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