OPERATIONAL RISK MANAGEMENT (ORM)

LT MICHAEL HAUSCHEN

C130 AIRCRAFT COMMANDER

FLIGHT SAFETY OFFICER

OPERATIONAL RISK MANAGEMENT IMPLEMENTATION

D a t e : _ _ _ _ _ _ _ M i s s i o n : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

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R i s k A s s e s s m e n tR e v i e w q u e s t i o n s a n d c i r c l e t h e s c o r e a c c o r d i n g t oc u r r e n t l y a v a i l a b l e i n f o r m a t i o n . S c o r e i t e m s a c c o r d i n g t ot h e e x a m p l e s g i v e n a n d i n s t i n c t s . A b s e n c e o f d a t aa u t o m a t i c a l l y s e t s t h e s c o r e t o m a x i m u m p o i n t v a l u e .

P l a n n i n g : T h o r o u g h n e s s o f p r e - m i s s i o n p l a n n i n g . F a c t o r s w h i c h i n c r e a s e r i s k , B - 0 r e s p o n s ea s s e t s , i n - f l i g h t d i v e r t o f a s s e t .

A d e q u a t e M i n i m a l N o n eh

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E v e n t : R e f e r s t o m i s s i o n c o m p l e x i t y a n d g u i d a n c e o r d o c t r i n e a v a i l a b l e . F a c t o r s w h i c h m a y i n c r e a s er i s k : s k e t c h y d e t a i l s o r n o n - s t a n d a r d m i s s i o np r o f i l e .

C l e a r G u i d a n c e C o m p l e x /I n n o v a t i o n R e q u i r e d

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A s s e t : S e l e c t i o n o f a p p r o p r i a t e r e s o u r c e s . F a c t o r s t h a t e f f e c t r i s k : t i m e a t u n i t , u n f a m i l i a r w / O P a r e a , f a t i g u e ,f l i g h t t i m e ( t o t a l t i m e & t i m e i n t y p e ) , c r e w r e s t , 5 1 8 1 ’ s ,r e q u e s t o r ’ s k n o w l e d g e o f a s s e t c a p a b i l i t i e s .

A . P i l o t s

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B . A i r c r e wE x c e l l e n t A d e q u a t e M a r g i n a l

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C . A i r f r a m e / R e s o u r c e s

F u l l y M i s s i o n P a r t i a l l y M i s s i o nC a p a b l e C a p a b l e

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C o m m u n i c a t i o n s : A b i l i t y t o m a i n t a i n c o m m s t h r o u g h o u t m i s s i o n . F a c t o r s : i n t e r n a l w / c o m m a n d a n de x t e r n a l w / c u s t o m e r .

A d e q u a t e M a r g i n a l N o n eh

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E n v i r o n m e n t : E x t e r n a l c o n d i t i o n s u r r o u n d i n g m i s s i o n : W e a t h e r , n i g h t , i l l u m i n a t i o n , m o u n t a i n o u s s e as t a t e , t e r r a i n , c u t t e r b a s e d , a l t e r n a t e a i r f i e l d s ,w a t e r t e m p , o n - s c e n e c o v e r .

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A d d t h e v a l u e s f o r e a c h R i s k A s s e s s m e n t a n d p l o tt h e f i n a l R i s k A s s e s s m e n t o n g r a p h b e l o w ( i n c l u d er e - a s s e s s m e n t f r o m S t e p 2 ) .

R i s k M a n a g e m e n tR i s k M a n a g e m e n t i s t h e d e c i s i o n t o c o n t r o l o r r e d u c eh a z a r d s . B e l o w a r e C o n t r o l O p t i o n s t o a s s i s t i n r i s kc o n t r o l o r r e d u c t i o n . R e v i e w t h e o p t i o n s a n d r e a s s e s s t h er i s k s a s a p p r o p r i a t e .

S p r e a d - o u t – D i s p e r s e t h e r i s k b y l a u n c h i n g a d d i t i o n a l a i r / s u r f a c e a s s e t s .

T r a n s f e r – I f p r a c t i c a l , l o c a t e a b e t t e r s u i t e d a s s e t t o c o n d u c t t h e m i s s i o n i . e . d i f f e r e n t a i r f r a m e , s u r f a c e a s s e t , o rc r e w .

A v o i d – C i r c u m v e n t h a z a r d : W a i t f o r r i s k t o s u b s i d e i . e . w a i t u n t i l d a y l i g h t o r w e a t h e r p a s s e s .

A c c e p t – I n s o m e c a s e s t h e b e n e f i t m i g h t j u s t i f y t h e a s s u m p t i o n o f r i s k . I n t h e s e c a s e s a d e c i s i o n t o a c c e p t r i s km a y b e m a d e w i t h t h e s t i p u l a t i o n t h a t r i s k i s r e e v a l u a t e d a st h e m i s s i o n p r o g r e s s . ( N o a d j u s t m e n t t o R i s kA s s e s s m e n t )

R e d u c e – R e d u c e o r l i m i t r i s k e x p o s u r e : A d d i t i o n a l P R E C O M / E X C O M , b r i n g i n f r e s h o r m o r e e x p e r i e n c e dc r e w .

R e - a s s e s s S t e p 1 V a l u e s

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L o w G a i n – S i t u a t i o n w i t h i n t a n g i b l e b e n e f i t s o r a l o wp r o b a b i l i t y f o r p r o v i d i n g c o n c r e t e r e s u l t s . E x a m p l e si n c l u d e p a s s e n g e r t r a n s p o r t , n o n - c r i t i c a l l o g i s t i c s m i s s i o n s ,P A O d e m o n s t r a t i o n f l i g h t , e t c .

M e d i u m G a i n – S i t u a t i o n t h a t p r o v i d e s i m m e d i a t e ,t a n g i b l e b e n e f i t s . E x a m p l e s i n c l u d e s a v i n g p r o p e r t y ,p r o t e c t i n g t h e e n v i r o n m e n t , d e t e r r i n g i l l e g a l o p e r a t i o n s .

H i g h G a i n – S i t u a t i o n t h a t p r o v i d e s i m m e d i a t e , t a n g i b l eb e n e f i t s t h a t i f i g n o r e d c o u l d r e s u l t i n l o s s o f l i f e .E x a m p l e s i n c l u d e U r g e n t S A R a n d M E D E V A C s .

G i v e n t h e m i s s i o n d e s c r i p t i o n a b o v e , w h a t i s t h e “ G a i n ”f o r t h i s m i s s i o n ?

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R i s k A s s e s s m e n t G a i n( H i / M e d / L o ) ( H i / M e d / L o )

U s e t h e R i s k v s . G a i n C h a r t o n t h e n e x t p a g ef o r a r e c o m m e n d a t i o n o n h o w t o p r o c e e dw i t h t h e m i s s i o n .

OBJECTIVES

BRIEF review of ORM principles.

Review ORM doctrine, worksheet, and requirements.

Review PEACE and STAAR acronyms of process.

ORM IN A NUTSHELL

A systematic approach to optimizing risk to support best mission outcomes.

ANY GOOD IDEAS?

4 KEY ORM PRINCIPLES

1. Accept no unnecessary risks.

2. Make risk decisions at the appropriate level.

3. Accept risks when benefits outweigh costs.

4. Integrate ORM into operations and planning at all levels.

WHY FORMALIZE AND WHY IMPLEMENT??

If all the hazards that could have been detected have not been detected then unnecessary risks are being accepted.

The single greatest advantage of ORM over traditional risk management is the consistent detection of 50%+ more hazards.

CGAIRSTAINST 3501.1, ORM DOCTRINE

DOCTRINE REQUIREMENTS

All hands to detect and report workplace hazards.

Aircrews to be familiar ORM principles and acronyms (PEACE and STAAR) applicable to aviation missions.

Aircraft Commanders to be familiar with doctrine, worksheet, and requirements for various risk assessments.

ORM WORKSHEET STEPS

STEP 1: RISK ASSESSMENTSTEP 2: RISK MANAGEMENTSTEP 3: RISK VS. GAINSTEP 4: MISSION IMPACT

HAZARD VS. RISK

HAZARD – A DESCRIPTION OF A CONDITION THAT POSES THE

POTENTIAL TO IMPAIR MISSION ACCOMPLISHMENT

RISK – A HAZARD FOR WHICH WE HAVE ESTIMATED THE SEVERITY, PROBABILITY, AND EXPOSURE TO DETERMINE MISSION IMPACT.

HAZARD VS. RISK!!

STEP 1: RISK ASSESSMENT

AIRCREW INPUT IMPORTANT.ULTIMATELY: PILOT

JUDGEMENT, EXPERIENCE, AND INSTINCTS WILL DICTATE RISK ASSESSMENT.

NO TWO ASSESSMENTS WILL BE IDENTICAL.

ASSESS RISKS

SEVERITY – WHAT ARE THE EFFECTS?

PROBABILITY – CAN THIS HAPPEN TO US?

EXPOSURE – WHAT IS THE EVENT FREQUENCY OR DEGREE OF INVOLVEMENT?

STEP 1: RISK ASSESSMENT

PLANNING (1-5)

EVENT (1-5)

ASSET(Pilots, crew, aircraft 1-5 ea.)

COMMUNICATIONS (1-5)

ENVIRONMENT (2-10)

RISK LEVEL FACTORS

PLANNING: HOW MUCH TIME SPENT PLANNING THE MISSION?

FACTORS: TIME AVAILABLE TO PLAN?, FLIGHT PLANNING FACILITIES AVAILABLE?, PILOTS AND/OR AIRCREW ABLE TO CONFER REGARDING MISSION?, B-0 RESPONSE?

1= ADEQUATE, 3=MINIMAL, 5=NONE

RISK LEVEL FACTORS

EVENT: MISSION GUIDANCE OR DOCTRINE AVAILABLE TO CREW

FACTORS: STANDARD VS. NON-STANDARD MISSION PROFILE?, PILOT/AIRCREW EXPERIENCE WITH MISSION PROFILE, REVERSE CYCLE OPS, SAR, LE, LOG, ETC, MISSION GUIDANCE AVAILABLE?

1=CLEAR GUIDANCE, 5=COMPLEX MISSION, INNOVATION REQUIRED

RISK LEVEL FACTORS

ASSET: SELECTION OF APPROPRIATE RESOURCES TO RESPOND

FACTORS: PILOT/AIRCREW EXPERIENCE LEVELS, CREW POSITIONS, IMSAFE CHECKLIST (ILLNESS, MEDS, STRESS, ALCOHOL, FATIGUE, EATING), AIRCRAFT CAPABILITIES (PARTIALLY MISSION CAPABLE), REQUESTOR’S KNOWLEDGE OF AIRCRAFT CAPABILITIES.

1=EXCELLENT, 3=ADEQUATE, 5=MARGINAL

RISK LEVEL FACTORS

COMMUNICATIONS: ABILITY TO MAINTAIN COMMS THROUGHOUT MISSION.

FACTORS: RELAY PLATFORM NEEDED/AVAILABLE?, COMMS WITH OTHER UNITS, ACFT RADIO STATUS, LANGUAGE BARRIERS?, INTERNAL COMMS WITH COMMAND, EXTERNAL TO CUSTOMER?

1= ADEQUATE, 3=MARGINAL, 5=NONE

RISK LEVEL FACTORS

ENVIRONMENT: EXTERNAL CONDITIONS SURROUNDING MISSION.

FACTORS: WEATHER, NIGHT, ILLUMINATION, MOUNTAINOUS SEA STATE, TERRAIN, ALTERNATE AIRFIELDS, WATER TEMP, ON-SCENE COVER.

2=BENIGN, 6=MARGINAL, 10=HAZARDOUS

TOTALIZE RISK ASSESSMENT

8-20: LOW RISK21-30: MEDIUM RISK31-40: HIGH RISK

LOW RISK??

NO FURTHER ACTION REQUIRED

STEP 2: RISK MANAGEMENT

If risk is medium (21-30) or high (31-40), review risk management options.

SPREAD-OUTTRANSFERAVOIDACCEPTREDUCE

RISK(COST) VS. GAIN?

STEP 3: RISK vs. GAIN

Review mission definitions to determine mission gain and proceed to step 4.

High gain: SARMedium gain: LELow gain: LOG

STEP 4: Mission Impact

Review Risk vs. Gain on page 2 for required action prior to mission execution.

  

  

 

  High Gain 

Medium Gain 

Low Gain 

 

Low Risk (8-20)

Accept the Mission. Continue to monitor Risk Factors.

Accept the Mission. Continue to monitor Risk Factors.

Accept the Mission. Re-evaluate Risk vs. Gain should Risk Factors change.

  

Medium Risk (21-30)

Attempt to contact Operations Officer. Accept the Mission. Continue to monitor Risk Factors and employ Control Options when available.

Attempt to contact Operations Officer. Accept the Mission. Continue to monitor Risk Factors and employ Control Options when available.

Attempt to contact Operations Officer. Accept the Mission. Continue to monitor Risk Factors and actively pursue Control Options to reduce Risk.

   

High Risk (31-40)

Accept the Mission only with Command endorsement. Communicate Risk vs. Gain to Chain of Command. Actively pursue Control Options to reduce Risk. 

Accept the Mission only with Command endorsement. Communicate Risk vs. Gain to Chain of Command. Actively pursue Control Options to reduce Risk. 

Do not Accept the Mission. Communicate to Chain of Command. Wait until Risk Factors change or Control Options warrant. 

CONTINUOUS PROCESS

RISK ASSESSMENT AND MANAGEMENT CONTINUE THROUGHOUT MISSION EXECUTION.

LOW RISK MISSIONS MAY EVOLVE INTO HIGH RISK MISSIONS (HAS THE GAIN CHANGED TO JUSTIFY THE RISK ACCEPTANCE?)

MANAGERIAL TOOL OR SAFETY NET?

AVIATION CULTURECOAST GUARD CULTURE

SENIOR LEVEL EXPERIENCEHISTORY OF CRM

CHANGING RISK?