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Topic: Military Risk Management Program: Officer Development Program Institution: Army National Guard Uniqueness of Presentation: 1. ) Innovative Practices applied to Risk Managements 2.) Military + Civilian Best Practices Utilization 3.) Iterative Philosophy Application 4.) Common Sense integration with MDMP (Military Decision Making Process and TLPs (Troop Leading Procedures)
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Risk ManagementOPD
By 1LT Alejandro Perez
Agenda / Presentation Flow Agenda / Flow Publications Introduction Risk Management Fundamentals Risk Management Process & Parallel Planning Summary------------------------------------------------------------------------- Group Exercise------------------------------------------------------------------------- Other References Definitions & Terms
Military PUBs FM 5-19: Composite Risk Management
Supersedes FM 100-14 ATP 5-19: Risk Management AR 385-1: The Army Safety Program DA Pam 385-30: Mishap Risk Management
Civilian PMBOK 5th Edition – Chapter 11: Project Risk MGMT
Publications
Introduction Risk Management applies across the wide range of Army
operations.
FM 5-19 explains the principles, procedures, and responsibilities to successfully apply the risk management process to conserve combat power and resources.
The manual helps all leaders develop a framework to make risk management a routine part of all tasks and missions.
Fundamentals
Leaders and Soldiers at all levels use risk management. Formally ( what this presentation covers) Informally ( natural human process)
It applies to all missions and environments across the wide range of Army operations.
Principles Risk MGMT, Planning, & Execution are “One”.
Risk management integrates into mission planning, preparation, and execution. TLPs – Troop Leading Procedure MDMP – Military Decision Making Process
COC & Risk Management Making risk decisions at the appropriate level in the chain of
command.
Do NOT accept Unnecessary Risk.
Apply to processes cyclically and continuously
Do NOT be risk averse. Do Risk MGMT, Complete Mission.
Risk management assists the Army leaders in—
Being Resourceful and Safe By Saving lives, conserving resources, and avoiding
unnecessary risk.
Improving Decision Making Making an informed decision to implement a COA (Course
Of Action).
Establishing Realistic Controls Identifying realistic and effective control measures where
specific standards do not exist.
Creating Alternatives Providing reasonable alternatives for mission
accomplishment.
Risk management does NOT- Create Inflexibility
It should inhibit the commander’s and leader's flexibility and initiative.
Eliminate Risk RM does not remove risk altogether, or support a zero defects
mindset.
Require a GO/NO-GO decision.
Sanction or justify violating the law.
Remove Standard Protocols Remove the necessity for standard drills, tactics, techniques, and
procedures.
5 Steps of Risk MGMT Cycle
Step 1. Identify hazards.
Step 2. Assess hazards to determine risks.
Step 3. Develop controls and make risk decisions.
Step 4. Implement controls.
Step 5. Supervise and evaluate.
5 Steps of Risk MGMT Cycle
Risk MGMT Cycle & Planning Risk Management Cycle and the Planning Processes
are integrated and continuous process in and of itself. TLPs MDMP
TLPs & Risk MGMT Cycle
MDMP & Risk MGMT Cycle
MDMP, TLPs, & Risk MGMT Integration
Risk Management - Assessment
Risk MGMT – Assessment Phase
Steps 1 and 2 = Assessment Portion Steps 1 and 2 together comprise the risk assessment.
Step 1 = Identify Hazards In Step 1, individuals identify the hazards that may be
encountered in executing a mission.
Step 2 = Impact of Hazards In Step 2, they determine the direct impact of each hazard
on the operation. The risk assessment provides for enhanced situational awareness. This awareness builds confidence and allows soldiers and units to take timely, efficient, and effective protective measures.
Risk MGMT – MGMT Phase
Risk MGMT – MGMT Phase Steps 3 and 5 = MGMT Portion
Steps 3 through 5 are the essential follow-through actions to effectively manage risk.
Leaders must Balance Risks against Costs & take Action In these steps, leaders balance risk against costs—political, economic,
environmental, and to combat power— and take appropriate actions to eliminate unnecessary risk.
Risk Assessment is Continuous During execution, as well as during planning and preparation, leaders
continuously assess the risk to the overall mission and to those involved in the task.
Evaluate Risk Management Process and Learn Finally, leaders and individuals evaluate the effectiveness of controls and
provide lessons learned so that others can learn and improve.
Step 1: Identifying Hazards
Identify hazards per task to people, property, and the mission.
Consider all aspects of past, present, and future problem areas.
Use all available tools and resources. METT-TC is the main recommended tool.
Record all Risks and Hazards in Risk Assessment
Types of Risks
Risks = The chance of hazards
There are 2 types of risks:
1. Tactical risk
“Enemies and their hostile actions and assets”
2. Accident Risk
“Ours and our friendly forces’ actions and assets”
Types of Hazards IAW OSHA SAFETY HAZARDS:
These are the most common and will be present in most workplaces at one time or another. Ex. Spills on Floor; unguarded machines; electric hazards
PHYSICAL HAZARDS: Are factors within the environment that can harm the body without
necessarily touching it. Ex. Radiation; ultraviolet rays; excessive exposure to sun light
BIOLOGICAL HAZARDS: Associated with working with animals, people, or infectious plant
materials. Ex. Blood; body fluids; Fungi; bacteria; viruses
Types of Hazards IAW OSHA ERGONOMIC HAZARDS:
Occur when the type of work, body positions and working conditions put strain on your body. Ex. Poor posture; improper chairs; awkward movements
CHEMICAL HAZARDS: Are present when a worker is exposed to any chemical
preparation in the workplace in any form (solid, liquid or gas). Ex. Vapors and fumes; flammable material; pesticides
WORK ORGANIZATION HAZARDS: Hazards or stressors that cause stress (short-term effects) and
strain (long-term effects) Workload demands; violence; intensity; disrespect; bad team work
dynamics
Top 10 Hazards in the Workplace
1. Overexertion Injuries his includes injuries related to pulling, lifting, pushing, holding,
carrying, and throwing activities at work.
2. Slipping/Tripping he number 2 cause of workplace injuries, this pertains to falls
on wet and slippery floors or trips over something lying on the floor.
3. Falling from Heights This type of fall happens from an elevated area such as
roofs, ladders, and stairways.
Reaction Injuries These are injuries caused by slipping and tripping without
falling.
Top 10 Hazards in the Workplace
5. Falling Object Injuries Objects that fall from shelves or dropped by another person can
cause very serious injuries. Head injuries are a common result of this type of accident.
6. Walking Into Injuries This happens when a person accidentally runs into concrete
objects such as walls, doors, cabinets, glass windows, table, chairs etc.
7. Vehicle Accidents Employees who drive for business purposes are often injured in
auto accidents, some of which can be fatal.
8. Machine Entanglement These are injuries caused by slipping and tripping without
falling.
Top 10 Hazards in the Workplace
9. Repetitive Motion Injuries This type of workplace injury is one of those less
obvious but definitely harmful ones in the long run.
10. On the Job Violent Acts Attacks caused by office politics and other arguments
have led to serious physical injuries.
Basic Hazard considerations
Complexity and difficulty of the mission and their tasks.
Terrain and environment.
Weather and visibility.
Equipment on hand and status.
Time available for preparation.
Time available for execution.
Recommended Tool: METT-TC
Other Tools and Resources
Expert Judgment Your Professional Experience SMEs: Subject Matter Experts Safety Officer
OPAs (Organizational Processes Assets) Regulations Manuals SOPs Policies Prior Projects/Missions/Tasks
Data Gathering Accident data S-2 information
Simulations War-gaming What-if scenarios
Assessments METT-TC Assessment (FM 5-19 recommended) Readiness Assessment Prior Risk Assessment Training Assessment
Other Tools and Resources
Brain Storming
Diagrams & Analysis Assumption Analysis Cause and effect diagrams (Fishbone Diagram) Process/System/Logic Diagrams SWOT analysis Mapping techniques
After Action Reviews (AARs)
Other Tools and Resources
Result from Step 1
All subtasks and their respective hazards are inputted into the Composite Risk Management Sheet.
Step 2: Assess Hazards to Determine Risks
Hazards are assessed and risk is assigned in terms of probability and severity of adverse impact of an event/occurrence.
The end result is an initial Risk Assessment Matrix and update to Composite Risk Management Sheet.
Determine the Specified Level of Risk
Risk Assessment Matrix
Result from Step 2
All subtasks and their respective hazards’ risk levels are inputted into the Composite Risk Management Sheet.
Step 3: Develop Controls & Make Risk Decisions Create Plan of Action / Choose Strategies
Develop “Controls” The “What?” “Where?” When?”
Reassess Risks Residual Risks
Establish the “How to Implement” The “How”?
“Who will implement” The “Who”
Plan of Action / Strategies
“Avoid” Strategy = “Avoiding the Bullet” Acts to eliminate the threat or protect SMs from Risk
Impacts. Ex. Taking safer routes; creating non-asbestos buildings; avoid
handling radioactive material; setting up barriers to hazards; workarounds that avoid the hazard; etc…
“Transfer” Strategy = “Passing Down the Buck” Shifting the all or some of the risk impact to a third party
Ex. Having INF support; hiring civilians contractors; locating the FOB within an larger Secured Operating Base; acquire insurance policies; etc…
Plan of Action / Strategies
“Mitigate” Strategy = “Play It Safe” Acts to reduce the probability of occurrence or Risk
Impacts. Ex. PPE; setting up controls; putting signs of hazards;
providing safety briefings; providing training and schooling;
“Accept” Strategy = “Medic!!!” The decision to acknowledge the risk and unable to take
any action unless the risk occurs. Usually occurs when “Criteria for Effective Controls” cannot be met. Ex. Contingency plans; QRF Teams; Setup mortar bunkers by
tents; eye wash stations; CLS classes;
Types of Controls Educational / Awareness Controls
Are based on the knowledge and skills of units, organizations, or individuals. They include awareness of the hazard and control. Ex. Training; Briefings; email circulations;
Physical Controls take the form of barriers and guards or signs to warn
individuals, units, or organizations that a hazard exists. Ex. Signs; guards; barriers; controlled access;
Types of Controls Hazard Elimination Controls
include positive actions to prevent exposure through substantial reduction or the total elimination of the hazard.
3 methods: Engineering – ENGs & Units design equipment & work ENV Administrative – Exercise Breaks; rotations of work; Relief PPE- Personal Protective Equipment – Kevlar; eye pro; gloves
Criteria for Effective ControlsEffective control measures must specify who, what, where, when, and how.
Residual Risk Consideration Risk / Controls = Residual Risks
Residual Risk will Vary The residual risk for each of these hazards may have a
different level, depending on the assessed probability and severity of the hazardous incident.
The Highest Residual Risk is the Overall Residual Risk Overall residual mission risk is determined based on
the hazard having the greatest residual risk.
Residual Risk Consideration No Average Overall Residual Risk
Determining overall mission risk by averaging the risks of all hazards is NOT valid. If one hazard has HIGH risk, the overall residual risk of the mission is HIGH, no matter how many other moderate or low risk hazards are present.
Controls can only reduce Initial Risks of by only 1 level
Controls have only the ability to reduce a Initial Risk Level to a Residual Level by one level. Example, from a High to Medium or from a Medium to a Low.
“How to Implement Controls”
Macro Controls: Risk Management & Planning Ensure the integration of the Risk MGMT Cycle and the
Planning Processes (TLPs, MDMP)
Effective control measures must specify who, what, where, when, and how.
Plan and decide how each control implemented, communicated, and monitored. Ex. written or verbal instruction 10 days prior to mission;
tactical, safety, garrison SOPs reviews 30 days prior to actions, unit rehearsals 8 hours before mission at home station; continuous supervision during operation, before/during/after spot-checks, etc…
“How to Supervise Control Implementation” = Who
Effective control measures must specify who, what, where, when, and how.
Plan and assign responsibility of who will monitor the implementation of each control. Squad Leaders? NCOs? Officers? 1SG? Individual Soldiers? A combination?
Examples of Control Measures
Result from Step 3Controls, residual risk levels, “How to Implement” and How
to supervise are inputted inside the Composite Risk Management Sheet.
What?Where?When?
How? Who?
Result from Step 3 Cont. Ensure Risk Assessment is signed by the respective
Commander IAW Unit’s OPAs (SOPs, Regulations, Policy, etc…). Company CDR – Overall Residual Risk LVL – LOW Battalion CDR – Overall Residual Risk LVL – MEDIUM Brigade CDR – Overall Residual Risk LVL – HIGH
Step 4: Implement Controls
Dissemination of guidance and controls.
Officers, Sergeants, and Soldiers implement the controls.
Train the Trainers.
Implementation Considerations
Supervision Presence
The Unit’s Experience and Training
The Unit’s Morale
Endurance of the Soldiers
Result from Step 4Ensure the Composite Risk Management Sheet is
implemented
Step 5: Supervision& Evaluate
Meeting Standards Officers, Sergeants, and Soldiers are responsible for
executing risk controls to standards.
Reassess Controls & Hazards Any new hazards? Are the controls effective?
Follow Higher’s Guidance Take care of one another and make risk decisions
consistent with the higher commander’s guidance.
Supervision Cont.
Feedback Loop Risk management is a two-way street. Receive and
implement continuous feedback.
Learn
Update Composite Risk Assessment Sheet
Remember: All Risk Cannot be Eliminated The objective of managing risk is not to remove all risk, but
to eliminate unnecessary risk.
Result from Step 5Update the Composite Risk Management Sheet and
review the effectiveness of Controls.
Group Exercise
Gather into groups of 5
Review the Sample Composite Risk Assessment Sheet
Use this lesson and find deficiencies.
Instructor will call out on “Round Robin” basis of different groups.
Summary
Agenda / Flow Publications Introduction Risk Management Fundamentals Risk Management Process & Parallel Planning
Other References
https://www.osha.gov/dte/grant_materials/fy10/sh-20839-10/circle_chart.pdfAssess the hazards to determine risk.
http://arbill1.web11.hubspot.com/arbill-safety-blog/bid/160371/Workplace-Accidents-10-Most-Common-Workplace-Injuries
Definitions & Terms
Risk Management Defined
Risk management is the process of identifying, assessing, and controlling risks arising from operational factors and making decisions that balance risk costs with mission benefits.
Risk Management Process Risk management is the process of identifying and
controlling hazards to conserve combat power and resources.
There are 5 steps involved in risk management.
Risk Assessment Defined
Risk Assessment is the identification and assessments of an individual hazard or all identified hazards combined to complete a task or mission.
Risk
The chance of hazards or bad con-sequences; exposure to injury or loss. The risk level is expressed in terms of hazard probability and severity.
Tactical Risk
“Enemies and their hostile actions”
Tactical risk is risk concerned with hazards that exist because of the presence of either the enemy or an adversary. It applies to all levels of war and across the spectrum of operations.
Accident Risk “Ours and our friendly forces’ actions”
Accident risk includes all operational risk considerations other than tactical risk. It includes risks to the friendly force. It also includes risks posed to civilians by an operation, as well as an operations impact on the environment. It can include activities associated with hazards concerning friendly personnel, civilians, equipment readiness, and environmental conditions.
Hazard Defined
Any existing or potential condition that can cause injury, illness, or death; damage to, or loss of equipment and property; or degradation of the mission.
Risk Assessment Matrix Defined
Risk Assessment Matrix is often used to estimate the degree of severity and probability for each hazard.
Probability DefinedThe likeliness that an event will occur.
Frequent- Occurs often. Likely - Occurs several times. Occasional - Occurs sporadically. Seldom – Unlikely, but could occur. Unlikely – Probably won’t occur.
Severity Defined
Severity is the expected result of an event (degree of injury, property damage or other mission impairing factors.
Catastrophic Critical Marginal Negligible
SeverityCATASTROPHIC (I)Loss of ability to accomplish the mission ormission failure. Death or permanent totaldisability (accident risk). Loss of major ormission-critical system or equipment. Majorproper t y ( facility) damage. Severeenvironmental damage. Mission-criticalsecurity failure. Unacceptable collateraldamage.
Severity Type Defined
SeverityCRITICAL (II)Significantly (severely) degraded missioncapability or unit readiness. Permanentpartial disability, temporary total disabilityexceeding 3 months time (accident risk).Extensive (major) damage to equipment orsystems. Significant damage to property orthe environment. Security failure.Significant collateral damage.
Severity Type Defined
Severity
MARGINAL (III)Degraded mission capability or unitreadiness. Minor damage to equipment orsystems, property, or the environment. Lostday due to injury or illness not exceeding 3months (accident risk). Minor damage toproperty or the environment.
Severity Type Defined
SeverityNEGLIGIBLE (IV)Little or no adverse impact on missioncapability. First aid or minor medicaltreatment (accident risk). Slight equipmentor system damage, but fully functional andserviceable. Little or no property orenvironmental damage.
Severity Type Defined
Exposure & Controls Defined
Exposure is the frequency and length of time soldiers, equipment, and missions are subjected to a hazard.
Controls are the actions taken to eliminate or reduce the risks identified.
Residual Risk Defined
Residual Risk is the level of risk remaining after controls have been implemented. Controls are altered until the residual risk is at an acceptable level or until it cannot practically be further reduced.