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Composite Risk ManagementComposite Risk ManagementTactical CourseTactical Course
The Ultimate GoalThe Ultimate Goal
ARMY MILITARY FATALITIES
as of 10 September 2006
Terminal Learning ObjectiveTerminal Learning Objective
• Action: Employ the Composite Risk Management (CRM) Process
• Conditions: As a tactical leader, given FM 5-19
• Standards: Employ the Composite Risk Management process per FM 5-19. That is,
– Describe Composite Risk Management in terms of definition, purpose, premise, scope, guiding principles, and process
– Identify hazards
– Assess hazards
– Develop controls and make decisions
– Implement controls
– Supervise and evaluate CRM
– Identify leader responsibilities for CRM
ELO - AELO - ADescribe Composite Risk Describe Composite Risk
ManagementManagement
CRM ProcessCRM Process
Supervise& Evaluate
AssessHazards
Develop Controls & Make
Risk Decision
Implement Controls
IdentifyHazards
“Management”
“Assessment”
CRMCRMPurpose, Premise, & ScopePurpose, Premise, & Scope
• Purpose
– Sound individual and leader risk decisions
– Prevent unnecessary loss
• The premise of CRM is that it does not matter where or how a loss occurs, the result is the same:
– decreased combat power
– degraded mission effectiveness
• The scope of CRM encompasses the full spectrum of Army missions, functions, operations, and activities. CRM broadens the scope of Safety to prevent loss from combat, accident, and other causes
CRM Guiding PrinciplesCRM Guiding Principles
• Integrate CRM into all phases of missions and operations
• Make risk decisions at the appropriate level
• Accept no unnecessary risk
• Apply the process cyclically and continuously
• Do not be risk averse
Supervise& Evaluate
IdentifyHazards
AssessHazardsAssessHazards
Implement Controls
“Management”
“Assessment”
The CRM 5-Step ProcessThe CRM 5-Step Process
Supervise& Evaluate
AssessHazards
Develop Controls & Make
Risk Decision
Implement Controls
IdentifyHazards
“Management”
“Assessment”
Check on LearningCheck on Learning
What are the five guiding principles of CRM?
SummarySummaryELO – A: Describe CRMELO – A: Describe CRM
• Identify the definition, purpose, premise, and scope, of CRM
• Identify the guiding principles of CRM
• Identify the CRM 5-step process
ELO – BELO – BIdentify HazardsIdentify Hazards
STEP 1STEP 1Identify HazardsIdentify Hazards
Supervise& Evaluate
AssessHazards
Develop Controls & Make
Risk Decision
Implement Controls
“Management”
“Assessment”
IdentifyHazards
Apply METT-TC & ADTPTL Models Apply METT-TC & ADTPTL Models to CRMto CRM
Identify Mission HazardsIdentify Mission Hazards
Identify Non-Mission HazardsIdentify Non-Mission Hazards
Resources, Tools, and additional Resources, Tools, and additional Methods to Identify HazardsMethods to Identify Hazards
• Resources– Experience and other experts– Unit, installation, or USACRC
Safety professionals– Regulations, manuals, SOP,
policies– Accident data (USACRC)– Previously completed risk
assessments– Training assessments– After Action Reviews (AAR) • Methods
– Brainstorming– Scenario thinking
• Tools– Rehearsals and exercises– Readiness assessments– Cause and effect diagrams– Change analysis– Energy trace and barrier
analysis– Logic diagrams– Mapping techniques– Training assessments
Check on LearningCheck on Learning
• What resource would be best to determine whether the Army had a history of accidents related to a given operation or activity?
SummarySummaryELO – B: Identify HazardsELO – B: Identify Hazards
• Determine where hazards may be found
• Apply the METT-TC and ADTPTL models to identify hazards
• Identify resources, tools, and additional methods available to identify hazards
ELO – CELO – CAssess HazardsAssess Hazards
STEP 2STEP 2Assess HazardsAssess Hazards
Supervise& Evaluate
IdentifyHazards
Develop Controls &
Make Decision
Develop Controls &
Make Decision
Implement Controls
“Management”
“Assessment”
AssessHazards
Hazard ProbabilityHazard Probability
• Frequent—occurs often, continuously experienced• Likely—occurs several times• Occasional—occurs sporadically• Seldom—unlikely, but could occur at some time• Unlikely—can assume it will not occur
FREQUENT LIKELY OCCASIONAL SELDOM UNLIKELY
Hazard SeverityHazard Severity
SSEEVVEERRIITTYY
CatastrophicCatastrophic
Critical Critical
MarginalMarginal
NegligibleNegligible
Mission Failure; Death; Permanent Total Disability; Loss of Major System; Major Property Damage; Severe Environmental Damage; Mission-Critical Security Failure; Unacceptable Collateral Damage
Mission Failure; Death; Permanent Total Disability; Loss of Major System; Major Property Damage; Severe Environmental Damage; Mission-Critical Security Failure; Unacceptable Collateral Damage
Severe Mission Degradation; Permanent Partial Disability; Temporary Total Disability; Major Damage to Systems, Property, or Environment; Security Failure; Significant Collateral Damage
Severe Mission Degradation; Permanent Partial Disability; Temporary Total Disability; Major Damage to Systems, Property, or Environment; Security Failure; Significant Collateral Damage
Mission Degradation; Limited Lost Days due to Injury/Illness; Minor Damage to Systems, Property, or Environment
Mission Degradation; Limited Lost Days due to Injury/Illness; Minor Damage to Systems, Property, or Environment
Little or No Adverse Mission Degradation; First Aid/Minor Medical Treatment; Negligible Damage to Systems, Property, or Environment
Little or No Adverse Mission Degradation; First Aid/Minor Medical Treatment; Negligible Damage to Systems, Property, or Environment
Risk Assessment MatrixRisk Assessment Matrix
Check on LearningCheck on Learning
• In assessing hazards, what factors weigh more than any set of alpha-numeric codes?
• What specified level of risk is associated with inability to complete the mission to standard if hazards occur during the mission?
SummarySummaryELO – C: Assess HazardsELO – C: Assess Hazards
• Determine the level of risk for each hazard
• Assess the probability of the event or occurrence
• Estimate the Result of Severity of an Occurrence
• Determine Specified Level of Risk
Practical ExercisePractical Exercise Activity #1: Risk AssessmentActivity #1: Risk Assessment
ELO – DELO – DDevelop Controls & Make Develop Controls & Make
DecisionsDecisions
STEP 3STEP 3Develop Controls & Make DecisionsDevelop Controls & Make Decisions
• Develop controls to– Eliminate the hazard– Reduce the risk
• Consider the reason a hazard might exist
Supervise& Evaluate
IdentifyHazards
AssessHazard
s
AssessHazard
s
Implement Controls
“Management”
“Assessment”Develop Controls
& Make
Decisions
Forms of ControlForms of Control
Forms of Control– Educational
• Individual/Collective training
• Performance to standards
– Physical• Barriers, guards,
signs
• Observers, controllers, supervisors
– Avoidance or EliminationSupervise
& Evaluate
IdentifyHazards
AssessHazard
s
AssessHazard
s
Implement Controls
“Management”
“Assessment”Develop Controls
& Make
Decisions
Effective ControlsEffective Controls
Effective Controls are– Suitable– Feasible– Acceptable
Supervise& Evaluate
IdentifyHazards
AssessHazard
s
AssessHazard
s
Implement Controls
“Management”
“Assessment”Develop Controls
& Make
Decisions
Find Control MeasuresFind Control Measures
• Experience• AAR• Accident Data
(USACRC)• Regulations• SOP• TTP• Lessons Learned• Previously executed
CRM WorksheetsSupervise& Evaluate
IdentifyHazards
AssessHazard
s
AssessHazard
s
Implement Controls
“Management”
“Assessment”Develop Controls
& Make
Decisions
Reassess RiskReassess Risk
• Reassessing risk is a continuous process
• Example– Identify hazard –
drivers not trained
– Assess – high risk
– Control #1 – provide license training
– Reassess – medium risk
– Control #2 – Rollover training
– Reassess – low risk
Reassesshazards
Determineresidual risk
Level
Assess hazardsAssess hazards
Apply controls
Determine risk level
Determine risk level
Make Risk DecisionsMake Risk Decisions
The purpose of CRM– To provide the
basis for sound risk decisions
– To determine what constitutes an acceptable level of risk
– To balance potential loss against expected gain
– To make risk decisions at t he appropriate level of command
Supervise& Evaluate
IdentifyHazards
AssessHazardsAssessHazards
Implement Controls
“Management”
“Assessment”Develop
Controls &
Make Decision
s
Check on LearningCheck on Learning
• List the three basic categories of controls:– – –
SummarySummaryELO – D: Develop Controls and Make Risk ELO – D: Develop Controls and Make Risk
DecisionsDecisions• Develop Controls
• Reassess Risk
• Make Risk Decisions
Practical ExercisePractical Exercise Activity #2: Develop Activity #2: Develop Controls & Make Risk Controls & Make Risk
Decisions Decisions
ELO – EELO – EImplement ControlsImplement Controls
Step 4Step 4Implement ControlsImplement Controls
Supervise& Evaluate
IdentifyHazards
AssessHazardsAssessHazards
Develop Controls & Make Decisions
“Management”
“Assessment”
Implement Controls
Step 4Step 4Implement ControlsImplement Controls
Supervise& Evaluate
IdentifyHazards
AssessHazardsAssessHazards
Develop Controls &
Make Decisions
“Management”
“Assessment”
Implement Controls
Controls must be– Converted into
orders– Communicated– Applied
Step 4Step 4Methods for Implementing ControlsMethods for Implementing Controls
Supervise& Evaluate
IdentifyHazards
AssessHazardsAssessHazards
Develop Controls &
Make Decisions
“Management”
“Assessment”
Implement Controls
• Integrate into– Orders (verbal or
written)– Policies, Programs,
Doctrine– Mission briefings– Staff estimates
• Explain controls through– Orders– Graphics– Drills/rehearsals– Training– Orientation– Briefings
Check on LearningCheck on Learning
List four methods for implementing controls: – – – –
SummarySummaryELO – E: Implement ControlsELO – E: Implement Controls
Methods for implementing controls
Practical ExercisePractical Exercise Implement Controls Implement Controls
Scenario & Activity #3Scenario & Activity #3
ELO – FELO – FSupervise and EvaluateSupervise and Evaluate
Step 5Step 5Supervise & EvaluateSupervise & Evaluate
• Enforce standards
• Evaluate effectiveness of controls
• Apply continuously
Supervise& EvaluateIdentify
Hazards
AssessHazard
s
AssessHazard
s
Implement Controls
“Management”
“Assessment”
Supervise &
Evaluate
SuperviseSupervise
The purpose of supervision in CRM is to ensure that:– Subordinates understand how, when, and where controls
are implemented.– Controls are implemented, monitored, and remaining in
place.– Complacency, deviation from standards, and violation of
controls, are not allowed to threaten success.– Hazards produced by fatigue, equipment condition, and
the environment, are detected and controlled.
EvaluateEvaluate
• Identify any hazards that were not identified during the initial assessment, or new hazards that evolved during the operation or activity.
• Assess the effectiveness of CRM in supporting the mission.• Ensure compliance with the guiding principles of CRM:
– Was CRM integrated throughout all phases of the operation or activity?
– Were risk decisions made at the appropriate level?– Did risk decisions balance potential loss and expected gains?– Was CRM applied cyclically and continuously?– Were decision-makers willing to accept appropriate risk (not risk
averse)?
Supervise & EvaluateSupervise & Evaluate(Tools & Techniques)(Tools & Techniques)
• Tools– Spot-checks– Inspections– SITREP– Back briefs– Buddy checks– Close oversight (Leaders at key nodes of operation)– After Action Reviews (AAR)
• Techniques– Capture and disseminate Lessons Learned– Build a library of CRM worksheets
Check on LearningCheck on Learning
• What is the purpose of supervising subordinates in the CRM process?
• Evaluation determines the ___________ of the CRM process.
• List three tools or techniques for supervising and evaluating the CRM process.
–
–
–
Practical ExercisePractical ExerciseActivity #4: Supervise & Activity #4: Supervise &
Evaluate Evaluate
SummarySummaryELO – F: Supervise and EvaluateELO – F: Supervise and Evaluate
• Supervise
• Evaluate
• Tools and techniques
Summary: CRM ProcessSummary: CRM Process
Supervise& Evaluate
AssessHazards
Develop Controls & Make
Risk Decision
Implement Controls
IdentifyHazards
“Management”
“Assessment”
ELO G: ELO G: Identify Leader Responsibilities Identify Leader Responsibilities
for CRMfor CRM
Leader Responsibilities for CRMLeader Responsibilities for CRM
• Know and enforce command safety and CRM policies
• Integrate CRM and Army planning into all operations and activities, both on and off duty
• Leverage CRM and Safety structure and expertise• Lead through personal engagement (Oak Tree
Counseling)• Lead on the Edge
Know and enforce Know and enforce command safety and CRM policiescommand safety and CRM policies
• Army and local regulation• Force protection policy• Safety philosophy• Training guidance• Risk guidance• Performance standards
Integrate CRM and Army planningIntegrate CRM and Army planning
• Military Decision Making Process (MDMP)-Army staff planning
• Troop Leading Procedures (TLP)-small unit planning
• CRM – Integral to both processes
CRM & Troop Leading Procedures CRM & Troop Leading Procedures (TLP)(TLP)
Receive the Mission
Issue Warning Order
Make Tentative Plan
Initiate Movement
Conduct Recon
Complete the Plan
Issue the Order
Supervise & Refine
Identify Hazards
Assess Hazards
Develop Controls & Risk
Decisions
Implement Controls
Supervise & Evaluate
Troop Leading Procedures CRM-1 CRM-2 CRM-3 CRM-4 CRM-5
Leverage CRM and Safety Leverage CRM and Safety structure and expertisestructure and expertise
DASAF/CG, USACRC
AMCSAFETY
FORSCOMSAFETY
TRADOCSAFETY
BRANCH/CENTERSAFETY
CORPSSAFETY
FIELD SPT CMDSAFETY
DIVISIONSAFETY
BCT & BNADSO
AV (BDE, BN & CO)ASO
IMCOMSAFETY
INSTALLATIONSAFETY
Personal Leader EngagementPersonal Leader Engagement(Oak Tree Counseling)(Oak Tree Counseling)
“With all the techniques available, preventing loss always boils down to personal leader engagement.”
General B. B. Bell
• Personal Leader Engagement (Oak Tree Counseling)
– Leader to Soldier
– Supervisor to Employee
• Directly address high-risk individual behavior traits on and off duty
• Special focus areas
– Alcohol or substance abuse
– Suicide potential
– Recently redeployed from combat
• Overconfidence
• New freedom
• Feelings of invincibility
• Leaders assist Soldiers and employees in Owning the Edge
Beyond reasonable expectations
Conditions exceed capabilities
Consequence Management
Where’s the Edge? Where’s the Edge? Where the 1Where the 1stst-line Leader -line Leader draws it!draws it!
Favorable Conditions Challenging Conditions
Risk Management
DOTMLPF matches Mission Tough Decisions
Where will you draw the line?Where will you draw the line?
Check on LearningCheck on Learning
• Question: True or False? Knowing and enforcing the commander's safety philosophy, training risk guidance, and performance standards are consistent with leadership and CRM.
• Question: True or False? Oak Tree Counseling has its limits. Leaders have no business asking subordinates about their personal, off duty plans and whether they will apply CRM off duty.
• Question: True or False? To determine where the Edge lies, leaders must know their troops and take the initiative to draw the line. The fist line leader determines where the Edge lies.
SummarySummaryELO G: ELO G:
Identify Leader Responsibilities for Identify Leader Responsibilities for CRMCRM
• Know and enforce command safety and CRM policies
• Integrate CRM and Army planning into all operations and activities, both on and off duty
• Leverage CRM and Safety structure and expertise• Personal leader engagement (Oak Tree Counseling)• Lead on the Edge
SummarySummaryCRM Tactical CourseCRM Tactical Course
• Described Composite Risk Management (CRM)• Detailed the CRM process and applied it to a
practical exercise– Identified hazards– Assessed hazards– Developed CRM controls and made decisions– Implemented CRM controls– Supervised and evaluated CRM
• Identified tactical leader responsibilities for CRM
Composite Risk ManagementComposite Risk ManagementTactical CourseTactical Course