OPERATIONAL RISK MANAGEMENT (ORM) LT MICHAEL HAUSCHEN C130 AIRCRAFT COMMANDER FLIGHT SAFETY OFFICER

OPERATIONAL RISK MANAGEMENT IMPLEMENTATION

OBJECTIVES à BRIEF review of ORM principles. à Review ORM doctrine, worksheet, and requirements. à Review PEACE and STAAR acronyms of process.

ORM IN A NUTSHELL äA 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 , ORM DOCTRINE

DOCTRINE REQUIREMENTS äAll hands to detect and report workplace hazards. äAircrews to be familiar ORM principles and acronyms (PEACE and STAAR) applicable to aviation missions. äAircraft Commanders to be familiar with doctrine, worksheet, and requirements for various risk assessments.

ORM WORKSHEET STEPS äSTEP 1: RISK ASSESSMENT äSTEP 2: RISK MANAGEMENT äSTEP 3: RISK VS. GAIN äSTEP 4: MISSION IMPACT

HAZARD VS. RISK äHAZARD – A DESCRIPTION OF A CONDITION THAT POSES THE POTENTIAL TO IMPAIR MISSION ACCOMPLISHMENT äRISK – A HAZARD FOR WHICH WE HAVE ESTIMATED THE SEVERITY, PROBABILITY, AND EXPOSURE TO DETERMINE MISSION IMPACT.

HAZARD VS. RISK!!

STEP 1: RISK ASSESSMENT äAIRCREW INPUT IMPORTANT. äULTIMATELY: PILOT JUDGEMENT, EXPERIENCE, AND INSTINCTS WILL DICTATE RISK ASSESSMENT. äNO TWO ASSESSMENTS WILL BE IDENTICAL.

ASSESS RISKS äSEVERITY – WHAT ARE THE EFFECTS? äPROBABILITY – CAN THIS HAPPEN TO US? äEXPOSURE – WHAT IS THE EVENT FREQUENCY OR DEGREE OF INVOLVEMENT?

STEP 1: RISK ASSESSMENT äP LANNING (1-5) äE VENT (1-5) äA SSET(Pilots, crew, aircraft 1-5 ea.) äC OMMUNICATIONS (1-5) äE NVIRONMENT (2-10)

RISK LEVEL FACTORS äPLANNING: HOW MUCH TIME SPENT PLANNING THE MISSION? äFACTORS: TIME AVAILABLE TO PLAN?, FLIGHT PLANNING FACILITIES AVAILABLE?, PILOTS AND/OR AIRCREW ABLE TO CONFER REGARDING MISSION?, B-0 RESPONSE? ä1= ADEQUATE, 3=MINIMAL, 5=NONE

RISK LEVEL FACTORS äEVENT: MISSION GUIDANCE OR DOCTRINE AVAILABLE TO CREW äFACTORS: STANDARD VS. NON- STANDARD MISSION PROFILE?, PILOT/AIRCREW EXPERIENCE WITH MISSION PROFILE, REVERSE CYCLE OPS, SAR, LE, LOG, ETC, MISSION GUIDANCE AVAILABLE? ä1=CLEAR GUIDANCE, 5=COMPLEX MISSION, INNOVATION REQUIRED

RISK LEVEL FACTORS äASSET: SELECTION OF APPROPRIATE RESOURCES TO RESPOND äFACTORS: 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. ä1=EXCELLENT, 3=ADEQUATE, 5=MARGINAL

RISK LEVEL FACTORS äCOMMUNICATIONS: ABILITY TO MAINTAIN COMMS THROUGHOUT MISSION. äFACTORS: RELAY PLATFORM NEEDED/AVAILABLE?, COMMS WITH OTHER UNITS, ACFT RADIO STATUS, LANGUAGE BARRIERS?, INTERNAL COMMS WITH COMMAND, EXTERNAL TO CUSTOMER? ä1= ADEQUATE, 3=MARGINAL, 5=NONE

RISK LEVEL FACTORS äENVIRONMENT: EXTERNAL CONDITIONS SURROUNDING MISSION. äFACTORS: WEATHER, NIGHT, ILLUMINATION, MOUNTAINOUS SEA STATE, TERRAIN, ALTERNATE AIRFIELDS, WATER TEMP, ON-SCENE COVER. ä2=BENIGN, 6=MARGINAL, 10=HAZARDOUS

TOTALIZE RISK ASSESSMENT ä8-20: LOW RISK ä21-30: MEDIUM RISK ä31-40: HIGH RISK

LOW RISK?? äNO FURTHER ACTION REQUIRED

STEP 2: RISK MANAGEMENT äIf risk is medium (21-30) or high (31- 40), review risk management options. äSPREAD-OUT äTRANSFER äAVOID äACCEPT äREDUCE

RISK(COST) VS. GAIN?

STEP 3: RISK vs. GAIN äReview mission definitions to determine mission gain and proceed to step 4. äHigh gain: SAR äMedium gain: LE äLow gain: LOG

STEP 4: Mission Impact äReview Risk vs. Gain on page 2 for required action prior to mission execution.

How to use this Chart: Example: Total of the Factors: ( )=20 Divided by 5: (20)/5 = 4 Risk Factor is: 4 or Medium High Gain Medium Gain Low Gain Low Risk (8-20) 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 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 äRISK ASSESSMENT AND MANAGEMENT CONTINUE THROUGHOUT MISSION EXECUTION. äLOW RISK MISSIONS MAY EVOLVE INTO HIGH RISK MISSIONS (HAS THE GAIN CHANGED TO JUSTIFY THE RISK ACCEPTANCE?)

MANAGERIAL TOOL OR SAFETY NET? AVIATION CULTURE COAST GUARD CULTURE SENIOR LEVEL EXPERIENCE HISTORY OF CRM

CHANGING RISK?