RISK MANAGEMENT

Updated Jan09 Updated Jan09

TSP-1

LEARNING OBJECTIVES
A. Terminal Learning Objective (TLO). As a leader, apply the risk management process to a mission training plan task in a garrison or tactical environment. Specifically, the leader will correctly answer questions about basic risk management concepts and terms, and complete the worksheet for the scenario provided in accordance with the risk management worksheet instructions.

Enabling Learning Objectives (ELO)
•Identify the three categories of accident cause factors •Define the underlying sources (reasons) of accident cause factors •Identify and define key terms associated with risk management •Identify hazards using METT-T factors, available hazard detection resources and personal experience/expertise •Determine the level of risk •Develop control options and make risk decisions •Determine how to implement, supervise, and evaluate the effectiveness of controls

Developmental References
•Small Unit Risk Management Booklet •Leader’s Guide to Force Protection through Risk Management Book •The Small Unit Leader’s Force Protection Course Lesson Guide •Small Unit Safety Officer/NCO Guide (Pam 385-1)

Battle and Non-Battle Casualties**
Rate* per 1,000 soldiers and percent

Army Accident Friendly Fire Enemy Action

W.W.II 1942-45 95.57 56% 1.50*** 1% 73.61 43%

Korea 1950-53 120.33 44% 3.03*** 1% 148.56 55%

Vietnam 1965-72 154.66 54% 2.67*** 1% 131.20 45%

DS/S 1990-91 11.14 75% .68 5% 2.90 20%

(BLUFOR-GROUND)

NTC FY93 2.23 3%

7.87**** 9% 74.17**** 88%

* Per 12 months for W.W.II, Korea and Vietnam; 14 months for DS/S; per rotation NTC. ** Deaths and injuries (ground and aviation) for entire war/operation. *** Research based estimate (2% of all direct- and indirect- fire losses). **** Simulated (MILES) direct fire vehicle kills. TSP-2

PREPARED BY: RANK/LAST NAME/DUTY POSITION 13. HOW TO IMPLEMENT 12. RI RE SK SI D LE UA VE L L 6 RI . MSN/TASK : 4. RISK DECISION AUTHORITY: LOW MODERATE HIGH EXTREMELY HIGH 10 RANK/LAST NAME/DUTY POSITION . DTG BEGIN : END : 3. OVERALL RISK LEVEL AFTER CONTROLS ARE IMPLEMENTED (CIRCLE ONE): 10. CONTROLS 11. DATE PREPARED: 8. C O N T R O L S E F F E C T I V E 2.RISK MANAGEMENT WORKSHEET PAGE ___ of ____ 1 1. HAZARDS 7. I SK NI T LE IAL VE L 5. HOW TO SUPERVISE HAZARDS B-8 6 7 8 11 12 9 9.

•Material Failure/Malfunction .an individual’s actions or performance is different than what is required and results in or contributes to an accident. •Environmental Conditions . equipment or materials and causes or contributes to an accident.a fault in the equipment that keeps it from working as designed.any natural or manmade surroundings that negatively affect performance of individuals.CAUSE FACTORS •Human Error . TSP-3 . therefore causing or contributing to an accident.

Leader does not enforce known standard.Equipment/material improperly designed/not provided. or do not exist.Soldier not trained to known standard (insufficient. Support Failure . Leader Failure .Soldier knows and is trained to standard but elects not to follow the standard (self-discipline). incorrect or no training on task).SOURCES OF CAUSE FACTORS Individual Failure .Standards/procedures not clear or practical. Standards Failure . TSP-4 . Training Failure .

Soldier has never had any training on how to service split rims and didn’t know that a tire cage and air extension is required for inflation. Support Failure . however it does not require the use of a twelve foot air gage extension.The unit SOP requires the use of a tire cage.Soldier knows there is a requirement to be certified on servicing tires and although he isn’t certified.Supervisor sees the soldier changing the tire and doesn’t stop him. Can’t be that hard. he attempts to service the tire anyway so he won’t have to wait for maintenance personnel. Standards Failure .The unit tire cage was not properly constructed and the unit does not have a twelve foot extension for the air gage. Leader Failure . Training Failure . TSP--4A .SOURCES OF CAUSE FACTORS EXAMPLES Individual Failure .

CAUSES: •HUMAN ERROR •MATERIAL FAILURE/MALFUNCTION •ENVIRONMENTAL CONDITIONS UNDERLYING SOURCES OF CAUSES •INDIVIDUAL FAILURE •LEADER FAILURE •TRAINING FAILURE •STANDARDS FAILURE •SUPPORT FAILURE .

Key Definitions  Risk  Management . It is a closed-loop process applicable to any situation and environment. techniques. and procedures for applying risk management in their areas of responsibility.the process of identifying and controlling hazards to protect the force. TSP-5  . It’s five steps represent a logical thought process from which users develop tools.

(AR 310-25) . or loss of equipment or property. or mission degradation.any real or potential condition that can cause injury. 1976)  Risk TSP-6 .chance of hazard or bad consequences. exposure to chance of injury or loss. illness or death of personnel. (Oxford Dictionary. or damage to.Key Definitions  Hazard .

.Key Definitions  Risk  level is expressed in terms of hazard probability and severity. TSP-7  . etc.the expected consequence of an event in terms of degree of injury. or other mission impairing factors (loss of combat power. Probability .) that could occur.. property damage.the likelihood that an event will occur. Severity .

Key Definitions  Risk Assessment .  Controls TSP-8 .the identification and assessment of hazards (first two steps of the Risk Management process).actions taken to eliminate hazards or reduce their risk(s). .

Key Definitions  Residual Risk .the decision to accept or not accept the risk(s) associated with an action made by the commander. TSP-9  Risk . Decision .the level of risk remaining after controls have been identified and selected. or the individual responsible for performing that action. leader.

WHAT IS THE FIRST STEP OF RISK MANAGEMENT? .

Identify hazards to the force. TSP-10 . and known historical problem areas. Consider all aspects of current and future situations. environment.Risk Management Process Assess hazards Develop controls & make risk decision STEP 1  Identify IDENTIFY HAZARDS Supervise & evaluate Implemen t controls Hazards.

•HOW DO WE IDENTIFY THE HAZARDS? •LOTS OF AREAS TO CONSIDER •POSSIBILITY OF OVERLOOKING SOMETHING •WHAT KIND OF FRAMEWORK WILL HELP IDENTIFY POSSIBLE HAZARDS? .

THE METT-T FACTORS PROVIDE THAT FRAMEWORK! .

Terrain/Weather . Enemy .Environmental conditions. type. TSP-11 .plan.amount.Equipment . and conduct .training. type. number.Troops . design.Size and capability (SALUTE). Troops and Equipment .Specified. . implied and subtasks. and condition. rehearse. and physical condition.METT-T Mission. Time available .

Hazard is not adequately controlled at this echelon or next lower echelon.Hazard should be tracked via risk management work sheet.ID HAZARDS .Identified those hazards most likely to result in loss of combat power CRITERIA For “Most Likely Hazard” . . TSP-12 .OBJECTIVE OBJECTIVE .

risk manage this hazard.Services/facilities Identified METT-T hazard -Standards .Individual .IS THE HAZARD ADEQUATELY CONTROLLED? Adequate YES NO -Support .Personnel . TSP-13 .Equipment/material .Leader .Is guidance/procedure adequately clear/ practical/specific to control hazard? .If one or more “no”.Supplies .Are leaders ready. willing and able to enforce standards required to control hazard? .Is type/amount/capability/condition of support adequate to control hazard? .Training .Is soldier performance and conduct sufficiently self-disciplined to control hazard? A . no further action.If all “yes”. .Is training adequately thorough and recent to control hazard? .

answer the five (5) questions about: • • • • • the individual leaders training standards support .DO THESE 5 QUESTIONS LOOK FAMILIAR? To determine if the hazard is adequately controlled.

CAUSES: •HUMAN ERROR •MATERIAL FAILURE/MALFUNCTION •ENVIRONMENTAL CONDITIONS UNDERLYING SOURCES OF CAUSES •INDIVIDUAL FAILURE •LEADER FAILURE •TRAINING FAILURE •STANDARDS FAILURE •SUPPORT FAILURE .

Detection Resources and Techniques Brain Storming Experts Publications Accident Scenario Information Thinking TSP-14 .

ISSUE THE WARNING ORDER .WHILE YOU ARE DOING THIS TROOP LEADING PROCEDURES .RECEIVE THE MISSION .MAKE A TENTATIVE PLAN DO THIS IDENTIFY HAZARDS TSP-15 .

WHAT IS THE SECOND STEP OF RISK MANAGEMENT? .

Assess hazards to determine risks. TSP-16 . ASSESS HAZARDS Develop controls & make risk decisions STEP 2  Assess Identify hazards Supervise & evaluate Implemen t controls Hazards. based on probability and severity. Assess the impact of each hazard in terms of potential loss and cost.Risk Management Process.

HIGH RISK M .MODERATE RISK L .LOW RISK FREQUENT PROBABILITY LIKELY OCCASIONAL SELDOM UNLIKELY S E V E R I T Y CATASTROPHIC E E H M E H M L H H M L H M L L M L L L CRITICAL MARGINAL NEGLIGIBLE PROBABILITY -.RISK ASSESSMENT MATRIX RISK ASSESSMENT MATRIX E .THE LIKELIHOOD THAT AN EVENT WILL OCCUR (DUE TO THE HAZARD) TSP-17 .EXTREMELY HIGH RISK H .

Unlikely. Occasional . but could occur at some time. continuously experienced. TSP-18 . Unlikely .Occurs sporadically. Seldom .PROBABILITY Frequent Likely Occasional Seldom Unlikely Frequent . Likely .Occurs often.Can assume it will not occur.Occurs several times.

Likely. center left Note the definition of “Probability” and note the explanations of the categories of probability: Frequent. Seldom and Unlikely .LOOK AT YOUR ARNG Hasty Risk Management Card Front side (with colors). Occasional.

. ETC. PROPERTY DAMAGE.) THAT COULD OCCUR. OR OTHER MISSION IMPAIRING FACTORS (LOSS OF COMBAT POWER.SEVERITY: THE EXPECTED CONSEQUENCE OF AN EVENT IN TERMS OF DEGREE OF INJURY. ADVERSE PUBLICITY.

major system damage. minor property damage. Minor injury. Catastrophic system loss. minor system damage. temporary total disability in excess of 3 months. major property damage. minor system impairment.SEVERITY S E V E R I T Y Death or permanent total disability. significant property damage. TSP-19 Marginal Negligible . First aid or minor supportive medical treatment. Critical Permanent partial disability. compensable injury or illness. lost workday accident.

LOOK AT YOUR ARNG Hasty Risk Management Card Front side (with colors). Marginal and Negligible . Critical. top center Note the definition of “Severity” and note the explanations of the categories of severity: Catastrophic.

HIGH RISK M .RISK ASSESSMENT MATRIX RISK ASSESSMENT MATRIX E .MODERATE RISK L .EXTREMELY HIGH RISK H .LOW RISK FREQUENT PROBABILITY LIKELY OCCASIONAL SELDOM UNLIKELY S E V E R I T Y CATASTROPHIC E E H M E H M L H H M L H M L L M L L L CRITICAL MARGINAL NEGLIGIBLE TSP-17 .

LOOK AT YOUR ARNG Hasty Risk Management Card Front side (with colors) Note the RISK Assessment Matrix at the bottom of that card The block where the hazard’s probability and severity intersect is the RISK LEVEL .

WHILE YOU ARE DOING THIS - TROOP LEADING PROCEDURES “MAKE A TENATIVE PLAN” MAKE AN ESTIMATE OF THE SITUATION DEVELOP SITUATION AND COA ANALYZE COURSES OF ACTION DETAILED MISSION ANALYSIS DO THIS ASSESS THE HAZARDS TSP-20 .

WHAT IS THE THIRD STEP OF RISK MANAGEMENT? .

As control measures are developed. Assess hazards DEVELOP CONTROLS & MAKE RISK DECISION Develop Controls and Make Risk Decisions. Develop control measures that eliminate the hazard or reduce its risk.Risk Management STEP 3  Process. Identify hazards Supervise & evaluate Implemen t controls TSP--21 . risks are reevaluated until all risks are reduced to a level where benefits outweigh potential cost.

time. money and resources • Minimize chance of accidents • Maximize chance of mission accomplishment DECISION • Determine level of residual risk • Have the appropriate level of command accept risk TSP-22 . if not • Adjust to make adequate or develop new controls Consider: • Realism.Develop Controls & Make Risk Decision CONTROLS For each hazard • Implement existing controls if adequate.

WHILE YOU ARE DOING THIS TROOP LEADING PROCEDURES .EXPANDING SELECTED COA INTO A TENTATIVE PLAN DO THIS DEVELOP CONTROLS AND MAKE RISK DECISION TSP-23 .COMPARING COURSES OF ACTION .MAKING DECISION .

WHAT IS THE FOURTH STEP OF RISK MANAGEMENT? .

Identify hazards Supervise & evaluate IMPLEMENT CONTROLS Put controls in place that eliminate the hazards or reduce their risks.Risk Management Process Assess hazards Develop controls & make risk decisions STEP 4  Implement Controls. TSP--24 .

IMPLEMENT CONTROLS       Standing Operating Procedures (SOP'S) Orders Briefings and back-briefs Training Rehearsals New equipment TSP-25 .

COMPLETING THE PLAN .RECONNOITERING .ISSUING THE ORDER DO THIS IMPLEMENT CONTROLS TSP-26 .INITIATING MOVEMENT .WHILE YOU ARE DOING THIS TROOP LEADING PROCEDURES .

WHAT IS THE FIFTH STEP OF RISK MANAGEMENT? .

Evaluate the effectiveness of controls and adjust/ update as necessary. and enforce standards and controls. Identify hazards SUPERVISE & EVALUATE TSP-27 .Risk Management Process Assess hazards Develop controls & make risk decision Implemen t controls STEP 5 Supervise & Evaluate. Perform to.

AAR’s TSP-28 .Supervise All Soldiers responsible (self-discipline) for: • Performing to standard • Executing controls • Recognizing unsafe acts or conditions Leaders are also responsible for enforcement Evaluate • Effectiveness of Controls (adjust/update) • Feedback .

SUPERVISE AND REFINE THE PLAN DO THIS SUPERVISE AND EVALUATE TSP-29 .WHILE YOU ARE DOING THIS TROOP LEADING PROCEDURES .

Army. Our goal is to make risk management a routine part of planning and executing operational missions.’ Chief of Staff.‘Risk management is the Army’s principal risk-reduction process to protect the force. July 1995 TSP--30 .

REVIEW Small Unit Risk Management Booklet .

DTG BEGIN : END : 3. I SK NI T LE IAL VE L 5. HOW TO IMPLEMENT 12. MSN/TASK : 4. HAZARDS 7. CONTROLS 11. DATE PREPARED: 8. C O N T R O L S E F F E C T I V E 2. OVERALL RISK LEVEL AFTER CONTROLS ARE IMPLEMENTED (CIRCLE ONE): 10.RISK MANAGEMENT WORKSHEET PAGE ___ of ____ 1 1. RISK DECISION AUTHORITY: RANK/LAST NAME/DUTY POSITION LOW MODERATE HIGH EXTREMELY HIGH . HOW TO SUPERVISE B-8 9. RI RE SK SI D LE UA VE L L 6 RI . PREPARED BY: RANK/LAST NAME/DUTY POSITION 13.

MSN/TASK : RISK MANAGEMENT WORKSHEET PAGE ___ of __2__ 1 2. HOW TO SUPERVISE O N T R O L S E F F E C T I V E Enemy obstacles H Attach Engineer Sqd to the plt Develop obstacle reduction plan Rehearse obstacle reduction techniques M OPORD Unit TACSOP OPORD Eng Handbook Unit TACSOP FM 5-34 Eng Handbook Direct Sprv Cont Sprv Cont Sprv Adverse environmental conditions . PREPARED BY: Execute Attack ARTEP 7-8-MTP (7-3/4-1100) 2LT Eager 1st Plt Ldr Co. RI RE SK SI D LE UA VE L L 6 RI . B RANK/LAST NAME/DUTY POSITION 2 MAR 97 13. RISK DECISION AUTHORITY: LOW MODERATE HIGH EXTREMELY HIGH CPT BRADLEY. CONTROLS 11. snow/rain) Use NVD’s Rehearse movement techniques Recon the route Adjust movement interval to meet existing conditions 9. H OPORD Unit TACSOP Unit TACSOP Soldiers Man FM 21-11 Unit TACSOP OPORD OPORD Unit TACSOP OPORD OPORD Direct Sprv PCC/PCI Buddy Sys Spot check PCC/PCI Cont sprv Cont sprv Cont sprv . COMMANDER RANK/LAST NAME/DUTY POSITION .cold. rain/snow E Adjust SP time to allow for adverse weather conditions Proper protective gear worn Brief techniques for cold weather injury recognition and administering first aid. C 8. HAZARDS 7.limited visibility (night.SCENARIO 1 1. I SK NI T LE IAL VE L 5. DATE PREPARED: 4. OVERALL RISK LEVEL AFTER CONTROLS ARE IMPLEMENTED (CIRCLE ONE): 10. DTG BEGIN : 021500MAR97 END : 050600MAR97 3. HOW TO IMPLEMENT 12.SAMPLE SOLUTION .

IN S K IT LE IAL VE L 8. RI RES S K ID LE UA VE L L 5. open areas) E Buddy team experienced soldiers with inexperienced Use climbing ropes Use rope bridges Bypass Cross at night Use smoke Practice techniques Use visual recognition markings Squad leader initiates fires Conduct opportunity training on ID H Battle roster TC 90-6-1 Mountaineering OPORD Unit TACSOP Verbal/Rehearse Unit TACSOP Ranger Hndbk OPORD Verbal Rehearse/brief Cont Sprv Cont Sprv Spot rpt Cont Sprv Direct Sprv Cont Sprv Cont Sprv Buddy Sys Direct Sprv .Unfamiliar with new TACSOP Drill procedures that apply to mission . ravines. HOW TO IMPLEMENT 12. HAZARDS 7.RISK MANAGEMENT WORKSHEET SAMPLE PAGE _2_ of ___2_ SOLUTION-SCENARIO 1 13.C E 6 RI . threat personnel and equipment . HOW TO SUPERVISE O N T R O L S F F E C T I V E Inexperienced soldiers . CONTROLS 11.Misidentification of friendly vs.Terrain (cliffs.

.Thank you for your attention.

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