RISK MANAGEMENT

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

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

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

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

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

(BLUFOR-GROUND)

NTC FY93 2.23 3%

Friendly Fire

7.87**** 9%

Enemy Action

73.61 43%

148.56 55%

131.20 45%

2.90 20%

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

HOW TO IMPLEMENT 12. DTG BEGIN : END : 3. HAZARDS 7. PREPARED BY: RANK/LAST NAME/DUTY POSITION 13. HOW TO SUPERVISE HAZARDS B-8 6 7 8 11 12 9 9. 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. CONTROLS 11. RISK DECISION AUTHORITY: 10 LOW MODERATE HIGH EXTREMELY HIGH RANK/LAST NAME/DUTY POSITION .RISK MANAGEMENT WORKSHEET PAGE ___ of ____ 1 1. DATE PREPARED: 5. MSN/TASK : 4.

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

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

The unit SOP requires the use of a tire cage.Supervisor sees the soldier changing the tire and doesn’t stop him. he attempts to service the tire anyway so he won’t have to wait for maintenance personnel. 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.The unit tire cage was not properly constructed and the unit does not have a twelve foot extension for the air gage. however it does not require the use of a twelve foot air gage extension. Can’t be that hard. Leader Failure . TSP--4A . Support Failure . Standards Failure .SOURCES OF CAUSE FACTORS EXAMPLES Individual Failure .Soldier knows there is a requirement to be certified on servicing tires and although he isn’t certified.

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

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

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

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

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

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

WHAT IS THE FIRST STEP OF RISK MANAGEMENT? .

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

•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! .

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

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

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

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 Information  Scenario Thinking TSP-14 .

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

WHAT IS THE SECOND STEP OF RISK MANAGEMENT? .

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

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

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

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

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

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

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

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 H H M L H M L L M L L L CRITICAL MARGINAL M L NEGLIGIBLE TSP-17 .MODERATE RISK L .HIGH RISK M .RISK ASSESSMENT MATRIX RISK ASSESSMENT MATRIX E .

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? .

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

if not • Adjust to make adequate or develop new controls Consider: • Realism. 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 .Develop Controls & Make Risk Decision CONTROLS For each hazard • Implement existing controls if adequate.

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

WHAT IS THE FOURTH STEP OF RISK MANAGEMENT? .

Identify hazards Supervise & evaluate IMPLEMENT CONTROLS TSP--24 . 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.

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

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

WHAT IS THE FIFTH STEP OF RISK MANAGEMENT? .

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

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 .AAR’s TSP-28 .

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

Our goal is to make risk management a routine part of planning and executing operational missions. Army.’ 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 .

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

DATE PREPARED: END : 050600MAR97 2 MAR 97 SOLUTION . RISK DECISION AUTHORITY: CPT BRADLEY. CONTROLS 11. HAZARDS 7. Execute Attack ARTEP 7-8-MTP (7-3/4-1100) 2LT Eager 1st Plt Ldr Co. 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 . HOW TO IMPLEMENT 12. snow/rain) Use NVD’s Unit TACSOP Buddy Sys injury recognition and administering Spot check FM 21-11 Unit TACSOP OPORD PCC/PCI Rehearse movement techniques Recon the route Adjust movement interval to meet existing conditions 9.limited visibility (night. B PREPARED BY: RANK/LAST NAME/DUTY POSITION 13. rain/snow E Adjust SP time to allow for adverse weather conditions Proper protective gear worn Brief techniques for cold weather H OPORD Unit TACSOP Direct Sprv PCC/PCI Soldiers Man first aid.SCENARIO 1 1. . MSN/TASK : 4. DTG BEGIN : 021500MAR97 3.SAMPLE RISK MANAGEMENT WORKSHEET PAGE ___ of __2__ 1 2. OVERALL RISK LEVEL AFTER CONTROLS ARE IMPLEMENTED (CIRCLE ONE): OPORD Unit TACSOP OPORD OPORD Cont sprv Cont sprv Cont sprv 10. COMMANDER LOW MODERATE HIGH EXTREMELY HIGH RANK/LAST NAME/DUTY POSITION .cold. C 5.

Terrain (cliffs. HAZARDS 7.Misidentification of friendly vs. HOW TO SUPERVISE Inexperienced soldiers .RISK MANAGEMENT WORKSHEET SAMPLE PAGE _2_ of ___2_ SOLUTION-SCENARIO 1 13. ravines.Unfamiliar with new TACSOP Drill procedures that apply to mission . HOW TO IMPLEMENT 12. CONTROLS 11. 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 . threat personnel and equipment .C E O N T R O L S F F E C T I V E 5.

.Thank you for your attention.

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