXLUHPHQWVRIOLIHF\FOHSKDVHV
7KHGHOLYHUDEOHVIURPWKLVSKDVHDUHDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWR5$06WDVNVZLWKLQWKLVSKDVH
E DVVHVVPHQW RI WKH DGHTXDF\ RI WKH V\VWHP HQYLURQPHQW VWDWHPHQW GHILQHG XQGHU
5HTXLUHPHQW
F DVVHVVPHQWRIWKHFRPSOHWHQHVVRIWKHKD]DUGVRXUFHOLVWLQJGHILQHGXQGHU5HTXLUHPHQW
G DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
H DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
3KDVH6\VWHPGHILQLWLRQDQGDSSOLFDWLRQFRQGLWLRQV
2EMHFWLYHV
7KHREMHFWLYHVRIWKLVSKDVHDUHWR
D GHILQHWKHPLVVLRQSURILOHRIWKHV\VWHP
E GHILQHWKHERXQGDU\RIWKHV\VWHP
F HVWDEOLVKWKHDSSOLFDWLRQFRQGLWLRQVLQIOXHQFLQJWKHFKDUDFWHULVWLFVRIWKHV\VWHP
G GHILQHWKHVFRSHRIV\VWHPKD]DUGDQDO\VLV
H HVWDEOLVKWKH5$06SROLF\IRUWKHV\VWHP
I HVWDEOLVKWKH6DIHW\3ODQIRUWKH6\VWHP
LQVRIDUDVWKH\DIIHFWWKHSRWHQWLDO5$06SHUIRUPDQFHRIWKHV\VWHP
© BSI 2007
3DJH
EN 50126-1:1999
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\
WRPHHWWKHUHTXLUHPHQWVRIWKHSKDVHLQFOXGLQJWKHGHOLYHUDEOHVRISKDVH
5HTXLUHPHQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRGHILQH
D WKHV\VWHPPLVVLRQSURILOHLQFOXGLQJ
£ SHUIRUPDQFHUHTXLUHPHQWV
£ 5$06WDUJHWV
£ ORQJWHUPRSHUDWLQJVWUDWHJ\DQGFRQGLWLRQV
£ ORQJWHUPPDLQWHQDQFHVWUDWHJ\DQGFRQGLWLRQV
£ V\VWHPOLIHFRQVLGHUDWLRQVLQFOXGLQJOLIHF\FOHFRVWLQJLVVXHV
£ ORJLVWLFFRQVLGHUDWLRQV
E WKHV\VWHPERXQGDU\LQFOXGLQJ
£ LQWHUIDFHVZLWKSK\VLFDOHQYLURQPHQW
£ LQWHUIDFHVZLWKRWKHUWHFKQRORJLFDOV\VWHPV
£ LQWHUIDFHVZLWKKXPDQV
£ LQWHUIDFHVZLWKRWKHU5DLOZD\$XWKRULWLHV
F WKHVFRSHRIDSSOLFDWLRQFRQGLWLRQVLQIOXHQFLQJWKHV\VWHPLQFOXGLQJ
£ FRQVWUDLQWVLPSRVHGE\H[LVWLQJLQIUDVWUXFWXUH
£ V\VWHPRSHUDWLQJFRQGLWLRQV
£ V\VWHPPDLQWHQDQFHFRQGLWLRQV
£ ORJLVWLFVXSSRUWFRQVLGHUDWLRQV
£ UHYLHZRISDVWH[SHULHQFHGDWDIRUVLPLODUV\VWHPV
G WKHVFRSHRIWKHV\VWHPKD]DUGDQDO\VLVLQFOXGLQJWKHLGHQWLILFDWLRQRI
£ KD]DUGVLQKHUHQWZLWKLQWKHSURFHVVWREHFRQWUROOHG
£ HQYLURQPHQWDOKD]DUGV
£ VHFXULW\KD]DUGV
£ WKHLQIOXHQFHRIH[WHUQDOHYHQWV
£ WKHERXQGDULHVRIWKHV\VWHPWREHDQDO\VHG
£ WKHLQIOXHQFHRQ5$06RIH[LVWLQJLQIUDVWUXFWXUHFRQVWUDLQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRSHUIRUP
DSUHOLPLQDU\5$0DQDO\VLVWRVXSSRUWWDUJHWV
ESUHOLPLQDU\KD]DUGLGHQWLILFDWLRQWR
£ LGHQWLI\VXEV\VWHPVDVVRFLDWHGZLWKLGHQWLILHGKD]DUGV
£ LGHQWLI\W\SHVRIDFFLGHQWLQLWLDWLQJHYHQWVWKDWQHHGWREHFRQVLGHUHGLQFOXGLQJFRPSRQHQW
IDLOXUHSURFHGXUDOIDXOWVKXPDQHUURUDQGGHSHQGHQWIDLOXUHPHFKDQLVPV
£ GHILQHLQLWLDOULVNWROHUDELOLW\FULWHULD
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR HVWDEOLVK WKH JHQHUDO 5$06 SROLF\ IRU WKH V\VWHP
LQFOXGLQJ UHTXLUHPHQWV RI VDIHW\ FRQFHSW DQG WKH 5DLOZD\ $XWKRULW\
V
SROLF\ IRU UHVROYLQJ DQ\
FRQIOLFWVDULVLQJEHWZHHQDYDLODELOLW\DQGVDIHW\
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR HVWDEOLVK WKH 6DIHW\ 3ODQ IRU WKH V\VWHP 7KH 6DIHW\
3ODQ VKDOO EH DJUHHG E\ WKH 5DLOZD\ $XWKRULW\ DQG WKH UDLOZD\ VXSSRUW LQGXVWU\ IRU WKH V\VWHP
XQGHUFRQVLGHUDWLRQDQGVKDOOEHLPSOHPHQWHGUHYLHZHGDQGPDLQWDLQHGWKURXJKRXWWKHOLIHF\FOH
RIWKHV\VWHP7KH6DIHW\3ODQVKRXOGLQFOXGH
© BSI 2007
3DJH
EN 50126-1:1999
D WKHSROLF\DQGVWUDWHJ\IRUDFKLHYLQJVDIHW\
E WKHVFRSHRIWKHSODQ
F DGHVFULSWLRQRIWKHV\VWHP
G GHWDLOVRIUROHVUHVSRQVLELOLWLHVFRPSHWHQFLHVDQGUHODWLRQVKLSVRIERGLHVXQGHUWDNLQJWDVNV
ZLWKLQWKHOLIHF\FOH
H GHVFULSWLRQ RI WKH V\VWHP OLIHF\FOH DQG VDIHW\ WDVNV WR EH XQGHUWDNHQ ZLWKLQ WKH OLIHF\FOH
DORQJZLWKDQ\GHSHQGHQFLHV
I WKH VDIHW\ DQDO\VLV HQJLQHHULQJ DQG DVVHVVPHQW SURFHVVHV WR EH DSSOLHG GXULQJ WKH
OLIHF\FOHLQFOXGLQJSURFHVVHVIRU
£ HQVXULQJDQDSSURSULDWHGHJUHHRISHUVRQQHOLQGHSHQGHQFHLQWDVNVFRPPHQVXUDWHZLWKWKH
ULVNRIWKHV\VWHP
£ KD]DUGLGHQWLILFDWLRQDQGDQDO\VLV
£ ULVNDVVHVVPHQWDQGRQJRLQJULVNPDQDJHPHQW
£ ULVNWROHUDELOLW\FULWHULD
£ WKHHVWDEOLVKPHQWDQGRQJRLQJUHYLHZRIWKHDGHTXDF\RIWKHVDIHW\UHTXLUHPHQWV
£ V\VWHPGHVLJQ
£ YHULILFDWLRQDQGYDOLGDWLRQ
£ VDIHW\DVVHVVPHQWWRDFKLHYHFRPSOLDQFHEHWZHHQV\VWHPUHTXLUHPHQWVDQGUHDOL]DWLRQ
£ VDIHW\DXGLWWRDFKLHYHFRPSOLDQFHRIWKHPDQDJHPHQWSURFHVVZLWKWKHVDIHW\SODQ
£ VDIHW\DVVHVVPHQWWRDFKLHYHFRPSOLDQFHEHWZHHQVXEV\VWHPDQGV\VWHPVDIHW\DQDO\VLV
J GHWDLOVRIDOOVDIHW\UHODWHGGHOLYHUDEOHVIURPWKHOLIHF\FOHLQFOXGLQJ
£ GRFXPHQWDWLRQ
£ KDUGZDUH
£ VRIWZDUH
K DSURFHVVWRSUHSDUHV\VWHP6DIHW\&DVHV
L DSURFHVVIRUWKHVDIHW\DSSURYDORIWKHV\VWHP
M DSURFHVVIRUVDIHW\DSSURYDORIV\VWHPPRGLILFDWLRQV
N DSURFHVVIRUDQDO\VLQJRSHUDWLRQDQGPDLQWHQDQFHSHUIRUPDQFHWRHQVXUHUHDOL]HGVDIHW\LV
FRPSOLDQWZLWKUHTXLUHPHQWV
O DSURFHVVIRUWKHPDLQWHQDQFHRIVDIHW\UHODWHGGRFXPHQWDWLRQLQFOXGLQJD+D]DUG/RJ
P LQWHUIDFHVZLWKRWKHUUHODWHGSURJUDPPHVDQGSODQV
Q FRQVWUDLQWVDQGDVVXPSWLRQVPDGHLQWKHSODQ
R VXEFRQWUDFWRUPDQDJHPHQWDUUDQJHPHQWV
S UHTXLUHPHQWVIRUSHULRGLFVDIHW\DXGLWVDIHW\DVVHVVPHQWDQGVDIHW\UHYLHZWKURXJKRXWWKH
OLIHF\FOH DQG DSSURSULDWH WR WKH VDIHW\ UHOHYDQFH RI WKH V\VWHP XQGHU FRQVLGHUDWLRQ
LQFOXGLQJDQ\SHUVRQQHOLQGHSHQGHQFHUHTXLUHPHQWV
'HOLYHUDEOHV
7KH UHVXOWV RI WKLV SKDVH VKDOO EH GRFXPHQWHG DORQJ ZLWK DQ\ DVVXPSWLRQV DQG MXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
7KHGHOLYHUDEOHVVKDOOLQFOXGHWKH5$063ROLF\IRUWKHV\VWHP
7KHGHOLYHUDEOHVVKDOOLQFOXGHWKH6DIHW\3ODQIRUWKHV\VWHP
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
© BSI 2007
3DJH
EN 50126-1:1999
E 5$06DVSHFWVRIWKHSKDVHGHOLYHUDEOHVVKDOOEHYHULILHGDJDLQVWWKHSKDVHGHOLYHUDEOHV
LQ SDUWLFXODU WKH 5$06 3ROLF\ VKDOO EH DVVHVVHG IRU FRPSOLDQFH DJDLQVW WKH V\VWHP
UHTXLUHPHQWVGHILQHGLQSKDVH
F WKHFRPSOHWHQHVVRIWKH5$0DQDO\VLVDQGKD]DUGLGHQWLILFDWLRQSURFHVVVKDOOEHDVVHVVHG
IRUFRPSOHWHQHVV
G DVVHVVPHQWRIWKHDGHTXDF\RIWKH6DIHW\3ODQLQFOXGLQJDUHYLHZRIWKHDGHTXDF\RIDQ\
GDWDVRXUFHVLQFOXGHGZLWKLQWKH6DIHW\3ODQ
H DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
I DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
$Q\HUURUVRUVKRUWIDOOPD\UHTXLUHWKHUHDSSOLFDWLRQRIVRPHRUDOORIWKHDFWLYLWLHVRIRQHRU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
3KDVH5LVNDQDO\VLV
2EMHFWLYHV
7KHREMHFWLYHVRIWKLVSKDVHDUHWR
D LGHQWLI\KD]DUGVDVVRFLDWHGZLWKWKHV\VWHP
E LGHQWLI\WKHHYHQWVOHDGLQJWRWKHKD]DUGV
F GHWHUPLQHWKHULVNDVVRFLDWHGZLWKWKHKD]DUGV
G HVWDEOLVKDSURFHVVIRURQJRLQJULVNPDQDJHPHQW
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWVRIWKHSKDVHDQGLQSDUWLFXODUWKHGHOLYHUDEOHVSURGXFHGLQSKDVH
5HTXLUHPHQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWR
D 6\VWHPDWLFDOO\LGHQWLI\DQGSULRULWL]HDOOUHDVRQDEO\IRUHVHHDEOHKD]DUGVDVVRFLDWHGZLWKWKH
V\VWHPLQLWVDSSOLFDWLRQHQYLURQPHQWLQFOXGLQJKD]DUGVDULVLQJIURP
£ V\VWHPQRUPDORSHUDWLRQ
£ V\VWHPIDXOWFRQGLWLRQV
£ V\VWHPHPHUJHQF\RSHUDWLRQ
£ V\VWHPPLVXVH
£ V\VWHPLQWHUIDFHV
£ V\VWHPIXQFWLRQDOLW\
£ V\VWHPRSHUDWLRQPDLQWHQDQFHDQGVXSSRUWLVVXHV
£ V\VWHPGLVSRVDOFRQVLGHUDWLRQV
£ KXPDQIDFWRUV
£ RFFXSDWLRQDOKHDOWKLVVXHV
£ PHFKDQLFDOHQYLURQPHQW
£ HOHFWULFDOHQYLURQPHQW
£ QDWXUDOHQYLURQPHQWWRFRYHUVXFKPDWWHUVDVVQRZIORRGVVWRUPVUDLQODQGVOLGHVHWF
E LGHQWLI\WKHVHTXHQFHRIHYHQWVOHDGLQJWRKD]DUGV
F HYDOXDWHWKHIUHTXHQF\RIRFFXUUHQFHRIHDFKKD]DUG7DEOH
G HYDOXDWHWKHOLNHO\VHYHULW\RIWKHFRQVHTXHQFHVRIHDFKKD]DUG7DEOH
H HYDOXDWHWKHULVNWRWKHV\VWHPIRUHDFKKD]DUG
© BSI 2007
3DJH
EN 50126-1:1999
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR GHWHUPLQH DQG FODVVLI\ WKH DFFHSWDELOLW\ RI WKH ULVN
DVVRFLDWHGZLWKHDFKLGHQWLILHGKD]DUGKDYLQJFRQVLGHUHGWKHULVNLQWHUPVRIDQ\FRQIOLFWVZLWK
DYDLODELOLW\DQGOLIHF\FOHFRVWUHTXLUHPHQWVRIWKHV\VWHP
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR HVWDEOLVK D +D]DUG /RJ DV WKH EDVLV IRU RQJRLQJ ULVN
PDQDJHPHQW 7KH +D]DUG /RJ VKDOO EH XSGDWHG ZKHQHYHU D FKDQJH WR DQ\ LGHQWLILHG KD]DUG
RFFXUVRUDQHZKD]DUGLVLGHQWLILHGWKURXJKRXWWKHOLIHF\FOH+D]DUG/RJVKDOOLQFOXGHGHWDLOVRI
D WKHDLPDQGSXUSRVHRIWKH+D]DUG/RJ
E HDFKKD]DUGRXVHYHQWDQGFRQWULEXWLQJFRPSRQHQWV
F OLNHO\ FRQVHTXHQFHV DQG IUHTXHQFLHV RI WKH VHTXHQFH RI HYHQWV DVVRFLDWHG ZLWK HDFK
KD]DUG
G WKHULVNRIHDFKKD]DUG
H ULVNWROHUDELOLW\FULWHULDIRUWKHDSSOLFDWLRQ
I WKH PHDVXUHV WDNHQ WR UHGXFH ULVNV WR D WROHUDEOH OHYHO RU UHPRYH WKH ULVN IRU HDFK
KD]DUGRXVHYHQW
J DSURFHVVWRUHYLHZULVNWROHUDELOLW\
K DSURFHVVWRUHYLHZWKHHIIHFWLYHQHVVRIULVNUHGXFWLRQPHDVXUHV
L DSURFHVVIRURQJRLQJULVNDQGDFFLGHQWUHSRUWLQJ
M DSURFHVVIRUPDQDJHPHQWRIWKH+D]DUG/RJ
N WKHOLPLWVRIDQ\DQDO\VLVFDUULHGRXW
O DQ\DVVXPSWLRQVPDGHGXULQJWKHDQDO\VLV
P DQ\FRQILGHQFHOLPLWVDSSO\LQJWRGDWDXVHGZLWKLQWKHDQDO\VLV
Q WKHPHWKRGVWRRODQGWHFKQLTXHVXVHG
R WKHSHUVRQQHODQGWKHLUFRPSHWHQFLHVLQYROYHGLQWKHSURFHVV
'HOLYHUDEOHV
7KH UHVXOWV RI WKLV SKDVH VKDOO EH GRFXPHQWHG DORQJ ZLWK DQ\ DVVXPSWLRQV DQG MXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
7KHUHVXOWVRIWKHULVNDQDO\VLVVKDOOEHUHFRUGHGZLWKLQWKH+D]DUG/RJ
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E WKHSKDVHGHOLYHUDEOHVVKDOOEHYHULILHGDJDLQVWWKHSKDVHGHOLYHUDEOHV
F DVVHVVPHQWRIWKHFRPSOHWHQHVVRIWKHULVNDVVHVVPHQW
G DVVHVVPHQWRIWKHULVNDFFHSWDELOLW\FODVVLILFDWLRQ
H DVVHVVPHQWRIWKHVXLWDELOLW\RIWKHKD]DUGORJSURFHVVIRUWKHV\VWHPXQGHUFRQVLGHUDWLRQ
I DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
J DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
$Q\ HUURUV RU VKRUWIDOO PD\ UHTXLUH WKH UHDSSOLFDWLRQ RI VRPH RU DOO RI WKH DFWLYLWLHV RI RQH RU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
3KDVH6\VWHPUHTXLUHPHQWV
2EMHFWLYHV
7KHREMHFWLYHVRIWKLVSKDVHDUHWR
D VSHFLI\WKHRYHUDOO5$06UHTXLUHPHQWVIRUWKHV\VWHP
E VSHFLI\WKHRYHUDOOGHPRQVWUDWLRQDQGDFFHSWDQFHFULWHULDIRU5$06IRUWKHV\VWHP
© BSI 2007
3DJH
EN 50126-1:1999
F HVWDEOLVK WKH 5$0 3URJUDPPH IRU FRQWUROOLQJ 5$0 WDVNV GXULQJ VXEVHTXHQW OLIHF\FOH
SKDVHV
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWVRIWKHSKDVHDQGLQSDUWLFXODUWKHGHOLYHUDEOHVRISKDVHDQGSKDVH
5HTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR VSHFLI\ ZLWK UHIHUHQFH WR WKH RYHUDOO 5$06
UHTXLUHPHQWVIRUWKHWRWDOV\VWHP7KH5$065HTXLUHPHQWVIRUWKHV\VWHPXQGHUFRQVLGHUDWLRQ
VKDOOLQFOXGH
£ GHILQLWLRQRIWKHV\VWHPDQGERXQGDULHV
£ PLVVLRQSURILOH
£IXQFWLRQDOUHTXLUHPHQWVDQGVXSSRUWLQJSHUIRUPDQFHUHTXLUHPHQWVLQFOXGLQJVDIHW\
IXQFWLRQDOUHTXLUHPHQWVDQGVDIHW\LQWHJULW\UHTXLUHPHQWVIRUHDFKVDIHW\IXQFWLRQ
£ ORJLVWLFVXSSRUWUHTXLUHPHQWV
£ LQWHUIDFHV
£ DSSOLFDWLRQHQYLURQPHQW
£ WROHUDEOHULVNOHYHOVIRULGHQWLILHGKD]DUGV
£ H[WHUQDOPHDVXUHVQHFHVVDU\WRDFKLHYHWKHUHTXLUHPHQWV
£ V\VWHPVXSSRUWUHTXLUHPHQWV
£ GHWDLOVRIWKHOLPLWVRIWKHDQDO\VLV
£ GHWDLOVRIDQ\DVVXPSWLRQVPDGH
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR VSHFLI\ ZLWK UHIHUHQFH WR WKH RYHUDOO
UHTXLUHPHQWVIRUDFKLHYLQJFRPSOLDQFHZLWK5$06UHTXLUHPHQWVIRUWKHV\VWHPLQFOXGLQJ
£ DFFHSWDQFHFULWHULDIRUWKHRYHUDOO5$06UHTXLUHPHQWV
£ GHPRQVWUDWLRQ DQG DFFHSWDQFH SURFHVV IRU WKH RYHUDOO 5$06 UHTXLUHPHQWV
IDFLOLWDWHGE\WKHV\VWHP5$06YDOLGDWLRQSODQZKLFKVKRXOGLQFOXGH
£ DGHVFULSWLRQRIWKHV\VWHP
£ WKH5$06YDOLGDWLRQSULQFLSOHVWREHDSSOLHGWRWKHV\VWHP
£ WKH5$06WHVWVDQGDQDO\VLVWREHFDUULHGRXWIRUWKHYDOLGDWLRQLQFOXGLQJGHWDLOVRI
WKHUHTXLUHGHQYLURQPHQWWRROVIDFLOLWLHVHWF
£WKH YDOLGDWLRQ PDQDJHPHQW VWUXFWXUH LQFOXGLQJ UHTXLUHPHQWV IRU SHUVRQQHO
LQGHSHQGHQFH
£ GHWDLOVRIWKHYDOLGDWLRQSURJUDPVHTXHQFHDQGVFKHGXOH
£ SURFHGXUHVIRUGHDOLQJZLWKQRQFRPSOLDQFH
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR HVWDEOLVK WKH GHWDLOHG 5$0 3URJUDPPH IRU WKH
UHPDLQLQJ OLIHF\FOH WDVNV ZLWK UHIHUHQFH WR 7KH 5$0 3URJUDPPH VKDOO LQFOXGH WKH
WDVNVZKLFKDUHMXGJHGWREHWKHPRVWHIIHFWLYHWRWKHDWWDLQPHQWRIWKH5$0UHTXLUHPHQWVIRU
WKHV\VWHPXQGHUFRQVLGHUDWLRQ7KH5$03URJUDPPHVKDOOEHDJUHHGE\WKH5DLOZD\$XWKRULW\
DQG WKH UDLOZD\ VXSSRUW LQGXVWU\ IRU WKH V\VWHP XQGHU FRQVLGHUDWLRQ DQG VKDOO EH LPSOHPHQWHG
WKURXJKRXW WKH OLIHF\FOH RI WKH V\VWHP :LWKLQ WKH 5$0 3URJUDPPH FRQVLGHUDWLRQ VKRXOG EH
JLYHQWRLQFOXGLQJWKHIROORZLQJWDVNV
D PDQDJHPHQWLQFOXGLQJGHWDLOVRI
£ WKHSROLF\DQGVWUDWHJ\IRUDFKLHYLQJ5$0UHTXLUHPHQWV
£ WKHVFRSHRIWKHSURJUDPPH
£ DGHVFULSWLRQRIWKHV\VWHP
£ WKH V\VWHP OLIHF\FOH DQG 5$0 WDVNV DQG SURFHVVHV WR EH XQGHUWDNHQ ZLWKLQ WKH OLIHF\FOH
VSHFLILFDOO\WKHRUGHURI5$0WDVNVWRHQVXUHPD[LPXPEHQHILWWRV\VWHPGHVLJQ
© BSI 2007
3DJH
EN 50126-1:1999
E UHOLDELOLW\LQFOXGLQJ
£ UHOLDELOLW\DQDO\VLVDQGSUHGLFWLRQLQFOXGLQJ
£ IXQFWLRQDODQDO\VLVDQGV\VWHPIDLOXUHGHILQLWLRQ
£ WRSGRZQDQDO\VLVIRUH[DPSOHIDXOWWUHHDQDO\VLVDQGEORFNGLDJUDPDQDO\VLV
£ ERWWRPXSDQDO\VLVIRUH[DPSOH)DLOXUH0RGHV(IIHFWV$QDO\VLV)0($
£ FRPPRQFDXVHIDLOXUHRUPXOWLSOHIDLOXUHDQDO\VLV
£ VHQVLWLYLW\DQDO\VLVDQGWUDGHRIIVWXGLHV
£ UHOLDELOLW\DSSRUWLRQPHQW
£ KXPDQPDFKLQHLQWHUIDFHDQDO\VLV
£ VWUHVVDQDO\VLV
£ ZRUVWFDVHSUHGLFWLRQDQGWROHUDQFHDQDO\VLV
£ UHOLDELOLW\SODQQLQJLQFOXGLQJ
£ UHOLDELOLW\GHVLJQUHYLHZSURJUDPPH
£ FRPSRQHQWUHOLDELOLW\DVVXUDQFHSURJUDPPH
£ VRIWZDUHTXDOLW\UHOLDELOLW\DVVXUDQFHSURJUDPPH
£ UHOLDELOLW\WHVWLQJLQFOXGLQJ
£ UHOLDELOLW\JURZWKWHVWLQJEDVHGRQIDLOXUHJHQHUDWLRQ
£ UHOLDELOLW\GHPRQVWUDWLRQWHVWLQJEDVHGRQH[SHFWHGIDLOXUHPRGHV
£ HQYLURQPHQWDOVWUHVVVFUHHQLQJ
£ OLIHWHVWLQJRIFRPSRQHQWV
£ V\VWHPOLIHWHVWLQJGXULQJHDUO\RSHUDWLRQ
£ UHOLDELOLW\GDWDDFTXLVLWLRQDQGDVVHVVPHQW
£ GDWDDQDO\VLVIRUUHOLDELOLW\LPSURYHPHQW
F PDLQWDLQDELOLW\LQFOXGLQJ
£ PDLQWDLQDELOLW\DQDO\VLVDQGSUHGLFWLRQLQFOXGLQJ
£ PDLQWDLQDELOLW\DQDO\VLVDQGYHULILFDWLRQ
£ PDLQWHQDQFHWDVNDQDO\VLV
£ HDVHRIPDLQWHQDQFHVWXGLHVDQGWHVWLQJ
£ KXPDQIDFWRUVPDLQWDLQDELOLW\FRQVLGHUDWLRQV
£ PDLQWDLQDELOLW\SODQQLQJLQFOXGLQJ
£ PDLQWDLQDELOLW\GHVLJQUHYLHZSURJUDPPH
£ HVWDEOLVKPHQWRIWKHPDLQWHQDQFHVWUDWHJ\
© BSI 2007
3DJH
EN 50126-1:1999
£ UHYLHZRIUHOLDELOLW\FHQWUHGPDLQWHQDQFHRSWLRQV
£ VRIWZDUHPDLQWHQDQFHSURJUDPPH
£ ORJLVWLFVXSSRUWHYDOXDWLRQLQFOXGLQJ
£ GHILQLWLRQRIPDLQWHQDQFHUHTXLUHPHQWV
£ GHILQLWLRQRIVSDUHVSROLF\DQGVXSSRUWUHVRXUFH
£ PDLQWHQDQFHSHUVRQQHODQGIDFLOLWLHV
£ SHUVRQQHOVDIHW\SUHFDXWLRQV
£ V\VWHPVXSSRUWUHTXLUHPHQWV
£ WUDLQLQJSURJUDPPHUHTXLUHPHQWV
£ V\VWHPWUDQVSRUWDWLRQSDFNDJLQJKDQGOLQJDQGVWRUDJHFRQGLWLRQV
£ PDLQWDLQDELOLW\GDWDDFTXLVLWLRQDQGDVVHVVPHQW
£ GDWDDQDO\VLVIRUPDLQWDLQDELOLW\LPSURYHPHQW
G DYDLODELOLW\LQFOXGLQJ
£ DYDLODELOLW\DQDO\VLV
£ VHQVLWLYLW\DQDO\VLVDQGWUDGHRIIVWXGLHV
£ DYDLODELOLW\GHPRQVWUDWLRQGXULQJHDUO\RSHUDWLRQ
£ DYDLODELOLW\GDWDDFTXLVLWLRQDQGDVVHVVPHQW
£ GDWDDQDO\VLVIRUDYDLODELOLW\LPSURYHPHQWDQGSUHGLFWLRQ
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRDPHQGWKH6DIHW\3ODQWRHQVXUHWKDWDOOIXWXUHSODQQHG
WDVNVDUHFRQVLVWHQWZLWKWKHV\VWHP¶VHPHUJHQW5$06UHTXLUHPHQWV
'HOLYHUDEOHV
7KH UHVXOWV RI WKLV SKDVH VKDOO EH GRFXPHQWHG DORQJ ZLWK DQ\ DVVXPSWLRQV DQG MXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
7KHSKDVHVKDOOSURGXFHDQXSGDWHG6DIHW\3ODQDQG$FFHSWDQFH3ODQ
7KHGHOLYHUDEOHVIURPWKLVSKDVHDUHDQLQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E V\VWHPUHTXLUHPHQWVVKDOOEHYHULILHGDJDLQVWWKHGHOLYHUDEOHVSURGXFHGZLWKLQSKDVHDQG
SKDVHLQFOXGLQJOLIHF\FOHFRVWLQJV
F VDIHW\ UHTXLUHPHQWV VKDOO EH YHULILHG DJDLQVW DQ\ VDIHW\ WDUJHWV DQG VDIHW\ SROLFLHV RI WKH
5DLOZD\$XWKRULW\
G 5$0 UHTXLUHPHQWV VKDOO EH YHULILHG DJDLQVW DQ\ 5$0 WDUJHWV DQG 5$0 SROLFLHV RI WKH
5DLOZD\$XWKRULW\
H DVVHVVPHQWRIWKHDGHTXDF\DQGFRPSOHWHQHVVRIWKH$FFHSWDQFH3ODQDQGWKH9DOLGDWLRQ
3ODQ
I DVVHVVPHQWRIWKHDGHTXDF\RIWKH5$03URJUDPPHLQFOXGLQJDUHYLHZRIWKHDGHTXDF\RI
DQ\GDWDVRXUFHVXVHG
J DVVHVVPHQWRIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
K FRPSHWHQFHDVVHVVPHQWRISHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
$Q\HUURUVRUVKRUWIDOOPD\UHTXLUHWKHUHDSSOLFDWLRQRIVRPHRUDOORIWKHDFWLYLWLHVRIRQHRU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
© BSI 2007
3DJH
EN 50126-1:1999
3KDVH$SSRUWLRQPHQWRIV\VWHPUHTXLUHPHQWV
2EMHFWLYHV
7KHREMHFWLYHVRIWKLVSKDVHDUHWR
D DSSRUWLRQ WKH RYHUDOO 5$06 UHTXLUHPHQWV IRU WKH V\VWHP WR GHVLJQDWHG VXEV\VWHPV FRPSRQHQWV
DQGH[WHUQDOIDFLOLWLHV
E GHILQH WKH 5$06 DFFHSWDQFH FULWHULD IRU WKH GHVLJQDWHG VXEV\VWHPV FRPSRQHQWV DQG H[WHUQDO
IDFLOLWLHV
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWVRIWKHSKDVHDQGLQSDUWLFXODUDOOGHOLYHUDEOHVSURGXFHGLQSKDVH
5HTXLUHPHQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWR
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRVSHFLI\UHTXLUHPHQWVIRUFRPSOLDQFHZLWKVXEV\VWHP
FRPSRQHQWDQGH[WHUQDOIDFLOLWLHVUHTXLUHPHQWVLQFOXGLQJ
£ DFFHSWDQFHFULWHULDIRUVXEV\VWHPFRPSRQHQWDQGH[WHUQDOIDFLOLWLHVUHTXLUHPHQWV
£ GHPRQVWUDWLRQ DQG DFFHSWDQFH SURFHVVHVDQG SURFHGXUHV IRU VXEV\VWHP FRPSRQHQW DQG
H[WHUQDOIDFLOLWLHVUHTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR UHYLHZ DQG XSGDWH WKH 6DIHW\ 3ODQ DQG WKH 9DOLGDWLRQ
3ODQWRHQVXUHWKDWSODQQHGWDVNVDUHFRQVLVWHQWZLWKWKHUHTXLUHPHQWVRIWKHV\VWHPIROORZLQJ
DSSRUWLRQPHQW.H\DUHDVRIFRQFHUQLQFOXGHUHTXLUHPHQWVIRUSHUVRQQHOLQGHSHQGHQFHDQGWKH
FRQWURORIV\VWHPLQWHUIDFHVZKHUHVDIHW\IXQFWLRQDOLW\PD\EHFRPSURPLVHG
'HOLYHUDEOHV
7KH UHVXOWV RI WKLV SKDVH VKDOO EH GRFXPHQWHG DORQJ ZLWK DQ\ DVVXPSWLRQV DQG MXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
7KLVSKDVHVKDOOSURGXFHDQXSGDWHG6DIHW\3ODQ
7KHGRFXPHQWVUHVXOWLQJIURPWKLVSKDVHVKDOOLQFOXGHWKHDOORFDWHGV\VWHPUHTXLUHPHQWVWRWKH
GHVLJQDWHGVXEV\VWHPVFRPSRQHQWVDQGH[WHUQDOIDFLOLWLHV
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
© BSI 2007
3DJH
EN 50126-1:1999
E YHULILFDWLRQRIV\VWHPVXEV\VWHPFRPSRQHQWDQGH[WHUQDOIDFLOLW\UHTXLUHPHQWVDJDLQVWWKH
GHOLYHUDEOHV SURGXFHG LQ SKDVH DQG LQFOXGLQJ D UHYLHZ RI WKH UHTXLUHPHQWV DJDLQVW WKH
OLIHF\FOHFRVWIRUWKHV\VWHP
F WKH DUFKLWHFWXUH IRU WKH WRWDO FRPELQDWLRQ RI GHVLJQDWHG VXEV\VWHPV FRPSRQHQWV DQG
H[WHUQDOIDFLOLWLHVVKDOOEHYHULILHGWRHQVXUHLWFRPSOLHVZLWKWKH5$06UHTXLUHPHQWVIRUWKH
WRWDOV\VWHP
G WKH5$06UHTXLUHPHQWVIRUVXEV\VWHPFRPSRQHQWDQGH[WHUQDOIDFLOLWLHV VKDOO EH YHULILHG
WRHQVXUHWKDWWKH\DUHWUDFHDEOHWRWKH5$06UHTXLUHPHQWVIRUWKHV\VWHP
H WKH5$06UHTXLUHPHQWVIRUVXEV\VWHPFRPSRQHQWDQGH[WHUQDOIDFLOLWLHV VKDOO EH YHULILHG
WRHQVXUHFRPSOHWHQHVVDQGFRQVLVWHQF\EHWZHHQIXQFWLRQV
I WKH UHYLVHG 6DIHW\ SODQ DQG 9DOLGDWLRQ SODQ VKDOO EH YHULILHG WR HQVXUH LWV FRQWLQXHG
DSSOLFDELOLW\
J DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
K DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
$Q\HUURUVRUVKRUWIDOOPD\UHTXLUHWKHUHDSSOLFDWLRQRIVRPHRUDOORIWKHDFWLYLWLHVRIRQHRU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
3KDVH'HVLJQDQGLPSOHPHQWDWLRQ
2EMHFWLYHV
7KHREMHFWLYHVRIWKLVSKDVHDUHWR
D FUHDWHVXEV\VWHPVDQGFRPSRQHQWVFRQIRUPLQJWR5$06UHTXLUHPHQWV
E GHPRQVWUDWHVXEV\VWHPVDQGFRPSRQHQWVFRQIRUPWR5$06UHTXLUHPHQWV
F HVWDEOLVKSODQVIRUIXWXUHOLIHF\FOHWDVNVLQYROYLQJ5$06
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWDQGLQSDUWLFXODUWKHGHOLYHUDEOHVSURGXFHGLQSKDVHDQGSKDVH
5HTXLUHPHQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRGHVLJQWKHVXEV\VWHPVDQGFRPSRQHQWVWRPHHW5$06
UHTXLUHPHQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRUHDOL]HWKHGHVLJQRIWKHVXEV\VWHPVDQGFRPSRQHQWV
WRPHHW5$06UHTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR HVWDEOLVK SODQV LQ WKH FRQWH[W RI 5$06 IRU IXWXUH
OLIHF\FOHWDVNVLQFOXGLQJ
£ LQVWDOODWLRQ
£ FRPPLVVLRQLQJ
£RSHUDWLRQ DQG PDLQWHQDQFH LQFOXGLQJ GHILQLWLRQ RI RSHUDWLRQ DQG PDLQWHQDQFH
SURFHGXUHV
£ GDWDDFTXLVLWLRQDQGDVVHVVPHQWGXULQJRSHUDWLRQ
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR GHILQH YHULI\ DQG HVWDEOLVK D PDQXIDFWXULQJ SURFHVV
FDSDEOHRISURGXFLQJ5$06YDOLGDWHGVXEV\VWHPVDQGFRPSRQHQWVJLYLQJFRQVLGHUDWLRQWRWKH
XVHRI
£ HQYLURQPHQWDOVWUHVVVFUHHQLQJ
£ 5$0LPSURYHPHQWWHVWLQJ
© BSI 2007
3DJH
EN 50126-1:1999
£ LQVSHFWLRQDQGWHVWLQJIRU5$06UHODWHGIDLOXUHPRGHV
£ LPSOHPHQWDWLRQRIUHTXLUHPHQWRIWKHVDIHW\SODQLWHPGRI
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWR
D SUHSDUHD*HQHULF6DIHW\&DVHIRUWKHV\VWHPMXVWLI\LQJWKDWWKHV\VWHPDVGHVLJQHGDQG
LQGHSHQGHQWRIDSSOLFDWLRQPHHWVVDIHW\UHTXLUHPHQWV7KH6DIHW\&DVHUHTXLUHVDSSURYDO
E\WKH5DLOZD\$XWKRULW\DQGVKRXOGLQFOXGH
£ DQRYHUYLHZRIWKHV\VWHP
£ D VXPPDU\ RU UHIHUHQFH WR WKH VDIHW\ UHTXLUHPHQWV LQFOXGLQJ D FRQVLGHUDWLRQ RI WKH 6,/
MXVWLILFDWLRQVIRUVDIHW\IXQFWLRQV
£ DVXPPDU\RIWKHTXDOLW\DQGVDIHW\PDQDJHPHQWFRQWUROVDGRSWHGZLWKLQWKHOLIHF\FOH
£ DVXPPDU\RIVDIHW\DVVHVVPHQWDQGVDIHW\DXGLWWDVNV
£ DVXPPDU\RIVDIHW\DQDO\VLVWDVNV
£ DQRYHUYLHZRIWKHVDIHW\HQJLQHHULQJWHFKQLTXHVHPSOR\HGZLWKLQWKHV\VWHP
£ YHULILFDWLRQRIWKHPDQXIDFWXULQJSURFHVV
£ DGHTXDF\ RI FRPSOLDQFH ZLWK VDIHW\ UHTXLUHPHQWV LQFOXGLQJ DQ\ 6,/ UHTXLUHPHQWV RI WKH
V\VWHP
£ DVXPPDU\RIDQ\OLPLWDWLRQVDQGFRQVWUDLQWVDSSO\LQJWRWKHV\VWHP
£ DQ\ VSHFLDO H[HPSWLRQ RU VSHFLILFLW\ LPSRVHG DQG MXVWLILHG E\ WKH FRQWUDFW WR WKH XVXDO
UHTXLUHPHQWVRIWKLV6WDQGDUG
E SUHSDUH DQ $SSOLFDWLRQ 6DIHW\ &DVH LI DSSURSULDWH DW WKLV VWDJH IRU WKH V\VWHP 7KH
$SSOLFDWLRQ6DIHW\&DVHEXLOGVRQWKH*HQHULF6DIHW\&DVHMXVWLI\LQJWKDWWKHGHVLJQRIWKH
V\VWHPDQGLWVSK\VLFDOUHDOL]DWLRQLQFOXGLQJLQVWDOODWLRQDQGWHVWSKDVHVIRUDVSHFLILFFODVV
RIDSSOLFDWLRQPHHWVDIHW\UHTXLUHPHQWV7KH$SSOLFDWLRQ6DIHW\&DVHUHTXLUHVDSSURYDOE\
WKH5DLOZD\$XWKRULW\DQGVKRXOGLQFOXGH
£ DOODGGLWLRQDOLQIRUPDWLRQQHFHVVDU\WRMXVWLI\V\VWHPVDIHW\IRUWKHFODVVRIDSSOLFDWLRQXQGHU
FRQVLGHUDWLRQ
£ DQ\OLPLWDWLRQVRUFRQVWUDLQWVUHOHYDQWWRWKHDSSOLFDWLRQRIWKHV\VWHP
'HOLYHUDEOHV
7KHUHVXOWVRIWKLVSKDVHVKDOOEHGRFXPHQWHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
$UHFRUGRIDOO5$06YDOLGDWLRQWDVNVXQGHUWDNHQZLWKLQWKHSKDVHVKDOOEHPDLQWDLQHG
'HWDLOHGSODQVIRUIXWXUHOLIHF\FOHWDVNVLQWKHFRQWH[WRI5$06VKDOOEHSURGXFHG
2SHUDWLRQ DQG 0DLQWHQDQFH 3URFHGXUHV LQFOXGLQJ DOO WKH UHOHYDQW LQIRUPDWLRQ IRU SURYLGLQJ
VSDUHSDUWVSDUWLFXODUO\VDIHW\UHODWHGLWHPVVKDOOEHSURGXFHGZLWKLQWKLVSKDVH
$*HQHULF6DIHW\&DVHVKDOOEHSURGXFHGZLWKLQWKLVSKDVH
$Q$SSOLFDWLRQ6DIHW\&DVHPD\EHSURGXFHGZLWKLQWKLVSKDVH
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E YHULILFDWLRQE\DQDO\VLVDQGWHVWWKDWVXEV\VWHPDQGFRPSRQHQWGHVLJQFRPSOLHVZLWKWKH
5$06UHTXLUHPHQWV
© BSI 2007
3DJH
EN 50126-1:1999
F YHULILFDWLRQ E\ DQDO\VLV DQG WHVW WKDW VXEV\VWHPV DQG FRPSRQHQWV UHDOL]DWLRQ FRPSOLHV
ZLWKGHVLJQV
G YDOLGDWLRQRIVXEV\VWHPDQGFRPSRQHQWUHDOL]DWLRQWRHQVXUHWKDW WKH UHDOL]DWLRQ FRPSOLHV
ZLWK 5$06 DFFHSWDQFH FULWHULD IRU VXEV\VWHP DQG FRPSRQHQWV LQFOXGLQJ OLIHF\FOH
UHTXLUHPHQWV
H YHULILFDWLRQ E\ DQDO\VLV DQG WHVW WKDW WKH PDQXIDFWXULQJ DUUDQJHPHQWV SURGXFH 5$06
YDOLGDWHGVXEV\VWHPVDQGFRPSRQHQWV
I YHULILFDWLRQWKDWDOOIXWXUHOLIHF\FOHDFWLYLW\SODQVDUHFRQVLVWHQWZLWK5$06UHTXLUHPHQWVIRU
WKHV\VWHPLQFOXGLQJOLIHF\FOHFRVWUHTXLUHPHQWV
J DVVHVVPHQW RI WKH DGHTXDF\ DQG FRPSOHWHQHVV RI WKH JHQHULF VDIHW\ FDVH DQG ZKHUH
DSSURSULDWHWKHDSSOLFDWLRQVDIHW\FDVH
K DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
L DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
M HQVXUHWKHFRQWLQXHGDSSOLFDELOLW\RIWKH5$06YDOLGDWLRQSODQ
$Q\HUURUVRUVKRUWIDOOPD\UHTXLUHWKHUHDSSOLFDWLRQRIVRPHRUDOORIWKHDFWLYLWLHVRIRQHRU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
3KDVH0DQXIDFWXULQJ
2EMHFWLYHV
7KHREMHFWLYHVRIWKLVSKDVHDUHWR
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWDQGLQSDUWLFXODUWKHGHVLJQGHOLYHUDEOHVSURGXFHGLQSKDVH
5HTXLUHPHQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRYHULI\DQGLPSOHPHQWWKHPDQXIDFWXULQJSURFHVV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR HVWDEOLVK VXEV\VWHP DQG FRPSRQHQW VXSSRUW
DUUDQJHPHQWVLQFOXGLQJ
£ SUHSDUDWLRQ YHULILFDWLRQ DQG YDOLGDWLRQ RI VXEV\VWHP DQG FRPSRQHQW 5$06 VXSSRUW
GRFXPHQWDWLRQ
£ SUHSDUDWLRQ YHULILFDWLRQ DQG YDOLGDWLRQ RI RSHUDWLRQ DQG PDLQWHQDQFH SURFHGXUHV LQ WKH
FRQWH[WRI5$06
£ SUHSDUDWLRQYHULILFDWLRQDQGYDOLGDWLRQRIVXEV\VWHPDQGFRPSRQHQWWUDLQLQJPDWHULDOLQWKH
FRQWH[WRI5$06
7KHDERYHGRFXPHQWDWLRQSURFHGXUHVDQGWUDLQLQJPDWHULDOVKDOOEHUHYLHZHGLQDOOVXEVHTXHQWSKDVHV
5HTXLUHPHQWRIWKLVSKDVHPD\LIDSSURSULDWHEHWR
D SODQPDQXIDFWXULQJWRPHHWUHTXLUHPHQWV
E LPSOHPHQWPDQXIDFWXULQJWRPHHWUHTXLUHPHQWV
F LPSOHPHQW5$06SURFHVVDVVXUDQFHWRDYRLGSRWHQWLDO5$06UHODWHGIDLOXUHPRGHV
© BSI 2007
3DJH
EN 50126-1:1999
'HOLYHUDEOHV
7KHUHVXOWVRIWKLVSKDVHVKDOOEHGRFXPHQWHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
$UHFRUGRIDOO5$06YDOLGDWLRQWDVNVXQGHUWDNHQZLWKLQWKHSKDVHVKDOOEHPDLQWDLQHG
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E YHULILFDWLRQ WKDW 5$06 VXSSRUW GRFXPHQWDWLRQ LV FRUUHFW DGHTXDWH DQG FRQVLVWHQW ZLWK
OLIHF\FOHFRVWUHTXLUHPHQWVDQGDQ\WDUJHW5$06UHTXLUHPHQWVGHILQHGIRUWKHV\VWHP
F DVVHVVPHQWWRHQVXUHWKDWWKHSURGXFWVEHLQJSURGXFHGPDQXIDFWXUHGFRPSO\ZLWKV\VWHP
UHTXLUHPHQWV
G DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
H DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
$Q\HUURUVRUVKRUWIDOOPD\UHTXLUHWKHUHDSSOLFDWLRQRIVRPHRUDOORIWKHDFWLYLWLHVRIRQHRU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
3KDVH,QVWDOODWLRQ
2EMHFWLYHV
7KHREMHFWLYHRIWKLVSKDVHVKDOOEHWR
D DVVHPEOH DQG LQVWDOO WKH WRWDO FRPELQDWLRQ RI VXEV\VWHPV DQG FRPSRQHQWV UHTXLUHG WR IRUP WKH
FRPSOHWHV\VWHP
E LQLWLDWHV\VWHPVXSSRUWDUUDQJHPHQWV
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWDQGLQSDUWLFXODUWKH,QVWDOODWLRQ3ODQSUHSDUHGLQSKDVHWKHVXEV\VWHPVDQG
FRPSRQHQWVPDQXIDFWXUHGLQSKDVHDQGWKH5$06VXSSRUWGRFXPHQWDWLRQSUHSDUHGLQSKDVH
5HTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR DVVHPEOH DQG LQVWDOO WKH WRWDO FRPELQDWLRQ RI VXE
V\VWHPVFRPSRQHQWVDQGH[WHUQDOIDFLOLWLHVUHTXLUHGWRIRUPWKHFRPSOHWHV\VWHPDFFRUGLQJWR
WKH,QVWDOODWLRQ3ODQ
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRGRFXPHQWWKHLQVWDOODWLRQSURFHVVLQFOXGLQJ
£ UHYLHZSODQVLQWKHFRQWH[WRIUHTXLUHPHQWRIWKHGHVLJQDQGLPSOHPHQWDWLRQSKDVH
£ LQVWDOODWLRQWDVNV
£ DFWLRQWDNHQWRUHVROYHIDLOXUHVDQGLQFRPSDWLELOLWLHV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRUHYLHZDQGXSGDWHWKH6DIHW\3ODQIROORZLQJFRPSOHWLRQ
RI LQVWDOODWLRQ WR HQVXUH WKDW DQ\ FKDQJHV WR HLWKHU V\VWHP RU SURFHGXUHV DUH UHFRUGHG DQG
HIIHFWLYHO\PDQDJHGLQIXWXUHOLIHF\FOHWDVNV
© BSI 2007
3DJH
EN 50126-1:1999
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWR
D VWDUWVWDIIWUDLQLQJ
E PDNHVXSSRUWSURFHGXUHVDYDLODEOH
F HVWDEOLVKVSDUHSDUWVSURYLVLRQ
G HVWDEOLVKWRROSURYLVLRQ
'HOLYHUDEOHV
7KHUHVXOWVRIWKLVSKDVHVKDOOEHGRFXPHQWHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
$UHFRUGRIDOO5$06YDOLGDWLRQWDVNVXQGHUWDNHQZLWKLQWKHSKDVHLQFOXGLQJWKHLQVWDOODWLRQ
DFWLYLW\VKDOOEHPDLQWDLQHG
$QXSGDWHG6DIHW\3ODQVKDOOEHSURGXFHGZLWKLQWKLVSKDVH
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E YHULILFDWLRQ WKDW WKH LQVWDOODWLRQ DFWLYLW\ ZDV FDUULHG RXW LQ DFFRUGDQFH ZLWK WKH ,QVWDOODWLRQ
3ODQ
F YHULILFDWLRQE\DQDO\VLVDQGWHVWWKDWWKHLQVWDOOHGV\VWHPPHHWVWKH5$06UHTXLUHPHQWV
G DVVHVVPHQWRIWKHVDIHW\SODQWRHQVXUHLWVFRQWLQXHGDSSOLFDELOLW\
H DVVHVVPHQWRIWKHDGHTXDF\DQGHIIHFWLYHQHVVRIV\VWHPVXSSRUWDUUDQJHPHQWV
I DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
J DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
$Q\HUURUVRUVKRUWIDOOPD\UHTXLUHWKHUHDSSOLFDWLRQRIVRPHRUDOORIWKHDFWLYLWLHVRIRQHRU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
3KDVH6\VWHPYDOLGDWLRQLQFOXGLQJVDIHW\DFFHSWDQFHDQGFRPPLVVLRQLQJ
2EMHFWLYHV
7KHREMHFWLYHVRIWKLVSKDVHDUHWR
D YDOLGDWHWKDWWKHWRWDOFRPELQDWLRQRIVXEV\VWHPVFRPSRQHQWVDQGH[WHUQDOULVNUHGXFWLRQ
PHDVXUHVFRPSO\ZLWKWKH5$06UHTXLUHPHQWVIRUWKHV\VWHP
E FRPPLVVLRQ WKH WRWDO FRPELQDWLRQ RI VXEV\VWHPV FRPSRQHQWV DQG H[WHUQDO ULVN UHGXFWLRQ
PHDVXUHV
F SUHSDUHDQGLIDSSURSULDWHDFFHSWWKH$SSOLFDWLRQ6SHFLILF6DIHW\&DVHIRUWKHV\VWHP
G SURYLGHIRUGDWDDFTXLVLWLRQDQGDVVHVVPHQW
,W LV LPSRUWDQW WR QRWH WKDW WKH UHTXLUHPHQWV RI SKDVH 6\VWHP $FFHSWDQFH PD\ EH
LQWHJUDWHG ZLWK WKH UHTXLUHPHQWV RI WKLV SKDVH SKDVH LI DSSURSULDWH WR WKH V\VWHP XQGHU
FRQVLGHUDWLRQ,IWKLVLVWKHFDVHWKHQWKHGHOLYHUDEOHVIURPWKLV3KDVHVKDOOGHPRQVWUDWHWKDW
WKHUHTXLUHPHQWVRISKDVHKDYHEHHQDGHTXDWHO\IXOILOOHGLQWKHUHDOL]DWLRQRISKDVH
© BSI 2007
3DJH
EN 50126-1:1999
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHW WKH UHTXLUHPHQW DQG LQ SDUWLFXODU WKH V\VWHP UHTXLUHPHQWV SURGXFHG LQ SKDVH WKH 9HULILFDWLRQ
DQG9DOLGDWLRQ3ODQSURGXFHGLQSKDVHWKH&RPPLVVLRQLQJ3ODQSURGXFHGLQSKDVHDQGWKHWUDLQLQJ
PDWHULDOSUHSDUHGLQSKDVH
5HTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR YDOLGDWH WKH WRWDO FRPELQDWLRQ RI VXEV\VWHPV
FRPSRQHQWV DQG H[WHUQDO ULVN UHGXFWLRQ PHDVXUHV DFFRUGLQJ WR WKH 9DOLGDWLRQ 3ODQ DQG
UHFRUGWKHYDOLGDWLRQSURFHVVLQFOXGLQJ
£ GHWDLOVRI5$06YDOLGDWLRQWDVNVDJDLQVWDFFHSWDQFHFULWHULDLQFOXGLQJ5$0GHPRQVWUDWLRQV
DQGVDIHW\DQDO\VLV
£ GHWDLOVRISURFHVVWRROVHTXLSPHQWXVHGIRUYDOLGDWLRQWDVNVDJDLQVWDFFHSWDQFHFULWHULD
£ UHVXOWVRIYDOLGDWLRQWDVNVIRUDOODFFHSWDQFHFULWHULD
£ DQ\OLPLWDWLRQVDQGFRQVWUDLQWVDSSO\LQJWRWKHV\VWHP
£ DFWLRQWDNHQWRUHVROYHIDLOXUHVDQGLQFRPSDWLELOLWLHV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWR
D FRPPLVVLRQ WKH WRWDO FRPELQDWLRQ RI VXEV\VWHPV FRPSRQHQWV DQG H[WHUQDO ULVN UHGXFWLRQ
PHDVXUHV DFFRUGLQJ WR WKH &RPPLVVLRQLQJ 3ODQ DQG UHFRUG WKH FRPPLVVLRQLQJ SURFHVV
LQFOXGLQJ
£ FRPPLVVLRQLQJWDVNV
£ IDLOXUHUHSRUWLQJDQGDVVHVVPHQWWDVNV
£ DFWLRQWDNHQWRUHVROYHIDLOXUHVDQGLQFRPSDWLELOLWLHV
£ GHWDLOVRIDQ\OLPLWDWLRQVRUFRQVWUDLQWVRQWKHXVHRIWKHV\VWHP
E XQGHUWDNHSUREDWLRQDU\SHULRGRIRSHUDWLRQLIUHTXLUHGWRHQDEOHWKHUHVROXWLRQRILQVHUYLFH
V\VWHP SUREOHPV :KHUH XVH LV PDGH RI D SUREDWLRQDU\ SHULRG RI RSHUDWLRQ DV SDUW RI
V\VWHP DFFHSWDQFH FRQVLGHUDWLRQ VKDOO EH JLYHQ WR WKH QHHG IRU V\VWHP VDIHW\ WR EH
GHPRQVWUDWHGSULRUWRRSHUDWLRQRIWKHV\VWHPLQUHYHQXHHDUQLQJVHUYLFH
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRSUHSDUHDQ$SSOLFDWLRQ6DIHW\&DVHIRUWKHV\VWHPLIQRW
DOUHDG\SUHSDUHGLQSKDVHLWHPRIWRMXVWLI\WKDWWKHV\VWHPDVVSHFLILFDOO\DSSOLHG
ZLWKLQ WKLV DSSOLFDWLRQ FRPSOLHV ZLWK WKH V\VWHP VDIHW\ UHTXLUHPHQWV 7KH $SSOLFDWLRQ 6DIHW\
&DVHUHTXLUHVDSSURYDOE\WKH5DLOZD\$XWKRULW\DQGVKRXOGLQFOXGH
£ DQRYHUYLHZRIWKHV\VWHP
£ D VXPPDU\ RU UHIHUHQFH WR WKH VDIHW\ UHTXLUHPHQWV LQFOXGLQJ D FRQVLGHUDWLRQ RI WKH 6,/
MXVWLILFDWLRQVIRUVDIHW\IXQFWLRQVZLWKLQWKHDSSOLFDWLRQ
£ DVXPPDU\RIWKHTXDOLW\DQGVDIHW\PDQDJHPHQWFRQWUROVDGRSWHGZLWKLQWKHOLIHF\FOH
£ DVXPPDU\RIVDIHW\DVVHVVPHQWDQGVDIHW\DXGLWWDVNV
£ DVXPPDU\RIVDIHW\DQDO\VLVWDVNV
£ DQRYHUYLHZRIWKHVDIHW\HQJLQHHULQJWHFKQLTXHVHPSOR\HGZLWKLQWKHV\VWHP
£ DGHTXDF\ RI FRPSOLDQFH ZLWK VDIHW\ UHTXLUHPHQWV IRU WKH V\VWHP LQFOXGLQJ DGHTXDF\ RI
FRPSOLDQFH ZLWK WKH 6,/ UHTXLUHPHQWV RI WKH DSSOLFDWLRQ LQFOXGLQJ LWV SK\VLFDO UHDOL]DWLRQ
ZLWKLQWKHVSHFLILFDSSOLFDWLRQ
£ DVXPPDU\RIDQ\OLPLWDWLRQVDQGFRQVWUDLQWVDSSO\LQJWRWKHDSSOLFDWLRQ
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR HVWDEOLVK DQG LPSOHPHQW D SURFHVV IRU WKH DFTXLVLWLRQ
DQGDVVHVVPHQWRIRSHUDWLRQDOGDWDDVDQLQSXWWRDV\VWHPLPSURYHPHQWSURFHVV
© BSI 2007
3DJH
EN 50126-1:1999
'HOLYHUDEOHV
7KHUHVXOWVRIWKLVSKDVHVKDOOEHGRFXPHQWHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
$ UHFRUG RI DOO 5$06 YDOLGDWLRQ WDVNV XQGHUWDNHQ ZLWKLQ WKH SKDVH LQFOXGLQJ WKH
FRPPLVVLRQLQJDFWLYLW\VKDOOEHPDLQWDLQHG
$Q$SSOLFDWLRQ6SHFLILF6DIHW\&DVHVKDOOEHSURGXFHGIRUWKHV\VWHPZLWKLQWKLVSKDVH
$UHFRUGRIDOO$FFHSWDQFH7DVNVXQGHUWDNHQZLWKLQWKLVSKDVHVKDOOEHPDLQWDLQHG
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJSURFHVVYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E YHULILFDWLRQ DQG YDOLGDWLRQ E\ DQDO\VLV DQG WHVW WKDW WKH LQVWDOOHG V\VWHP PHHWV 5$06
UHTXLUHPHQWV ,W VKRXOG EH QRWHG WKDW IRU VRPH UDLOZD\ V\VWHPV DFFHSWDQFH RI WKH
$SSOLFDWLRQ 6SHFLILF 6DIHW\ &DVH ZLOO EH UHTXLUHG SULRU WR LQVWDOODWLRQ DQG FRPPLVVLRQLQJ
DFWLYLWLHVWDNLQJSODFH
F YHULILFDWLRQ WKDW WKH FRPPLVVLRQLQJ DFWLYLW\ ZDV FDUULHG RXW LQ DFFRUGDQFH ZLWK WKH
&RPPLVVLRQLQJ3ODQ
G DVVHVVPHQWRIWKHDGHTXDF\DQGHIIHFWLYHQHVVRIWKHRSHUDWLRQDOGDWDFROOHFWLRQV\VWHP
H DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
I DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
$Q\HUURUVRUVKRUWIDOOPD\UHTXLUHWKHUHDSSOLFDWLRQRIVRPHRUDOORIWKHDFWLYLWLHVRIRQHRU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
3KDVH6\VWHPDFFHSWDQFH
2EMHFWLYHV
7KHREMHFWLYHVRIWKLVSKDVHDUHWR
D DVVHVV FRPSOLDQFH RI WKH WRWDO FRPELQDWLRQ RI VXEV\VWHPV FRPSRQHQWV DQG H[WHUQDO ULVN
UHGXFWLRQPHDVXUHVZLWKWKHRYHUDOO5$06UHTXLUHPHQWVRIWKHFRPSOHWHV\VWHP
E DFFHSWWKHV\VWHPIRUHQWU\LQWRVHUYLFH
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHW WKH UHTXLUHPHQW DQG LQ SDUWLFXODU WKH V\VWHP UHTXLUHPHQWV SUHSDUHG LQ SKDVH WKH 9HULILFDWLRQ
DQG 9DOLGDWLRQ 3ODQ DQG $FFHSWDQFH 3ODQ SUHSDUHG LQ SKDVH DQG WKH UHFRUG RI YHULILFDWLRQ DQG
YDOLGDWLRQWDVNVSUHSDUHGLQSKDVH
5HTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR DVVHVV DOO V\VWHP YHULILFDWLRQ DQG YDOLGDWLRQ WDVNV
VSHFLILFDOO\ WKH 5$0 YHULILFDWLRQ DQG YDOLGDWLRQ DQG WKH $SSOLFDWLRQ 6SHFLILF 6DIHW\ &DVH LQ
DFFRUGDQFHZLWKWKH6\VWHP$FFHSWDQFH3ODQ
© BSI 2007
3DJH
EN 50126-1:1999
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR IRUPDOO\ DFFHSW WKH V\VWHP IRU HQWU\ LQWR VHUYLFH LI
DSSURSULDWH
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR UHYLHZ DQG XSGDWH WKH +D]DUG /RJ WR UHFRUG DQ\
UHVLGXDO KD]DUGV LGHQWLILHG GXULQJ V\VWHP YDOLGDWLRQ RU DFFHSWDQFH DQG WR HQVXUH WKDW WKH
ULVNVIURPDQ\VXFKKD]DUGVDUHHIIHFWLYHO\PDQDJHG
'HOLYHUDEOHV
7KHUHVXOWVRIWKLVSKDVHVKDOOEHGRFXPHQWHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
$UHFRUGRIDOODFFHSWDQFHWDVNVXQGHUWDNHQZLWKLQWKHSKDVHVKDOOEHPDLQWDLQHG
$QXSGDWHG+D]DUG/RJVKDOOEHSURGXFHGZLWKLQWKLVSKDVH
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E DFFHSWDQFHE\DQDO\VLVDQGWHVWWKDWWKHV\VWHPPHHWVWKH5$06UHTXLUHPHQWVLQFOXGLQJ
OLIHF\FOHFRVWUHTXLUHPHQWV
F YHULILFDWLRQWKDWWKHDFFHSWDQFHDFWLYLW\ZDVFDUULHGRXWLQDFFRUGDQFHZLWKWKH$FFHSWDQFH
3ODQ
G DVVHVVPHQWRIWKHFRQWLQXHGDSSOLFDELOLW\RIWKHUHYLVHGVDIHW\SODQ
H DVVHVVPHQWWRHQVXUHWKDWDQ\UHVLGXDOKD]DUGVDUHEHLQJPDQDJHGHIIHFWLYHO\
I DVVHVVPHQWRIWKHDGHTXDF\DQGFRPSOHWHQHVVRIWKHDSSOLFDWLRQVSHFLILFVDIHW\FDVH
J DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
K DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
$Q\HUURUVRUVKRUWIDOOPD\UHTXLUHWKHUHDSSOLFDWLRQRIVRPHRUDOORIWKHDFWLYLWLHVRIRQHRU
PRUHSUHYLRXVOLIHF\FOHSKDVHV
3KDVH2SHUDWLRQDQGPDLQWHQDQFH
2EMHFWLYHV
7KH REMHFWLYH RI WKLV SKDVH VKDOO EH WR RSHUDWH ZLWKLQ VSHFLILHG OLPLWV PDLQWDLQ DQG VXSSRUW WKH WRWDO
FRPELQDWLRQ RI VXEV\VWHPV FRPSRQHQWV DQG H[WHUQDO ULVN UHGXFWLRQ PHDVXUHV VXFK WKDW FRPSOLDQFH
ZLWKV\VWHP5$06UHTXLUHPHQWVLVPDLQWDLQHG
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWDQGLQSDUWLFXODUWKHRSHUDWLRQDQGPDLQWHQDQFHSURFHGXUHVSUHSDUHGLQSKDVH
5HTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR PRQLWRU LPSOHPHQWDWLRQ RI WKH V\VWHP DQG WR
LPSOHPHQW WKH RSHUDWLRQ DQG PDLQWHQDQFH SURFHGXUHV SDUWLFXODUO\ ZLWK UHJDUG WR V\VWHP
SHUIRUPDQFHDQGOLIHF\FOHFRVWLVVXHV
© BSI 2007
3DJH
EN 50126-1:1999
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRDVVXUHFRPSOLDQFHZLWKV\VWHP5$06UHTXLUHPHQWV
WKURXJKRXWWKLVSKDVHE\
D UHJXODUUHYLHZDQGXSGDWHRIRSHUDWLRQDQGPDLQWHQDQFHSURFHGXUHV
E UHJXODUUHYLHZRIV\VWHPWUDLQLQJGRFXPHQWDWLRQ
F UHJXODUUHYLHZDQGXSGDWHRI+D]DUG/RJDQG6DIHW\&DVH
G HIIHFWLYH ORJLVWLF VXSSRUW LQFOXGLQJ VSDUH SDUWV WRROV FDOLEUDWLRQ FRPSHWHQW VWDII 5$06
IRFXVHGPDLQWHQDQFH
H PDLQWHQDQFHRIWKHIDLOXUHUHSRUWLQJDQGFRUUHFWLYHDFWLRQV\VWHP)5$&$6
'HOLYHUDEOHV
$UHFRUGRIDOO5$06WDVNVXQGHUWDNHQZLWKLQWKHSKDVHVKDOOEHPDLQWDLQHGDORQJZLWKDQ\
DVVXPSWLRQVDQGMXVWLILFDWLRQVPDGHGXULQJWKHSKDVH
6\VWHPGRFXPHQWDWLRQVKDOOEHXSGDWHGDVDSSURSULDWHZLWKLQWKLVSKDVH
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E YHULILFDWLRQ WKDW FKDQJHV LQ VXSSRUW DUUDQJHPHQWV DUH FRQVLVWHQW ZLWK V\VWHP 5$06
UHTXLUHPHQWVDQGOLIHF\FOHFRVWUHTXLUHPHQWV
F DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
G DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
3KDVH3HUIRUPDQFHPRQLWRULQJ
2EMHFWLYHV
7KHREMHFWLYHRIWKLVSKDVHVKDOOEHWRPDLQWDLQFRQILGHQFHLQWKH5$06SHUIRUPDQFHRIWKHV\VWHP
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQWSDUWLFXODUO\V\VWHP5$06UHTXLUHPHQWVDQGV\VWHPVXSSRUWGDWD
5HTXLUHPHQWV
5HTXLUHPHQW RI WKLV SKDVH VKDOO EH WR HVWDEOLVK LPSOHPHQW DQG UHJXODUO\ UHYLHZ D SURFHVV
IRU
£ WKHFROOHFWLRQRIRSHUDWLRQDOSHUIRUPDQFHDQG5$06VWDWLVWLFV
£ WKHDFTXLVLWLRQDQDO\VLVDQGHYDOXDWLRQRISHUIRUPDQFHDQG5$06GDWD
£ FKHFNLQJWKDWWKHDVVXPSWLRQVPDGHLQWKHVDIHW\FDVHUHPDLQYDOLG
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRDQDO\VHSHUIRUPDQFHDQG5$06GDWDDQGVWDWLVWLFVWR
LQIOXHQFH
£ QHZRSHUDWLQJDQGPDLQWHQDQFHSURFHGXUHV
£ FKDQJHVLQORJLVWLFVXSSRUWIRUWKHV\VWHP
© BSI 2007
3DJH
EN 50126-1:1999
'HOLYHUDEOHV
$ UHFRUG RI DOO SHUIRUPDQFH PRQLWRULQJ WDVNV XQGHUWDNHQ ZLWKLQ WKH SKDVH VKDOO EH
PDLQWDLQHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQVPDGHGXULQJWKHSKDVH
6\VWHPVXSSRUWGRFXPHQWDWLRQPD\EHXSGDWHGZLWKLQWKLVSKDVH
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJSURFHVVYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E YHULILFDWLRQ WKDW FKDQJHV LQ VXSSRUW DUUDQJHPHQWV DUH FRQVLVWHQW ZLWK V\VWHP 5$06
UHTXLUHPHQWVDQGOLIHF\FOHFRVWUHTXLUHPHQWV
F DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
G DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
3KDVH0RGLILFDWLRQDQGUHWURILW
2EMHFWLYHV
7KHREMHFWLYHRIWKLVSKDVHVKDOOEHWRFRQWUROV\VWHPPRGLILFDWLRQDQGUHWURILWWDVNVWRPDLQWDLQV\VWHP
5$06UHTXLUHPHQWV
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQW
5HTXLUHPHQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRHVWDEOLVKDVDIHW\SODQ
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRHVWDEOLVKLPSOHPHQWDQGUHJXODUO\UHYLHZDSURFHVV
WRFRQWUROV\VWHPPRGLILFDWLRQDQGUHWURILWLQWKHFRQWH[WRI5$06LQFOXGLQJ
£ FRQWUROWKURXJKWKHPDQGDWRU\XVHRIDQDSSURSULDWHOLIHF\FOHPRGHOIRUDOOPRGLILFDWLRQDQG
UHWURILWWLQJWDVNV
£ D UHTXLUHPHQW WR HVWDEOLVK D SURFHGXUH IRU YHULI\LQJ YDOLGDWLQJ DQG DFFHSWLQJ WKH 5$06
SHUIRUPDQFHRIWKHV\VWHPIROORZLQJPRGLILFDWLRQDQGUHWURILW
£ DUHTXLUHPHQWWRDQDO\VHWKHUHDVRQVIRUWKHFKDQJH
£ DUHTXLUHPHQWWRFDUU\RXWD5$06LPSDFWDQDO\VLVRIWKHFKDQJHLQFOXGLQJWKHLPSDFWRQ
OLIHF\FOHFRVWUHTXLUHPHQWV
£ DUHTXLUHPHQWWRSODQWKHLPSOHPHQWDWLRQDQGVXEVHTXHQWDFFHSWDQFHRIWKHFKDQJH
£ DUHTXLUHPHQWWRUHFRUGPRGLILFDWLRQDQGUHWURILWWDVNV
£ DUHTXLUHPHQWWRXSGDWHDOODIIHFWHGV\VWHPGRFXPHQWDWLRQ
'HOLYHUDEOHV
7KHNH\GHOLYHUDEOHIURPWKLVSKDVHLVDYDOLGDWHGPRGLILHGV\VWHP
7KHUHVXOWVRIWKLVSKDVHVKDOOEHGRFXPHQWHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
© BSI 2007
3DJH
EN 50126-1:1999
$UHFRUGRIDOOYHULILFDWLRQYDOLGDWLRQDQGDFFHSWDQFHWDVNVXQGHUWDNHQZLWKLQWKHSKDVHVKDOO
EHPDLQWDLQHG
$QXSGDWHG+D]DUG/RJVKRXOGEHSURGXFHGZLWKLQWKLVSKDVH
$QXSGDWHG$SSOLFDWLRQ6DIHW\&DVHVKDOOEHSURGXFHGZLWKLQWKLVSKDVH
$OO5$0UHODWHGGRFXPHQWVVKRXOGEHUHYLHZHGDQGXSGDWHGZKHUHQHFHVVDU\
7KHGHOLYHUDEOHVIURPWKLVSKDVHIRUPDNH\LQSXWWRVXEVHTXHQWOLIHF\FOHSKDVHV
9HULILFDWLRQ
7KHIROORZLQJSURFHVVYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D DVVHVVPHQW RI WKH DGHTXDF\ RI WKH LQIRUPDWLRQ DQG ZKHUH DSSURSULDWH GDWD DQG RWKHU
VWDWLVWLFVXVHGDVLQSXWWRWDVNVZLWKLQWKLVSKDVH
E YHULI\DQGYDOLGDWHWKDWDQ\FKDQJHVRUPRGLILFDWLRQVWRWKHV\VWHPDUHFRQVLVWHQWZLWKWKH
5$06UHTXLUHPHQWVIRUWKHV\VWHPDQGOLIHF\FOHFRVWUHTXLUHPHQWV
F DVVHVVPHQWRIWKHDGHTXDF\DQGFRPSOHWHQHVVRIDQ\DPHQGHGV\VWHPGRFXPHQWDWLRQLQ
SDUWLFXODUDQ\V\VWHPVDIHW\FDVHGRFXPHQWV
G DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
H DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
3KDVH'HFRPPLVVLRQLQJDQGGLVSRVDO
2EMHFWLYHV
7KHREMHFWLYHRIWKLVSKDVHVKDOOEHWRFRQWUROV\VWHPGHFRPPLVVLRQLQJDQGGLVSRVDOWDVNV
,QSXWV
7KHLQSXWWRWKLVSKDVHVKDOOLQFOXGHDOOUHOHYDQWLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDQHFHVVDU\WR
PHHWWKHUHTXLUHPHQW
5HTXLUHPHQWV
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWR
D HVWDEOLVK WKH LPSDFW RI GHFRPPLVVLRQLQJ DQG GLVSRVDO RQ DQ\ V\VWHP RU H[WHUQDO IDFLOLW\
DVVRFLDWHGZLWKWKHV\VWHPWREHGHFRPPLVVLRQHG
E SODQWKHGHFRPPLVVLRQLQJLQFOXGLQJWKHHVWDEOLVKPHQWRISURFHGXUHVIRU
£ WKHVDIHFORVLQJGRZQRIWKHV\VWHPDQGDQ\DVVRFLDWHGH[WHUQDOIDFLOLW\
£ WKHVDIHGLVPDQWOLQJRIWKHV\VWHPDQGDQ\DVVRFLDWHGH[WHUQDOIDFLOLW\
£ WKHFRQWLQXHGDVVXUDQFHRIFRPSOLDQFHZLWK5$06UHTXLUHPHQWVRIDQ\V\VWHPVRUH[WHUQDO
IDFLOLW\DIIHFWHGE\WKHGHFRPPLVVLRQLQJRIWKHV\VWHP
5HTXLUHPHQWRIWKLVSKDVHVKDOOEHWRSURYLGHDQDQDO\VLVRI5$06OLIHF\FOHSHUIRUPDQFH
IRULQSXWWRIXWXUHV\VWHPVLQFOXGLQJOLIHF\FOHFRVWLQJV
'HOLYHUDEOHV
7KHUHVXOWVRIWKLVSKDVHVKDOOEHGRFXPHQWHGDORQJZLWKDQ\DVVXPSWLRQVDQGMXVWLILFDWLRQV
PDGHGXULQJWKHSKDVH
$ UHFRUG RI DOO GHFRPPLVVLRQLQJ DQG GLVSRVDO WDVNV XQGHUWDNHQ ZLWKLQ WKH SKDVH VKDOO EH
PDLQWDLQHG
© BSI 2007
3DJH
EN 50126-1:1999
$QXSGDWHG+D]DUG/RJVKRXOGEHSURGXFHGZLWKLQWKLVSKDVH
$ 6DIHW\ 3ODQ VKRXOG EH HVWDEOLVKHG WR DGGUHVV WKH GHFRPPLVVLRQLQJ DQG GLVSRVDO WDVNV
DQGFORVHGRXWIROORZLQJFRPSOHWLRQRIWKHZRUN
$UHYLVHG$SSOLFDWLRQ6DIHW\&DVHPD\EHSURGXFHGZLWKLQWKLVSKDVH
8SGDWHG GRFXPHQWDWLRQ PD\ EH SURGXFHG FRYHULQJ WKH FRQWLQXHG FRPSOLDQFH ZLWK 5$06
UHTXLUHPHQWV RI DIIHFWHG DVVRFLDWHG V\VWHPV GXULQJ WKH GHFRPPLVVLRQLQJ DQG GLVSRVDO
WDVNV
9HULILFDWLRQ
7KHIROORZLQJSURFHVVYHULILFDWLRQWDVNVVKDOOEHXQGHUWDNHQZLWKLQWKLVSKDVH
D WKHDGHTXDF\RIWKHLQIRUPDWLRQDQGZKHUHDSSURSULDWHGDWDDQGRWKHUVWDWLVWLFVXVHGDV
LQSXWWRWDVNVZLWKLQWKLVSKDVHVKDOOEHDVVHVVHG
E DVVHVVPHQW RI WKH DGHTXDF\ RI DQ\ GRFXPHQWDWLRQ IRU V\VWHPV DIIHFWHG E\
GHFRPPLVVLRQLQJDQGGLVSRVDODFWLYLWLHV
F DVVHVVPHQWRIWKHDGHTXDF\RIWKHPHWKRGVWRROVDQGWHFKQLTXHVXVHGZLWKLQWKHSKDVH
G DVVHVVPHQWRIWKHFRPSHWHQFHRIDOOSHUVRQQHOXQGHUWDNLQJWDVNVZLWKLQWKHSKDVH
© BSI 2007
3DJH
EN 50126-1:1999
$QQH[$LQIRUPDWLYH
2XWOLQHRI5$06VSHFLILFDWLRQH[DPSOH
$ *HQHUDO
,QRUGHUWRIDFLOLWDWHWKHDSSOLFDWLRQRI(1DSULQFLSDORXWOLQHRID5$06VSHFLILFDWLRQIRUUDLOZD\
V\VWHPVLVSUHVHQWHGLQWKLVDQQH[7KLVRXWOLQHH[DPSOHUHODWHVWR)LJXUHDQG)LJXUHRIWKHVWDQGDUG
DQGWKHFRUUHVSRQGLQJGHVFULSWLRQVRIWKHOLIHF\FOHSKDVHVGHWDLOHGLQFODXVHXVLQJUROOLQJVWRFNDVDQ
H[DPSOHWRSURYLGHVXSSRUWLQJGHWDLOZLWKLQWKHRXWOLQH
$ 2XWOLQH
7KHEDVLFVWUXFWXUHDQGFRQWHQWVRID5$06VSHFLILFDWLRQSDUWRIWKHRYHUDOOV\VWHPUHTXLUHPHQWVPD\
DFFRUGZLWKWKHIROORZLQJRXWOLQH
3URMHFWLGHQWLILFDWLRQ
,GHQWLI\3URMHFW
'HOLYHUDEOHVDQGGHDGOLQHV
3URMHFWRUJDQL]DWLRQDQG5$060DQDJHPHQW
*HQHUDOV\VWHPGHVFULSWLRQ
7HFKQLFDOGHVFULSWLRQRIV\VWHP
6SHFLILFDSSOLFDWLRQDQGRSHUDWLRQ
HJ IRUUROOLQJVWRFN
£ KLJKVSHHGWUDLQRSHUDWLRQ
£ WUDLQFRPSRVLWLRQV
£ PLVVLRQSURILOH
£ JHRJUDSKLFDOORFDWLRQ
£ WUDLQVFKHGXOHDQGWROHUDQFHV
£ RSHUDWLRQVFHQDULRV
£ VDIHW\SULQFLSOHV
£ KXPDQIDFWRUFRQVLGHUDWLRQV
7HFKQLFDOGHVFULSWLRQRIVXEV\VWHPV
HJ IRUUROOLQJVWRFN
£ HQHUJ\VXSSO\V\VWHP
£ EUDNHV\VWHP
£ SURSXOVLRQV\VWHP
£ YHQWLODWLRQ
£ SURWHFWLRQV\VWHP
£ FRQWUROV\VWHP
£ FRPPXQLFDWLRQV\VWHP
£ KHDWLQJ
2SHUDWLQJDQGHQYLURQPHQWDOFRQGLWLRQV
,GHQWLI\PRGHVRIRSHUDWLRQ
HJ IRUUROOLQJVWRFN
£ RSHUDWLQJWLPHRUGLVWDQFHSHUGD\
£ VWDQGE\WLPHSHUGD\
£ RIIRSHUDWLQJWLPHSHUGD\
/LIHH[SHFWDQF\
HJ IRUUROOLQJVWRFN
£ SODQQHGWRWDOWLPHRIV\VWHPXVH\HDUV
£ DYHUDJHRSHUDWLQJWLPHSHU\HDU
,GHQWLI\HQYLURQPHQWDOFRQGLWLRQV
HJ IRUUROOLQJVWRFN
£ VWDQGDUGVWRIROORZ
£ WHPSHUDWXUHUDQJH
© BSI 2007
3DJH
EN 50126-1:1999
£ WHPSHUDWXUHUDQJHRIYHKLFOH
£ LQRSHUDWLRQ
£ RIIRSHUDWLRQ
£ KXPLGLW\UDQJH
£ PD[KHLJKWDERYHVHDOHYHO
5HOLDELOLW\
5HOLDELOLW\WDUJHWV
'HILQHWKHUHOLDELOLW\WDUJHWVLQRUGHUWRPHHWWKHUHTXLUHGSHUIRUPDQFHRIWKHVSHFLILFDSSOLFDWLRQ
VHHLWHP
6\VWHP)DLOXUH0RGHVDQG0HDQ7LPH%HWZHHQ)DLOXUH07%)
HJ IRUUROOLQJVWRFN
(IIHFWRQ2SHUDWLRQ3HUIRUPDQFH
HJ IRUUROOLQJVWRFN
£ 'HILQHWKHWHFKQLFDODQGRSHUDWLRQDOFRQGLWLRQVRIZKDWLVPHDQWLQWKHDSSOLFDWLRQZLWKWRWDO
IDLOXUH HPHUJHQF\ RSHUDWLRQ HPHUJHQF\ RSHUDWLRQ DQG IDLOXUHV ZLWK QR HIIHFW RQ
RSHUDWLRQ
© BSI 2007
3DJH
EN 50126-1:1999
0DLQWHQDQFHDQGUHSDLU
3UHYHQWLYH0DLQWHQDQFH
'HVFULSWLRQRIWKHPDLQWHQDQFHSROLF\DQGWKHW\SHVRI5HYLVLRQ55HQFRXQWHUHG
HJ UROOLQJVWRFN
5HSDLU
'HVFULSWLRQRIWKHUHSDLUSROLF\DQGWKHQHFHVVDU\ORJLVWLFVXSSRUW
£ 6SHFLI\WKH07750HDQ7LPH7R5HVWRUHRIWKHV\VWHPLQKRXUVRUGD\V
£ 'HILQHWKHWLPHHOHPHQWVZKLFKDUHFRPSULVHGLQWKH0775
£ FDOOWUDYHOWLPH
£ DFFHVVWLPH
£ WLPHIRUVSDUHSDUWVSURYLVLRQ/RJLVWLFV
£ UHSDLUUHSODFHPHQWWLPH
£ WHVWVWDUWXSWLPH
£ GDWDDFTXLVLWLRQWLPH
£ ZDLWLQJWLPH
£ 6SHFLI\ WKH UHSDLU UHSODFHPHQW WLPH DQG FRQGLWLRQV RI HDFK UHSDLUDEOH XQLW PD[LPXP RU
PHDQUHSDLUUHSODFHPHQWWLPHV
£ 6SHFLI\PLQLPXPVSDUHSDUWVSURYLVLRQDQGORJLVWLFVVXSSRUWFRQGLWLRQV
([DPSOH
5HSDLUDEOH 0HDQ5HSDLU 6LWHRI5HSDLU 1HFHVVDU\1XPEHU
8QLW 5HSODFHPHQW7LPH ILHOGVKRS RI5HSDLU0HQ
6DIHW\
6DIHW\7DUJHWV
£ 'HVFULEHWKHVDIHW\WDUJHWVDQGSROLF\RIWKHDSSOLFDWLRQVHHLWHP
+D]DUGRXV&RQGLWLRQV
£ ,GHQWLI\DQGOLVWWKH+D]DUGVWREHFRQVLGHUHGLQWKHDSSOLFDWLRQ
£ 6SHFLI\WKHKD]DUGSUREDELOLW\OHYHOVVHH7DEOH
6DIHW\UHODWHG)XQFWLRQVDQG)DLOXUHV
£ ,GHQWLI\DQGOLVWWKHVDIHW\UHODWHGIXQFWLRQVHJ%UDNLQJRUXQLWVHJ%UDNH
£ 6SHFLI\ IRU HDFK VDIHW\ UHODWHG IXQFWLRQ WKH VDIHW\ UHODWHG IDLOXUHV LQ WKH DSSOLFDWLRQ VHH DOVR
DQG
HJ UROOLQJVWRFN
© BSI 2007
3DJH
EN 50126-1:1999
£ 6DIHW\+D]DUG6HYHULW\/HYHOV
£ 'HILQHWKHDSSOLFDEOHVDIHW\KD]DUGVHYHULW\OHYHOVVHHWDEOH
£ 5LVN&ODVVLILFDWLRQ
£ 'HILQHWKHWROHUDELOLW\RIULVNVVHHDQG
$YDLODELOLW\
7KH6\VWHP$YDLODELOLW\$PD\EHVSHFLILHGLQSDUWVDWWULEXWHGWR
£ SODQQHG1RQ$YDLODELOLW\0DLQWHQDQFH$0
£ XQSODQQHG1RQ$YDLODELOLW\5HSDLU$5
£ $ >$0$5@
£ $ 0870870'7$
£ ZKHUH
£ 087 0HDQ8S7LPHVXEVWLWXWHDVDSSURSULDWH07%)07%6)HWF
£ 0'7 0HDQ'RZQ7LPHVXEVWLWXWHDVDSSURSULDWH07700775HWF
£ 087DQG0'7WREHGHILQHGIRUWKHVSHFLILF$YDLODELOLW\$
£ HJIRUWKH$YDLODELOLW\$6RIWKH³VDIHV\VWHP´08707%6)
£ 7KHUHVXOWLQJGRZQWLPHG7RIWKHPLVVLRQWLPH7HJ\HDULV
£ G7 $*7
$YDLODELOLW\6SHFLILFDWLRQ
£ VSHFLI\ WKH V\VWHP DYDLODELOLW\ $ LQ FRQMXQFWLRQ ZLWK WKH PDLQWHQDQFH DQG UHSDLU
UHTXLUHPHQWVLWHP
£ WKH 0DLQWHQDQFH DQG 5HSDLU 3ROLF\ RQ ZKLFK D FHUWDLQ DYDLODELOLW\ $ LV EDVHG VKDOO EH
VWDWHG
'HPRQVWUDWLRQRI5$06SHUIRUPDQFH
'HILQHWKH'HPRQVWUDWLRQRI5$063HUIRUPDQFHLQOLQHZLWKSKDVH6\VWHPYDOLGDWLRQDQGSKDVH
6\VWHPDFFHSWDQFH
'HPRQVWUDWLRQRI5$063HUIRUPDQFHLVIDFLOLWDWHGE\FRPSLOLQJHYLGHQFHVXFKDV
£ 5$060DQDJHPHQWDQG2UJDQL]DWLRQ
£ $YDLODELOLW\RI5$065HVRXUFHV
£ 5$065HTXLUHPHQWV6SHFLILFDWLRQ
£ 5$063ODQVDQG3URJUDPV
£ 5$06UHODWHGUHYLHZUHSRUWV
£ 5$06DQDO\VLVUHSRUWV
£ 5$067HVWLQJ5HFRUGVFRPSRQHQWV
£ )DLOXUH'DWD$FTXLVLWLRQ6WDWLVWLFV
£ $SSOLFDWLRQ6SHFLILF6DIHW\&DVH
£ 6\VWHP9DOLGDWLRQDQG$FFHSWDQFH
£ 5$063HUIRUPDQFH0RQLWRULQJGXULQJHDUO\RSHUDWLQJSKDVH
£ /LIH&\FOH&RVW(YDOXDWLRQ
5$06SURJUDPPH
$5$0SURJUDPPHDQG6DIHW\SODQVKDOOEHGHYLVHGE\WKHVXSSOLHUWKDWLVMXGJHGWR EH WKH PRVW
HIIHFWLYHIRUWKHDWWDLQPHQWRIWKH5$06UHTXLUHPHQWVIRUWKHSURMHFW
([DPSOHRIDEDVLF5$06SURJUDPPHLVSUHVHQWHGLQDQQH[%
© BSI 2007
3DJH
EN 50126-1:1999
$QQH[%LQIRUPDWLYH
5$06SURJUDPPH
% 7KLVDQQH[JLYHVDQH[DPSOHRIDQRXWOLQHSURFHGXUHIRUDEDVLF5$0SURJUDPPHVDIHW\SODQDQG
VKRZV DQ H[DPSOH RI D EDVLF 5$06 SURJUDPPH 5$0 SURJUDPPHVDIHW\ SODQ ,W DOVR OLVWV VRPH
PHWKRGVDQGWRROVIRU5$06PDQDJHPHQWDQGDQDO\VLV
% 7KHVXSSOLHUVKRXOGHVWDEOLVKD5$063URJUDPPHZKLFKZLOOHIIHFWLYHO\IDFLOLWDWHPHHWLQJWKH5$06
UHTXLUHPHQWV RI WKH DSSOLFDWLRQ XQGHU FRQVLGHUDWLRQ 7KH 5$06 3URJUDPV RI VLPLODU SURMHFWV RU
V\VWHP UHTXLUHPHQWV RI D VXSSOLHU PD\ \LHOG D ³VWDQGDUG 5$06 SURJUDP´ ZKLFK HVWDEOLVKHV WKH
´5$06%DVHOLQH´RIDFRPSDQ\
% 3URFHGXUH
$QRXWOLQHH[DPSOHSURFHGXUHIRUDEDVLF5$063URJUDPPHLVJLYHQEHORZ
'HILQHWKHDSSURSULDWHOLIHF\FOHZKLFKLVLQOLQHZLWKWKHFRPSDQ\¶VEXVLQHVVSURFHVV
5HVXOW7KHFRPSDQ\¶VOLIHF\FOHRUSURMHFWSKDVHVDUHHVWDEOLVKHG
$VVLJQ WR HDFK SURMHFW SKDVH WKH SKDVH UHODWHG 5$0 DQG VDIHW\ WDVNV ZKLFK DUH QHFHVVDU\ WR
FRQILGHQWO\PHHWWKHSURMHFWDQGV\VWHPVSHFLILFUHTXLUHPHQWV
5HVXOW$OOQHFHVVDU\5$06WDVNVLQWKHOLIHF\FOHDUHLGHQWLILHG
'HILQHWKHUHVSRQVLELOLWLHVLQWKHFRPSDQ\WRFDUU\RXWHDFK5$06WDVN
5HVXOW7KHUHVSRQVLEOHVWDIIDQGQHFHVVDU\5$06UHVRXUFHVDUHLGHQWLILHG
7KHQHFHVVDU\LQVWUXFWLRQVWRROVDQGUHIHUHQFHGRFXPHQWVIRUHDFK5$06WDVNDUHGHILQHG
5HVXOW'RFXPHQWHG5$060DQDJHPHQW
7KH5$06DFWLYLWLHVDUHLPSOHPHQWHGLQWKHSURFHVVHVRIWKHFRPSDQ\
5HVXOW3URFHVVLQWHJUDWHG5$060DQDJHPHQW5$06%DVHOLQH
% %DVLF5$06SURJUDPPHH[DPSOH
$QRXWOLQHIRUDEDVLF5$063URJUDPPHLVJLYHQLQWDEOH%7KHRXWOLQHFRQVLVWVRIDQH[DPSOH
RIDVHWRIWDVNVZKLFKFRXOGEHDSSOLHGWRDSDUWLFXODUSURMHFW
© BSI 2007
3DJH
EN 50126-1:1999
7DEOH%²([DPSOHRID%DVLF5$063URJUDPPH2XWOLQH
3URMHFW3KDVH 5$067DVNV 5HVSRQVL 5HIHUHQFH
ELOLW\ 'RFXPHQW
3UH$FTXLVLWLRQ (YDOXDWH5$06WDUJHWVRIVSHFLILFDSSOLFDWLRQ
)HDVLELOLW\ - (YDOXDWH5$06UHTXLUHPHQWV
6WXG\ - (YDOXDWHSDVWGDWDDQGH[SHULHQFHRI5$06
- ,GHQWLI\LQIOXHQFHRQ6DIHW\LPSRVHGE\VSHFLILFDSSOLFDWLRQ
- &RQVXOWFXVWRPHURQ5$06LIQHFHVVDU\
,QYLWDWLRQIRU - 3HUIRUPSUHOLPLQDU\5$06DQDO\VLV:RUVWFDVH
7HQGHUV - $SSRUWLRQV\VWHP5$06UHTXLUHPHQWV6XEV\VWHPV
HTXLSPHQWRWKHUUHOHYDQWV\VWHPVHWF
- 3HUIRUPV\VWHPKD]DUG VDIHW\ULVNDQDO\VLV
- 3HUIRUP5$0UHODWHGULVNDQDO\VLV
- 3UHSDUHIRUIXWXUH5$06GDWDDVVHVVPHQW
- &ODXVHWRFODXVHFRPPHQWVFRQFHUQLQJ5$06
&RQWUDFW - 5HYLHZXSGDWHSUHOLPLQDU\5$06DQDO\VLVDQG5$06
1HJRWLDWLRQV DSSRUWLRQPHQW
2UGHU - (VWDEOLVKSURMHFWVSHFLILF5$06PDQDJHPHQW
3URFHVVLQJ - 6SHFLI\V\VWHP5$06UHTXLUHPHQWVRYHUDOO
'HILQLWLRQRI - (VWDEOLVK5$06SURJUDPPH6WDQGDUG5$06SURJUDPPH
V\VWHP VXIILFLHQW"
UHTXLUHPHQWV - $VVLJQ5$06UHTXLUHPHQWVWRVXEFRQWUDFWRUVVXSSOLHUV
- 'HILQH5$06DFFHSWDQFHFULWHULDRYHUDOO
2UGHU - 5HOLDELOLW\DQDO\VLV)0($
3URFHVVLQJ - 6DIHW\DQDO\VLV)0(&$LIDSSOLFDEOH
'HVLJQDQG - 0DLQWHQDQFHUHSDLUDQDO\VLVGHILQHPDLQWHQDQFHUHSDLU
,PSOHPHQWDWLRQ SROLF\
- $YDLODELOLW\DQDO\VLVEDVHGRQWKHPDLQWHQDQFHUHSDLUSROLF\
- 5$06UHYLHZV
- /LIH&\FOH&RVWHVWLPDWLRQ
- 5$06GHPRQVWUDWLRQHYLGHQFHFRPSLODWLRQ
- 'HVLJQPDQXIDFWXULQJ)0($
- 5HOLDELOLW\DQGPDLQWDLQDELOLW\WHVWLQJLIDSSOLFDEOH
3URFXUHPHQW - 3URYLGH5$06VSHFLILFDWLRQIRUVXEFRQWUDFWRUVVXSSOLHUV
0DQXIDFWXULQJ - 5$06UHODWHGTXDOLW\DVVXUDQFHSURFHVVDVVXUDQFH
7HVWLQJ
&RPPLVVLRQLQJ - 3HUIRUP5$0GHPRQVWUDWLRQ
$FFHSWDQFH - 3UHSDUHDSSOLFDWLRQVSHFLILF6DIHW\&DVH
- ,QLWLDWH5$06GDWDDVVHVVPHQW
- 5$0WHVWLQJGXULQJHDUO\RSHUDWLRQGDWDVFUHHQLQJDQG
HYDOXDWLRQ
2SHUDWLRQ - 3URYLVLRQDORSHUDWLRQDQGPDLQWHQDQFH0DLQWHQDQFHUHSDLU
0DLQWHQDQFH SROLF\
- 2SHUDWLRQDQGPDLQWHQDQFHSHUVRQQHOWUDLQLQJ
- 5$06GDWDDVVHVVPHQW
- /LIH&\FOH&RVWDVVHVVPHQW
- 3HUIRUPDQFHUHYLHZ
% /LVWRIWRROV
6RPH DSSURSULDWH PHWKRGV DQG WRROV IRU FRQGXFWLQJ DQG PDQDJLQJ D 5$06 SURJUDPPH DUH OLVWHG
EHORZ7KHFKRLFHRIWKHUHOHYDQWWRROZLOOGHSHQGRQWKHV\VWHPXQGHUFRQVLGHUDWLRQDQGWKHFULWLFDOLW\
FRPSOH[LW\QRYHOW\HWFRIWKHV\VWHP
$Q RXWOLQH IRUP RI 5$06 VSHFLILFDWLRQ LQ RUGHU WR DVVXUH DVVHVVPHQW RI DOO UHOHYDQW 5$06
UHTXLUHPHQWVVHHDQQH[$IRUDQH[DPSOH
© BSI 2007
3DJH
EN 50126-1:1999
3URFHGXUHV IRU IRUPDO GHVLJQ UHYLHZV ZLWK HPSKDVLV RQ 5$06 XVLQJ VRPH JHQHUDO DQG
DSSOLFDWLRQVSHFLILFFKHFNOLVWVDVDSSURSULDWHHJ
3URFHGXUHV IRU SHUIRUPLQJ WRS GRZQ GHGXFWLYH PHWKRGV DQG ERWWRP XS LQGXFWLYH
PHWKRGV SUHOLPLQDU\ ZRUVW FDVH DQG LQGHSWK 5$0 DQDO\VLV IRU VLPSOH DQG FRPSOH[
IXQFWLRQDOV\VWHPVWUXFWXUHVDQRYHUYLHZRIFRPPRQO\XVHG5$0DQDO\VLVSURFHGXUHVPHWKRGV
DGYDQWDJHV DQG GLVDGYDQWDJHV GDWD LQSXW DQG RWKHU UHTXLUHPHQWV IRU WKH YDULRXV WHFKQLTXHV LV
JLYHQLQ
,(& 'HSHQGDELOLW\PDQDJHPHQW²3DUW$SSOLFDWLRQJXLGH6HFWLRQ$QDO\VLV
WHFKQLTXHVIRUGHSHQGDELOLW\*XLGHRQPHWKRGRORJ\
7KH YDULRXV 5$0 DQDO\VLV WHFKQLTXHV DUH GHVFULEHG LQ VHSDUDWH VWDQGDUGV VRPH RI WKHVH DUH DV
IROORZV
,(& *XLGHRQPDLQWDLQDELOLW\RIHTXLSPHQW
,(& 3DUW²6HFWLRQVDQG,QWURGXFWLRQUHTXLUHPHQWVDQGPDLQWDLQDELOLW\
SURJUDPPH
,(& 3DUW²6HFWLRQ0DLQWDLQDELOLW\VWXGLHVGXULQJWKHGHVLJQSKDVH
,(& 3DUW²6HFWLRQVDQG9HULILFDWLRQDQGFROOHFWLRQDQDO\VLVDQGSUHVHQWDWLRQ
RIGDWD
,(& 3DUW²6HFWLRQ0DLQWHQDQFHDQGPDLQWHQDQFHVXSSRUWSODQQLQJ
,(& 3DUW²6HFWLRQ'LDJQRVWLFWHVWLQJ
,(& 3DUW²6HFWLRQ6WDWLVWLFDOPHWKRGVLQPDLQWDLQDELOLW\HYDOXDWLRQ
,(& $QDO\VLVWHFKQLTXHVIRUV\VWHPUHOLDELOLW\²3URFHGXUHVIRUIDLOXUHPRGHDQG
HIIHFWVDQDO\VLV)0($
,(& 3UHVHQWDWLRQRIUHOLDELOLW\PDLQWDLQDELOLW\DQGDYDLODELOLW\SUHGLFWLRQV
,(& )DXOWWUHHDQDO\VLV)7$
,(& $QDO\VLVWHFKQLTXHVIRUGHSHQGDELOLW\²5HOLDELOLW\EORFNGLDJUDPPHWKRG
,(& $SSOLFDWLRQRI0DUNRYWHFKQLTXHV
$YDLODELOLW\RIVXSSRUWDEOHVWDWLVWLFDO5$0GDWDIRUWKHFRPSRQHQWVXVHGLQDGHVLJQW\SLFDOO\IDLOXUH
UDWHVUHSDLUUDWHVPDLQWHQDQFHGDWDIDLOXUHPRGHVHYHQWUDWHV GLVWULEXWLRQ RI GDWD DQG UDQGRP
HYHQWVHWFLVIXQGDPHQWDOWR5$0DQDO\VLVHJ
860,/+'%.& 6\VWHPVDIHW\SURJUDPPHUHTXLUHPHQWV
860,/+'%.0, 6\VWHPVDIHW\HQJLQHHULQJGHVLJQJXLGHIRUDUP\PDWHULDO
7KH VDPH EDVLF WHFKQLTXHV DQG DQDO\VLV PHWKRGV OLVWHG IRU 5$0 LWHP DUH DOVR DSSOLFDEOH IRU
VDIHW\ULVNDQDO\VLV
© BSI 2007
3DJH
EN 50126-1:1999
$OVRVHH,(&3DUWVXQGHUWKHJHQHUDOWLWOH)XQFWLRQDOVDIHW\RI
HOHFWULFDOHOHFWURQLFSURJUDPPDEOHHOHFWURQLFVDIHW\UHODWHGV\VWHPVFRQVLVWLQJRIWKHIROORZLQJSDUWV
£ 3DUW*HQHUDOUHTXLUHPHQWV
£ 3DUW5HTXLUHPHQWVIRUHOHFWULFDOHOHFWURQLFSURJUDPPDEOHHOHFWURQLFV\VWHPV
£ 3DUW6RIWZDUHUHTXLUHPHQWV
£ 3DUW'HILQLWLRQVDQGDEEUHYLDWLRQV
£ 3DUW([DPSOHVRIPHWKRGVIRUWKHGHWHUPLQDWLRQRIVDIHW\LQWHJULW\OHYHOV
£ 3DUW*XLGHOLQHVRQWKHDSSOLFDWLRQRI3DUWVDQG
£ 3DUW2YHUYLHZRIWHFKQLTXHVDQGPHDVXUHV
5$06 WHVWLQJ SODQV DQG SURFHGXUHV LQ RUGHU WR WHVW WKH ORQJWHUP RSHUDWLQJ EHKDYLRXU RI
FRPSRQHQWV HTXLSPHQW RU V\VWHPV DQG WR GHPRQVWUDWH FRPSOLDQFH ZLWK WKH UHTXLUHPHQWV
)XUWKHUPRUH5$06DQDO\VLVDQGWHVWUHVXOWVDUHXVHGWRGHYLVH5$06LPSURYHPHQWSURJUDPPHV
HJ
,(& (TXLSPHQWUHOLDELOLW\WHVWLQJ
,(&$ 3DUW*HQHUDOUHTXLUHPHQWV
,(& 3DUW'HVLJQRIWHVWF\FOHV
,(& 3DUW3UHIHUUHGWHVWFRQGLWLRQV,QGRRUSRUWDEOHHTXLSPHQW/RZ
GHJUHHRIVLPXODWLRQ
,(& 3DUW3UHIHUUHGWHVWFRQGLWLRQV(TXLSPHQWIRUVWDWLRQDU\XVHLQ
ZHDWKHUSURWHFWHGORFDWLRQV+LJKGHJUHHRIVLPXODWLRQ
,(& 3DUW3UHIHUUHGWHVWFRQGLWLRQV6HFWLRQ7HVWF\FOH(TXLSPHQW
IRUVWDWLRQDU\XVHLQSDUWLDOO\ZHDWKHUSURWHFWHGORFDWLRQV/RZGHJUHH
RIVLPXODWLRQ
,(& 3DUW3UHIHUUHGWHVWFRQGLWLRQV6HFWLRQ7HVWF\FOH(TXLSPHQW
IRUSRUWDEOHDQGQRQVWDWLRQDU\XVH/RZGHJUHHRIVLPXODWLRQ
,(&$ 3DUW3URFHGXUHIRUGHWHUPLQLQJSRLQWHVWLPDWHVDQGFRQILGHQFHOLPLWV
IRUHTXLSPHQWUHOLDELOLW\GHWHUPLQDWLRQWHVW
,(& 3DUW7HVWVIRUWKHYDOLGLW\RIWKHFRQVWDQWIDLOXUHUDWHRUFRQVWDQW
IDLOXUHLQWHQVLW\DVVXPSWLRQV
,(& 3URJUDPPHVIRUUHOLDELOLW\JURZWK
,(& &RPSOLDQFHWHVWSURFHGXUHIRUVWHDG\VWDWHDYDLODELOLW\
,(& 5HOLDELOLW\WHVWLQJ&RPSOLDQFHWHVWSODQIRUVXFFHVVUDWLR
2I JUHDWHU LPSRUWDQFH LV WKH DVVHVVPHQW RI 5$06 GDWD IURP WKH ILHOG 5$06 WHVWLQJ GXULQJ
RSHUDWLRQHJ
,(& 'HSHQGDELOLW\PDQDJHPHQW²3DUW$SSOLFDWLRQJXLGH²6HFWLRQ
GHSHQGDELOLW\GDWDIURPWKHILHOG
,(& 3UHVHQWDWLRQRIUHOLDELOLW\GDWDRQHOHFWURQLFFRPSRQHQWVRUSDUWV
© BSI 2007
3DJH
EN 50126-1:1999
$QQH[&LQIRUPDWLYH
([DPSOHVRISDUDPHWHUVIRUUDLOZD\
([DPSOHV RI W\SLFDO SDUDPHWHUV DQG V\PEROV VXLWDEOH IRU XVH LQ UDLOZD\ DSSOLFDWLRQV DUH WDEXODWHG
EHORZ
& 5HOLDELOLW\SDUDPHWHUV
7DEOH&²([DPSOHVRI5HOLDELOLW\3DUDPHWHUV
3$5$0(7(5 6<0%2/ ',0(16,21
)DLOXUH5DWH =Wl IDLOXUHVWLPHGLVWDQFHF\FOH
0HDQ8S7LPH 087 WLPHGLVWDQFHF\FOH
0HDQ7LPH7R)DLOXUH 077) WLPHGLVWDQFHF\FOH
0HDQ'LVWDQFH7R)DLOXUH 0'7)
IRUQRQUHSDLUDEOHLWHPV
0HDQ7LPH%HWZHHQ)DLOXUH 07%) WLPHGLVWDQFHF\FOH
0HDQ'LVWDQFH%HWZHHQ)DLOXUH 0'%)
IRUUHSDLUDEOHLWHPV
)DLOXUH3UREDELOLW\ )W GLPHQVLRQOHVV
5HOLDELOLW\6XFFHVV3UREDELOLW\ 5W GLPHQVLRQOHVV
& 0DLQWDLQDELOLW\SDUDPHWHUV
7DEOH&²([DPSOHVRI0DLQWDLQDELOLW\3DUDPHWHUV
3$5$0(7(5 6<0%2/ ',0(16,21
0HDQ'RZQ7LPH 0'7 WLPHGLVWDQFHF\FOH
0HDQ7LPH'LVWDQFH%HWZHHQ 07%00'%0 WLPHGLVWDQFHF\FOHV
0DLQWHQDQFH
07%00'%0&RUUHFWLYHRU 07%0F0'%0F WLPHGLVWDQFHF\FOHV
3UHYHQWLYH 07%0S0'%0S
0HDQ7LPH7R0DLQWDLQ 0770 WLPH
0770&RUUHFWLYHRU3UHYHQWLYH 0770F0770S WLPH
0HDQ7LPH7R5HVWRUH 0775 WLPH
)DOVH$ODUP5DWH )$5 WLPH
)DXOW&RYHUDJH )& GLPHQVLRQOHVV
5HSDLU&RYHUDJH 5& GLPHQVLRQOHVV
& $YDLODELOLW\SDUDPHWHUV
7DEOH&²([DPSOHVRI$YDLODELOLW\3DUDPHWHUV
3$5$0(7(5 6<0%2/ ',0(16,21
$YDLODELOLW\ $ 0870870'7
LQKHUHQW $L
DFKLHYHG $D
RSHUDWLRQDO $R GLPHQVLRQOHVV
)OHHW$YDLODELOLW\ )$ DYDLODEOHYHKLFOHVIOHHW GLPHQVLRQOHVV
6FKHGXOH$GKHUHQFH 6$ GLPHQVLRQOHVV
© BSI 2007
3DJH
EN 50126-1:1999
& /RJLVWLFVXSSRUWSDUDPHWHUV
7DEOH&²([DPSOHVRI/RJLVWLF6XSSRUW3DUDPHWHUV
3$5$0(7(5 6<0%2/ ',0(16,21
2SHUDWLRQDQG0DLQWHQDQFH&RVW 2 0& PRQH\
0DLQWHQDQFH&RVW 0& PRQH\
0DLQWHQDQFH0DQ+RXUV 00+ WLPHKRXUV
/RJLVWLFDQG$GPLQLVWUDWLYH'HOD\ /$' WLPH
)DXOWFRUUHFWLRQWLPH WLPH
5HSDLUWLPH WLPH
0DLQWHQDQFHVXSSRUWSHUIRUPDQFH GLPHQVLRQOHVV
(PSOR\HHVIRU5HSODFHPHQW ()5 GLPHQVLRQOHVV
3UREDELOLW\ RI 6SDUH 3DUWV RQ 6WRFN 636 GLPHQVLRQOHVV
ZKHQQHHGHG
& 6DIHW\SDUDPHWHUV
7DEOH&²([DPSOHVRI6DIHW\3HUIRUPDQFH
3$5$0(7(5 6<0%2/ ',0(16,21
0HDQ7LPH%HWZHHQ+D]DUGRXV)DLOXUH 07%)+ WLPHGLVWDQFHF\FOH
0HDQ7LPH%HWZHHQ6DIHW\6\VWHP 07%6) WLPHGLVWDQFHF\FOH
)DLOXUH´
+D]DUG5DWH +W IDLOXUHVWLPHGLVWDQFHF\FOH
6DIHW\5HODWHG)DLOXUH3UREDELOLW\ )VW GLPHQVLRQOHVV
3UREDELOLW\RI6DIH)XQFWLRQDOLW\ 6VW GLPHQVLRQOHVV
7LPHWR5HWXUQWR6DIHW\ 7756 WLPH
© BSI 2007
3DJH
EN 50126-1:1999
$QQH['LQIRUPDWLYH
([DPSOHVRIVRPHULVNDFFHSWDQFHSULQFLSOHV
127(9DOXHVJLYHQLQWKLVDQQH[DUHRQO\WRLOOXVWUDWHWKHSULQFLSOHVDQGDUHQRWLQWHQGHGWREH
XVHGIRUDQ\RWKHUSXUSRVH
7KHSULQFLSOHPD\EHUHSUHVHQWHGE\WKHIROORZLQJGLDJUDP
5LVNFDQQRWEHMXVWLILHG
8QDFFHSWDEOH H[FHSWLQH[WUDRUGLQDU\
UHJLRQ FLUFXPVWDQFHV
7ROHUDEOHRQO\LIULVN
UHGXFWLRQLVLPSUDFWLFDEOH
RULIFRVWLVJURVVO\
GLVSURSRUWLRQDWHWRWKH
LPSURYHPHQWJDLQHG
7KH$/$53RU
7ROHUDELOLW\UHJLRQ
5LVNLVXQGHUWDNHQRQO\
LIDEHQHILWLVGHVLUHG
7ROHUDEOHLIFRVWRIUHGXFWLRQZRXOG
H[FHHGWKHLPSURYHPHQWJDLQHG
%URDGO\DFFHSWDEOH 1HFHVVDU\WRPDLQWDLQDVVXUDQFH
UHJLRQ 1RQHHGIRU WKDWULVNUHPDLQVDWWKLVOHYHO
GHWDLOHGZRUNLQJWR
GHPRQVWUDWH$/$53
' 6RPHULVNVDUHVRODUJHDQGVRPHRXWFRPHVVRXQDFFHSWDEOHWKDWWKH\DUHLQWROHUDEOHDQG
FDQQRWEHMXVWLILHGRQDQ\JURXQGV7KHXSSHUERXQGGHILQHVOHYHOVRIULVNWKDWDUHLQWROHUDEOH,I
WKHOHYHORIULVNFDQQRWEHUHGXFHGEHORZWKLVERXQGWKHQWKHRSHUDWLRQVKRXOGQRWEHFDUULHG
RXW
' 7KH ORZHU ERXQG RI WKH GLDJUDP GHILQHV WKH EURDGO\ DFFHSWDEOH UHJLRQ ZKHUH ULVNV DUH
FRQVLGHUHG WR EH VR ORZ WKDW VWUHQXRXV HIIRUWV WR UHGXFH WKHP IXUWKHU ZRXOG QRW EH OLNHO\ WR EH
MXVWLILHGE\DQ\$/$53FULWHULD
' 7KHDUHDEHWZHHQWKHXSSHUDQGORZHUERXQGVLVFDOOHGWKH$/$53UHJLRQ,WPXVWEHVWUHVVHG
WKDWLWLVQRWVXIILFLHQWWRGHPRQVWUDWHWKDWULVNVDUHLQWKH$/$53UHJLRQ7KH\PXVWEHPDGHDV
ORZ DV UHDVRQDEO\ SUDFWLFDEOH 7KHUH DUH YDULRXV ZD\V WR GHPRQVWUDWH $/$53 ,W PD\ EH
VXIILFLHQWWRVKRZWKDWWKHEHVWDYDLODEOHFXUUHQWVWDQGDUGVDQGSUDFWLFHVDUHEHLQJDSSOLHG)RU
QRYHO RSHUDWLRQV RU ZKHUH WKH DGHTXDF\ RI FXUUHQW VWDQGDUGV RU SUDFWLFHV DUH LQ GRXEW WKH
FRQFHSWVRIFRVWEHQHILWDQDO\VLVDQGYDOXHRIOLIHFDQEHLQWURGXFHG
© BSI 2007
3DJH
EN 50126-1:1999
' 6RFLHWDO ULVN KDV WR EH H[DPLQHG ZKHQ WKHUH LV WKH SRVVLELOLW\ RI D FDWDVWURSKH LQYROYLQJ ODUJH
QXPEHURIFDVXDOWLHV7KHGLVOLNHRIODUJHDFFLGHQWVLVWHUPHG'LIIHUHQWLDO5LVN$YHUVLRQ'5$
7KLV PD\ EH H[SUHVVHG E\ D VORSH RI LQ WKH ORJ )1 FXUYH ZKHUH ) LV WKH IUHTXHQF\ RI
RFFXUUHQFH\HDUDQG1WKHQXPEHURIFDVXDOWLHVIRUDQRFFXUUHQFH
7KHFRPSOHWHIRUPXODWLRQRIWKLVSULQFLSOHLVDVIROORZV
$OOQHZJXLGHGWUDQVSRUWV\VWHPVPXVWRIIHUDOHYHORIULVNJOREDOO\DWOHDVWDVJRRGDVWKHRQHRIIHUHG
E\DQ\HTXLYDOHQWH[LVWLQJV\VWHP
' 7KLVIRUPXODWLRQWDNHVLQWRDFFRXQWZKDWKDVEHHQGRQHDQGUHTXLUHVLPSOLFLWO\DSURJUHVVWREH
PDGHLQWKHSURMHFWHGV\VWHPE\WKHUHTXLUHPHQWDWOHDVW,WGRHVQRWFRQVLGHUDSDUWLFXODUULVN
E\ WKH UHTXLUHPHQW JOREDOO\ 7KH WUDQVSRUW V\VWHP VXSSOLHU LV IUHH WR GLVWULEXWH DOORFDWLRQ
EHWZHHQ WKH GLIIHUHQW ULVNV LQKHUHQW WR WKH V\VWHP DQG DSSOLHV WKH UHOHYDQW DSSURDFK LH
TXDOLWDWLYHRUTXDQWLWDWLYH
' :KHQDTXDQWLWDWLYHDSSURDFKLVDSSOLHGLWPD\EHWUDQVODWHGLQWKHIROORZLQJZD\
/HW tFUHI EH WKH IUDFWLRQ FDVXDOW\SDVVHQJHU H[SHULHQFHG IRU D FHUWDLQ QXPEHU RI WUDQVSRUWHG
SDVVHQJHUV E\ D WUDQVSRUW V\VWHP LQ WKH ODVW \HDUV RI RSHUDWLRQ FDVXDOWLHV FDXVHG E\ FROOLVLRQ
EHWZHHQWZRWUDLQV7KLVIUDFWLRQVKRXOGEHH[WUDFWHGIURPWKHVWDWLVWLFVIRUWKHH[LVWLQJV\VWHPDQG
IRUPWKHUHIHUHQFHIRUWKHQHZV\VWHPRIWKHVDPHQDWXUH
$OVRWKHFROOLVLRQUDWHIRUWKHQHZV\VWHPPXVWEHVPDOOHUWKDQWKDWRIWKHH[LVWLQJV\VWHP
7KHUHIRUH
5HPDUNV
,WLVDVVXPHGWKDWWKHSURSRUWLRQRIFDVXDOWLHVDPRQJWKHSDVVHQJHUVLQWKHVDPHWUDLQLVWKHVDPHIRU
WKHH[LWLQJV\VWHPDQGWKHSURMHFWHGV\VWHP
7KLVSULQFLSOHKDVEHHQGHULYHGLQWKHIROORZLQJPDQQHU
'HDWK ZLOO UHVXOW IURP PDQ\ GLIIHUHQW FDXVHV 2QH VXFK JURXS RI FDXVHV LV WHUPHG WHFKQRORJLFDO
IDFWVHJ
£ HQWHUWDLQPHQWDQGVSRUWVXUIWULDOHWF
£ GRLW\RXUVHOIDFWLYLWLHVODZQPRZLQJHWF
£ ZRUNPDFKLQHV
£ WUDQVSRUW
7KHIROORZLQJDUHQRWLQFOXGHG
£ GHDWKE\LOOQHVVRUGLVHDVH
£ GHDWKE\FRQJHQLWDOPDOIRUPDWLRQ
7KLV JURXS UHVXOWV LQ D FHUWDLQ SHUFHQWDJH RI GHDWK SHU DQQXP WKDW YDULHV DFFRUGLQJ WR WKH DJH RI WKH
SRSXODWLRQEHLQJFRQVLGHUHG7KLVULVNLVUHIHUUHGWRDV(QGRJHQRXV0RUWDOLW\5
,Q ZHOO GHYHORSHG FRXQWULHV 5 LV WKH ORZHVW IRU WKH DJH JURXS WR \HDUV 7KLV ORZHVW OHYHO RI
(QGRJHQRXV 0RUWDOLW\ NQRZQ DV 0LQLPXP (QGRJHQRXV 0RUWDOLW\ GHQRWHG E\ 5P KDV EHHQ
GHWHUPLQHGDV
)URPWKHDERYHWKHIROORZLQJUXOHLVIRUPXODWHG
+D]DUGVGXHWRDQHZV\VWHPRIWUDQVSRUWZRXOGQRWVLJQLILFDQWO\DXJPHQWWKHILJXUH 5P
,QSUDFWLFHWKHIROORZLQJILJXUHVPD\EHXVHG
5IDWDOLW\SHUVRQ
\HDU
5KHDY\LQMXULHVSHUVRQ
\HDU
5OLJKWLQMXULHVSHUVRQ
\HDU
7KLVSRLQWRIYLHZLVKLJKO\LQGLYLGXDOLVWLFWKHIDPLO\RIWKHSHUVRQVXIIHULQJWKHFDVXDOW\ZLOOQRWILQGDQ\
VRODFHLQWKHIDFWWKDWWKHSHUVRQSHULVKHGLQDKXJHFDWDVWURSKHRUDVPDOORQH7KLVLVWUXHDVIDUDV
DFWXDOPHDQVRIWUDQVSRUWDUHFRQFHUQHGWUDLQSODQHHWF)RUV\VWHPVWKDWPD\UHVXOWLQODUJHQXPEHU
RI IDWDOLWLHV GLIIHUHQWLDO ULVN DYHUVLRQ '5$ LV LQWURGXFHG E\ D GHFUHDVLQJ VORSH DV SUHVHQWHG LQ WKH
IROORZLQJFXUYH
© BSI 2007
3DJH
EN 50126-1:1999
7ROHUDEOH
,QGLYLGXDO
5LVN
0LQLPXP(QGRJHQRXV0RUWDOLW\
)DWDOLWLHV
SHUVRQ\HDU
*
1XPEHURIIDWDOLWLHV
© BSI 2007
3DJH
EN 50126-1:1999
$QQH[(LQIRUPDWLYH
5HVSRQVLELOLWLHVZLWKLQWKH5$06SURFHVVWKURXJKRXWWKHOLIHF\FOH
$VDJHQHUDOJXLGHOLQHIRUDW\SLFDOUDLOZD\SURMHFWWKHIROORZLQJDSSOLHV
£ 5HTXLUHPHQWV DUH XVXDOO\ HVWDEOLVKHG E\ WKH FXVWRPHU RU D UHJXODWRU\ OHJDO
DXWKRULW\
£ $SSURYDO DQG DFFHSWDQFH LV VLPLODUO\ FDUULHG RXW E\ WKH FXVWRPHU RU WKH UHJXODWRU\
DXWKRULW\
£ 6ROXWLRQVWKHLUUHVXOWVDQGYHULILFDWLRQVDUHQRUPDOO\HODERUDWHGRUSHUIRUPHGE\WKH
FRQWUDFWRU
£ 9DOLGDWLRQLVQRUPDOO\SHUIRUPHGMRLQWO\
7KLV JHQHUDO UXOH KRZHYHU GHSHQGV RQ WKH FRQWUDFWXDO DQG OHJDO UHODWLRQVKLS EHWZHHQ WKH SDUWLHV
LQYROYHG
+RZHYHU WKLV VWDQGDUG UHTXLUHV WKDW LQ HDFK FDVH WKH UHVSRQVLELOLWLHV IRU WKH WDVNV LQ WKH YDULRXV
OLIHF\FOHSKDVHVDUHGHILQHGDQGDJUHHG7KHIROORZLQJPDWUL[JLYHVDQH[DPSOHRIUHVSRQVLELOLWLHVIRUD
W\SLFDODUUDQJHPHQW
:KHUH
; IXOOUHVSRQVLELOLW\DQGSDUWLFLSDWLRQ
; VSHFLILFUHVSRQVLELOLW\DQGRUSDUWLDOSDUWLFLSDWLRQHJRQVXEFRQWUDFWRURQVWDQGE\EDVLV
© BSI 2007
blank
BS EN
50126-1:1999
BSI — British Standards Institution
BSI is the independent national body responsible for preparing
British Standards. It presents the UK view on standards in Europe and at the
international level. It is incorporated by Royal Charter.
Revisions
British Standards are updated by amendment or revision. Users of
British Standards should make sure that they possess the latest amendments or
editions.
It is the constant aim of BSI to improve the quality of our products and services.
We would be grateful if anyone finding an inaccuracy or ambiguity while using
this British Standard would inform the Secretary of the technical committee
responsible, the identity of which can be found on the inside front cover.
Tel: +44 (0)20 8996 9000. Fax: +44 (0)20 8996 7400.
BSI offers members an individual updating service called PLUS which ensures
that subscribers automatically receive the latest editions of standards.
Buying standards
Orders for all BSI, international and foreign standards publications should be
addressed to Customer Services. Tel: +44 (0)20 8996 9001.
Fax: +44 (0)20 8996 7001. Email: orders@bsi-global.com. Standards are also
available from the BSI website at http://www.bsi-global.com.
In response to orders for international standards, it is BSI policy to supply the
BSI implementation of those that have been published as British Standards,
unless otherwise requested.
Information on standards
BSI provides a wide range of information on national, European and
international standards through its Library and its Technical Help to Exporters
Service. Various BSI electronic information services are also available which give
details on all its products and services. Contact the Information Centre.
Tel: +44 (0)20 8996 7111. Fax: +44 (0)20 8996 7048. Email: info@bsi-global.com.
Subscribing members of BSI are kept up to date with standards developments
and receive substantial discounts on the purchase price of standards. For details
of these and other benefits contact Membership Administration.
Tel: +44 (0)20 8996 7002. Fax: +44 (0)20 8996 7001.
Email: membership@bsi-global.com.
Information regarding online access to British Standards via British Standards
Online can be found at http://www.bsi-global.com/bsonline.
Further information about BSI is available on the BSI website at
http://www.bsi-global.com.
Copyright
Copyright subsists in all BSI publications. BSI also holds the copyright, in the
UK, of the publications of the international standardization bodies. Except as
permitted under the Copyright, Designs and Patents Act 1988 no extract may be
reproduced, stored in a retrieval system or transmitted in any form or by any
means – electronic, photocopying, recording or otherwise – without prior written
permission from BSI.
This does not preclude the free use, in the course of implementing the standard,
of necessary details such as symbols, and size, type or grade designations. If these
details are to be used for any other purpose than implementation then the prior
BSI written permission of BSI must be obtained.
389 Chiswick High Road Details and advice can be obtained from the Copyright & Licensing Manager.
London Tel: +44 (0)20 8996 7070. Fax: +44 (0)20 8996 7553.
Email: copyright@bsi-global.com.
W4 4AL