operational risk management (orm) lt michael hauschen c130 aircraft commander flight safety officer
TRANSCRIPT
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 : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
8 6 2 4 3 2 4 0L o w M e d i u m H i g h
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
1 2 3 4 5
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
h1 2 3 4 5
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
E x c e l l e n t A d e q u a t e M a r g i n a lh
1 2 3 4 5
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
h1 2 3 4 5
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
h1 2 3 4 5
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
1 2 3 4 5
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 .
B e n i g n M a r g i n a l H a z a r d o u sh
2 4 6 8 1 0
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
R i s k v s . G a i n
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 ?
V s .
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?