Military + Civilian Best Practices: Risk Management ver 1.1

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)

1. Risk Management
OPD
By 1LT Alejandro Perez

2. Agenda / Presentation Flow
Agenda / Flow
Publications
Introduction
Risk Management Fundamentals
Risk Management Process & Parallel Planning
Summary
-------------------------------------------------------------------------
Group Exercise
-------------------------------------------------------------------------
Other References
Definitions & Terms

3. 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 5
th
Edition – Chapter 11: Project Risk MGMT
Publications

4. 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.

5. 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.

6. 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.

7. 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.

8. 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.

9. 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.

10. 5 Steps of Risk MGMT Cycle

11. Risk MGMT Cycle & Planning
Risk Management Cycle and the Planning Processes
are integrated and continuous process in and of itself.
TLPs
MDMP

12. TLPs & Risk MGMT Cycle

13. MDMP & Risk MGMT Cycle

14. MDMP, TLPs, & Risk MGMT Integration

15. Risk Management - Assessment

16. 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.

17. Risk MGMT – MGMT Phase

18. 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.

19. 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

20. 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”

21. 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

22. 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

23. Top 10 Hazards in the Workplace
1.Overexertion Injuries
his includes injuries related to pulling, lifting, pushing, holding,
carrying, and throwing activities at work.

1.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.
1.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.

24. 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.
5.Walking Into Injuries
This happens when a person accidentally runs into concrete
objects such as walls, doors, cabinets, glass windows, table,
chairs etc.
5.Vehicle Accidents
Employees who drive for business purposes are often injured in
auto accidents, some of which can be fatal.
5.Machine Entanglement
These are injuries caused by slipping and tripping without
falling.

25. 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.

9.On the Job Violent Acts
Attacks caused by office politics and other arguments
have led to serious physical injuries.

26. 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.

27. Recommended Tool: METT-TC

28. 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

29. 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

30. 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

31. Result from Step 1
All subtasks and their respective hazards are inputted into
the Composite Risk Management Sheet.

32. 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

33. Risk Assessment Matrix

34. Result from Step 2
All subtasks and their respective hazards’ risk levels are
inputted into the Composite Risk Management Sheet.

35. 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”

36. 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…

37. 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;

38. 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;

39. 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

40. Criteria for Effective Controls
Effective control measures must specify who, what,
where, when, and how.

41. 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.

42. 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.

43. “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…

44. “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?

45. Examples of Control Measures

46. Result from Step 3
Controls, residual risk levels, “How to Implement” and How
to supervise are inputted inside the Composite Risk
Management Sheet.
What?
Where?
When?
How? Who?

47. 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

48. Step 4:
Implement Controls
Dissemination of guidance and controls.
Officers, Sergeants, and Soldiers implement the
controls.
Train the Trainers.

49. Implementation Considerations
Supervision Presence
The Unit’s Experience and Training
The Unit’s Morale
Endurance of the Soldiers

50. Result from Step 4
Ensure the Composite Risk Management Sheet is
implemented

51. 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.

52. 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.

53. Result from Step 5
Update the Composite Risk Management Sheet and
review the effectiveness of Controls.

54. 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.

55. Summary
Agenda / Flow
Publications
Introduction
Risk Management Fundamentals
Risk Management Process & Parallel Planning

56. 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

57. Definitions & Terms

58. 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.

59. 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.

60. 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.

61. 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.

62. 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.

63. 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.

64. 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.

65. Risk Assessment Matrix Defined
Risk Assessment Matrix is often used to estimate the
degree of severity and probability for each hazard.

66. Probability Defined
The 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.

67. Severity Defined
Severity is the expected result of an event (degree of
injury, property damage or other mission impairing
factors.
Catastrophic
Critical
Marginal
Negligible

68. Severity
CATASTROPHIC (I)
Loss of ability to accomplish the mission or
mission failure. Death or permanent total
disability (accident risk). Loss of major or
mission-critical system or equipment. Major
proper t y ( facility) damage. Severe
environmental damage. Mission-critical
security failure. Unacceptable collateral
damage.
Severity Type Defined

69. Severity
CRITICAL (II)
Significantly (severely) degraded mission
capability or unit readiness. Permanent
partial disability, temporary total disability
exceeding 3 months time (accident risk).
Extensive (major) damage to equipment or
systems. Significant damage to property or
the environment. Security failure.
Significant collateral damage.
Severity Type Defined

70. Severity
MARGINAL (III)
Degraded mission capability or unit
readiness. Minor damage to equipment or
systems, property, or the environment.
Lost
day due to injury or illness not exceeding 3
months (accident risk). Minor damage to
property or the environment.
Severity Type Defined

71. Severity
NEGLIGIBLE (IV)
Little or no adverse impact on mission
capability. First aid or minor medical
treatment (accident risk). Slight
equipment
or system damage, but fully functional
and
serviceable. Little or no property or
environmental damage.
Severity Type Defined

72. 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.

73. 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.