APPENDIX C Risk ManagementRisk is the chance of injury or death for individuals and damage to or loss of vehicles and equipment. Risks, and/or the potential for risks, are always present in every combat and training situation the company team faces. Risk management must take place at all levels of the chain of command during each phase of every operation; it is an integral part of all tactical planning. The company team commander, his subordinate leaders, and all soldiers must know how to use risk management, coupled with fratricide reduction measures, to ensure that the mission is executed in the safest possible environment within mission constraints. The primary objective of risk management is to help units protect their combat power through accident prevention, enabling them to win the battle quickly and decisively, with minimum losses. This appendix outlines the five-step process leaders can use to identify hazards and implement a plan to address each identified hazard. |
CONTENTS
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Hazard assessment is the process of determining the direct impact of each hazard on an operation (in the form of hazardous incidents). Use these steps:
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Table C-1. Degrees of hazard probability (likelihood that a hazard will affect a tactical operation).
Degree of probability Affected |
FREQUENT (A) Occurs continuously or very often |
LIKELY (B) Occurs several times |
OCCASIONAL (C) Occurs sporadically |
SELDOM (D) Remote possibility; could occur at some time |
UNLIKELY (E) Almost certain not to occur (although not impossible) |
Individual item |
Occurs very often in service life; expected to occur several times over duration of specific operation |
Occurs several times in service life; expected to occur during specific operation |
Occurs at some time in service life; as likely as not to occur during specific operation |
Occurs in service life, but only remotely possible; not expected to occur during specific operation |
Occurrence not impossible, but can be assumed almost never to occur in service life; can be assumed not to occur during specific operation |
Fleet or inventory of items |
Occurs continuously in service life of during specific operation |
Occurs at a high rate, but intermittently (at regular intervals, often, or generally) |
Occurs several times in service life |
Occurs as isolated incident; possible to occur at some time in service life, but rarely; usually does not occur |
Occurs very rarely (almost never or improbable); incidents may occur in service life |
Individual soldier |
Occurs very often in career; expected to occur several times during specific operation; always occurs |
Occurs several times in career; expected to occur during specific operation |
Occurs at some time in career; may occur during specific operation, but not often |
Occurs as isolated incident in career; remotely possible, but not expected to occur during specific operation |
Occurrence not impossible, but can be assumed almost never to occur during specific operation |
All soldiers exposed |
Occurs continuously during specific operation |
Occurs at a high rate, but intermittently |
Occurs sporadically (irregularly, sparsely, or sometimes) |
Occurs rarely (as isolated incident) within exposed element or population |
Occurs very rarely, although not impossible |
Table C-2. Degrees of hazard severity.
Degree of severity Affected unit/ |
CATASTROPHIC |
CRITICAL |
MARGINAL |
NEGLIGIBLE |
Unit |
Total or near-total loss of mission capability; mission failure |
Significantly/severely degraded mission capability and/or unit readiness |
Degraded mission capability and/or unit readiness |
Little or no adverse impact on mission capability |
Personnel |
Death or permanent total disability; unacceptable casualties |
Permanent partial disability; temporary total disability (duration exceeds 3 months |
Lost-day injuries or illness (duration does not exceed 3 months) |
First aid or other minor medical treatment required |
Equipment/ |
Loss of major or mission-critical systems/equipment; major property (facility) damage; severe environmental damage |
Extensive (major) damage to systems/ equipment; significant damage to property and environment |
Minor damage to systems/equipment, property, and environment |
Slight damage to systems/equipment, but they remain functional/serviceable; little or no environmental damage |
Collateral damage |
Unacceptable collateral damage |
Significant collateral damage |
Minor collateral damage |
Little or no collateral damage |
Table C-3. Risk assessment matrix for hazards.
Degree of Degree |
Frequent |
Likely |
Occasional |
Seldom |
Unlikely |
Catastrophic (I) |
E |
E |
H |
H |
M |
Critical (II) |
E |
H |
H |
M |
L |
Marginal (III) |
H |
M |
M |
L |
L |
Negligible (IV) |
M |
L |
L |
L |
L |
Legend for levels of risk: E - extremely high risk H - high risk M - moderate risk L - low risk NOTE: Refer to Table C-4 for a description of the four levels of risk. |
Table C-4. Levels of risk.
Level of risk Type of effects |
Extreme high |
High |
Moderate |
Low |
Mission capability |
Mission failure if hazardous incidents occur during operation |
Significantly degraded mission capability (in terms of not completing mission to standard or not accomplishing all parts of mission) if hazards occur during operation |
Degraded mission capability (in terms of not completing mission to standard) if hazards occur during operation |
Little or no impact on mission capability |
Personnel/property loss |
Frequent or likely probability of catastrophic loss (IA or IB); frequent probability of critical loss (IIA) |
Occasional to seldom probability of catastrophic loss (IC or ID); likely to occasional probability of critical loss (IIB or IIC); frequent probability of marginal loss (IIIA) |
Unlikely probability of catastrophic loss (IE); probability of critical loss is seldom (IID); likely or occasional probability of marginal loss (IIIB or IIIC); frequent probability of negligible loss (IVA) |
Unlikely probability of critical loss (IIE); probability of marginal loss is no more than seldom (IIID or IIIE) |
Developing controls |
After assessing each hazard, develop one or more controls that will either eliminate the hazard or reduce the risk (probability and/or severity) of potential hazardous incidents. A list of example controls is included in the discussion of implementing controls (step 4). |
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Making risk decisions |
A key element in the process of making a risk decision is determining whether accepting the risk is justified or, conversely, is unnecessary. The commander must compare and balance the risk against mission expectations. He alone decides if the controls are sufficient and acceptable and whether to accept the resulting residual risk. If he determines the risk is unnecessary, he directs the development of additional controls or alternative controls; as another option, he can modify or reject the selected COA for the operation. Leaders can use the risk assessment matrix (see Table C-3) in conjunction with the commander’s guidance on risk decisions. The matrix can be useful in determining and communicating risk decision authority. When the matrix is used as a guide for risk decision authority, however, it should be tailored to specific mission requirements. For example, the decision authority to accept high residual risk resulting from a hazard assessed as having catastrophic severity and a frequency of seldom may be retained at the highest authority level. On the other hand, the same level of accident risk (high) may be delegated to a lower level when the potential loss is less extensive or less likely. |
Controls are the procedures and considerations the unit uses to deal with an identified hazard. Implementing controls is the most important part of the risk management process; this is the chain of command’s contribution to the safety of the unit. Leaders of the company team integrate specific controls into OPLANs, OPORDs, SOPs, and rehearsals. They then ensure that all crewmembers are briefed on and understand the controls. If the leaders have conducted a thoughtful risk assessment, the controls will be easy to implement, enforce, and follow. Examples of risk management controls include the following:
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During mission execution, it is imperative that leaders ensure risk management controls are properly understood and executed. Leaders must continuously evaluate the unit’s effectiveness in managing risks to gain insight into areas that need improvement. |
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Supervision |
Leadership and unit discipline are the keys to ensuring that effective risk management controls are implemented. All leaders are responsible for supervising mission rehearsals and execution to ensure standards and controls are enforced. In particular, NCOs must enforce established safety policies as well as controls developed for a specific operation or task. Techniques include spot checks, inspections, SITREPs, confirmation briefs, and buddy checks. During the mission, leaders must continuously monitor risk management controls, both to determine whether they are effective and to modify them as necessary. Leaders must also anticipate, identify, and assess new hazards. They ensure that imminent danger issues are addressed on the spot and that ongoing planning and execution reflect changes in hazard conditions. |
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Evaluation |
Whenever possible, the risk management process should also include an after-action review to assess the unit’s performance in identifying risks and preventing hazardous situations. Leaders should then incorporate lessons learned from the process into unit SOPs and plans for future missions. |