Attachment 17 - Risk Analysis Plan.pdf

CDP Course Development & Delivery

Attachment 17

Risk Analysis Plan

Risk Management Instructor Training Certification Course (ITC)

ITC.02.08.00 Center for Domestic Preparedness

Update: June 2008

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Lesson Administrative Page

Summary: This module introduces the responder to the process of developing a risk management plan to support a safe and effective training environment. The responder will learn the requirements to conduct a hazard analysis of a training event.

Terminal Learning Objective:

At the conclusion of this module, the responder will be able to produce a risk management plan to ensure the safest environment to conduct training.

Enabling Objectives: At the conclusion of this module, the responder will be able to:

FP-4-1 Describe the risk management concept, including objectives, types of assessment, and key terms

FP-4-2 Discuss the five-step risk management process

FP-4-3 Discuss how hazard identification improves safety in training

FP-4-4 Describe the potential impact of hazards on training through the hazard assessment process

FP-4-5 Discuss the development of control options to minimize hazards and reduce risk

FP-4-6 Describe the implementation of control options for the minimization of hazards or reduction of risk in training

FP-4-7 Discuss the effectiveness of implementation of controls through supervision and evaluation

FP-4-8 Discuss the Risk Assessment Worksheet/Record (RAWR)

Practical Exercise: None

Risk Assessment: Low

Duration: 1.75 Hours

Method of Instruction: Facilitated seminar format in a classroom environment

Instructor Ratio: 1:32

Notes

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Enabling Objective FP-4-1: Describe the risk management concept, including objectives, types of assessment, and key terms

Introduction to Risk Management

While training needs to be conducted realistically and to standard, it must also be carried out safely. The key to achieving safety in training and administration is risk management. Risk management is a systematic process that identifies the relative risk of training requirements. It weighs risk against training benefits and minimizes unnecessary risk that can lead to accidents.

This module explains the risk management process and its application in training and administration. It is intended to provide trainers with the risk management tools and techniques to enable them to protect their students and equipment from unnecessary risks, without compromising training standards or requirements. It is only an introduction to the risk

Instructor Note: For this module, inform responders that lecture, facilitation, and collaborative learning are the delivery strategies utilized.

Instructor Note: Allow approximately 15 minutes for this Enabling Objective.

Instructor Note: Prior to beginning training in this module, introduce yourself and all other instructors and staff members who will be involved in this module. At a minimum, inform responders of your name and experience relative to the training being conducted.

Competency:

Prepare for instruction

Instructor Note: Inform responders what risk management is and the process used to identify risks associated with training as described within the text. Risk management is the process of identifying, assessing, and controlling risks arising during a task.

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management concept. Before developing any training program, more intense study in risk management and training hazard analysis should be undertaken.

Risk Management Concept

Risk management is the application of systematic thinking to the problem of making training safer and more effective. It is a systems-based concept and is especially effective in dealing with complex, high-risk activities. Risk management is also applicable to training that is often both complex and high risk. It can improve realism and cut training accidents well beyond more traditional, impromptu management procedures. Risk management is neither a science in the sense that it provides trainers with a precise course of action, nor is it just common sense, or something good trainers have always done (United States Department of Defense 1).

Risk Management Objectives

Risk management can be applied in all situations and environments. Its application enables trainers at the various levels to achieve the following:

• Conserve lives and resources and avoid unnecessary risk

• Make informed decisions to implement a course of action

• Identify feasible and effective control measures when specific standards do not exist

• Provide reasonable alternatives to accomplishing a task without compromising safety and standards

Risk management, however, does not:

Instructor Note: Stress to responders that risk management can be applied in all situations and environments, but that it does not remove all risk involved in a task.

Instructor Note: Review with responders the risk management concept as described within the text. Risk management concepts are based on the principles that risk management must be forward-looking, structured, informative, and continuous.

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• Inhibit flexibility and initiative

• Remove risk altogether, or support a “no defect” mentality

• Sanction or justify violation of training directives/instructions

• Remove the need for standards and procedures in training execution

Principles of Risk Management

The principles that follow are applicable in implementing the risk management process:

• Integrate risk management into the planning, preparation, and execution of training—

Risk management must be applied and integrated into the training activities from the planning stage

• Make risk decisions at the appropriate level of authority—Risk decisions must be taken at the appropriate levels, according to the level of risk involved. This is based on current policies and regulations in force. Instructors must consult the next level of training management in risk decisions that differ from the stipulated level of acceptable risk

• Do not accept unnecessary risks—An unnecessary risk can be defined as one that, when taken, will not contribute to the training task accomplishment

• Risk assessment is a continual process—Risk assessment is a continual process and should be constantly observed for changes in the external factors that affect the control measures taken

• Risk management vs. regulation—Risk management does not convey authority to violate the control measures specified in the current safety regulations, local standard procedures, or guides

Instructor Note: Review with responders risk management principles as described within the text. Risk management is concerned with the outcome of future events, whose exact outcome is unknown, and with how to deal with those uncertainties (i.e., range of possible outcomes).

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Benefits of Risk Management

By fully integrating risk management into the training system, instructors can expect the following benefits:

• Major improvement in training safety—Risk management has the potential to improve safety without any adverse impact on training effectiveness

• Significant improvement of training realism—Risk management has procedures that allow instructors to detect these ineffective or overly restrictive risk controls and minimizes or modifies them. The result is much safer and significantly more realistic training

Types of Risk Assessment

Risk assessment, which involves hazard identification and hazard assessment, is the first step of the risk management process. There are three types of risk assessment that can be applied in risk management. Depending on the time available, complexity of the tasks or activities, and the level of participation, the following types of risk assessment should be adopted:

• Quick risk assessment—This technique is used when the task or activity to be performed is simple or straightforward, and there is little time available for planning

• Deliberate risk assessment—This technique is used for tasks or activities that are moderately complex or with significant risks. Time is available for planning, and detailed coordination is required to ensure smooth execution of the tasks/activities

Instructor Note: Risk assessments identify and analyze the critical risks, so that they can be controlled. Risk assessment analyzes and identifies events in terms of probability and consequences/impacts. The quality of risk assessments can determine the effectiveness of training. Review the types of risk assessments with responders as described within the text.

Instructor Note: Review the benefits of risk management with responders as described within the text. Risk management is generally feasible and stable. Risk management provides close relationships with the user. Risk management helps assess program risks, using a structured process, and develop strategies to manage these risks.

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• In-depth risk assessment—This method is used when the tasks or activities involved are complex, large scale, or high risk. It requires input from experts and ample time is available for detailed planning and coordination, which may involve several parties

Key Terms of Risk Management

The key terms associated with risk management are as follows:

• Hazard—Condition with the potential of causing injury, illness, or death to personnel;

damage to equipment or structures; loss of material; or reduction of ability to perform a prescribed function

• Risk—Chance of hazard or bad consequences; the probability of exposure to chance of injury or loss from a hazard; risk level expressed in terms of hazard probability and severity

• Risk assessment—Process of detecting hazards and systematically assessing overall risk;

the first two steps of the risk management process

• Risk decision—Decision to accept or not to accept the risks associated with an action, made by the individual responsible for performing that action

• Risk management—Process of identifying, assessing, and controlling risks arising from operational factors and making decisions that balance risk cost with training benefit

• Risk management plan—Comprehensive safety plan that includes all safety and control measures developed for the management of a training exercise or task

Instructor Note: Review with responders the key terms as described within the text.

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Enabling Objective FP-4-2: Discuss the five-step risk management process

Risk Management Process

Risk management is the process of identifying, assessing, and controlling risks that could arise when conducting operations or training. Risk management continues throughout a task, as well as from task to task. Its application requires good judgment and intuitive analysis. The five steps of risk management found in the Army Field Manual, Risk Management are:

1. Identify hazards

2. Assess hazards

3. Develop control options and make risk decisions

4. Implement controls

5. Supervise and evaluate (2-0)

Instructor Note: Review with responders the five steps of the risk management process as discussed within the text. Inform responders that the five steps will be covered in detail over the course of the next few objectives.

Instructor Note: Allow approximately 10 minutes for this Enabling Objective.

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Enabling Objective FP-4-3: Discuss how hazard identification improves safety in training

Hazard Identification—Step One

The risk management process of improving safety in training starts with hazard identification. A hazard is an actual or potential condition that can cause injury, illness, or death of personnel and/or damage to or loss of equipment and property.

To facilitate hazards identification in training, the interrelated factors—man, machine, medium, management, and task—can influence the outcome of the training conducted. When reviewing the factors, instructors must take into account the task that the student is required to perform and the following considerations, as found in the Risk Management Manual:

• Man—Reviewing the qualifications and abilities of the individual

• Machine—Reviewing the adequacy of design and maintenance aspects of the equipment/technology used

• Medium—Reviewing the environmental conditions (i.e., weather and terrain) and the effects of environment on the task

• Management—Reviewing the planning/preparation and control aspects of the task

Instructor Note: Hazards are identified and resultant risks are assessed by considering probability of occurrence and severity of consequence. The risk management process of improving safety within training or a task starts with hazard identification. It is essential that hazards associated with the training be first identified for each phase of training. Responders must find a key to successful identification of hazards and apply the various identification techniques, which can be acquired through experience and practice.

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• Task—Reviewing the clarity and compatibility aspects of the task (7)

Instructors must also be aware of the fact that changing environments can create new hazards or cause them to change rapidly.

Factors that Cause Accidents

To identify potential hazards, instructors need to be aware of the main causal factors that can lead to accidents. This includes the following:

• Human error—An individual action or performance that is different than what is required

• Material failure/malfunction—A fault in the equipment, thereby causing or contributing to an accident

• Environmental conditions—Any natural or manmade surroundings that negatively affect performance

The root sources that are responsible for contributing to human error include:

• Individual failure—The individual knows and is trained to standard, but elects not to follow the standard

• Trainer failure—The instructor does not enforce known standards

• Training failure—The individual is not trained to known standard (i.e., insufficient, incorrect, or no training on the task)

Instructor Note: Review with responders the factors that can create accidents and root sources of the accidents as described within the text.

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Hazard Identification Techniques

Preliminary Hazard Analysis/Preliminary List Technique

The Preliminary Hazard Analysis/List (PHA/PHL) is a core hazard identification technique used in virtually all hazard analyses. It is based on the task analysis, and is a listing of the hazards associated with each stage of the task. The PHA/PHL is often developed on a worksheet for each step of the task; it is usually the simplest form of analysis that is needed to identify hazards.

Scenario-Creation Technique

The scenario-creation technique can stand alone or be used as a component part of other techniques. It involves the mental appreciation of the flow of events or scenario expected in a task. The user of the scenario-creation technique visualizes the task twice: first as it is intended to go, then again with what can go wrong affecting the task. Normally, the events are visualized in a time sequence from the beginning of the task to the end.

“What If” Technique

This technique involves the use of the “what if” question applied to specific segments of the system (e.g., “What if the engine fails to start?”). The likely results are defined and followed by a determination of the possible causes of the misfired round.

Instructor Note: Review with responders the various techniques for hazard identification as described within the text. The Preliminary Hazard Analysis/List (PHA/PHL) captures the experience and intuitive hazard knowledge from the analyst/group on each aspect of the task.

The user of the scenario-creation technique visualizes the flow of events. Scenario-thinking is most effective when based on a thorough knowledge of the anticipated flow of the task. The task-accident analysis uses a database of past accidents, enabling personnel to learn from others’ mistakes as well as preventing it from happening within their own group. One effective method in the interview technique is the exit questionnaire; this can provide candid and honest input. Cause-and-effect technique involves personnel gathering to define either the requisites for success or the potential/sources of problems.

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Task Accident Analysis

This technique involves the use of past patterns of accidents to determine the likely sources of future accidents. By focusing on actual patterns of past losses, the instructor is more likely to prevent recurrences and, in doing so, drastically decreases future losses.

Interview Technique

The interview technique is a versatile technique. The basic form of the interview technique is the face-to-face interview. These interviews can be highly structured (designed to elicit specific information from the interviewee) or very unstructured (targeted at incidents or opinions).

Individual interviews can be rolled into overall totals to get an insight into the status of the entire organization.

Cause-and-Effect Technique

This technique is a tool that completes hazard identification to either demonstrate the positive or negative outcome. The cause-and-effect technique normally involves a variety of other investigative and analysis techniques.

Enabling Objective FP-4-4: Describe the potential impact of hazards on training through the hazard assessment process

Hazard Assessment—Step Two

Instructor Note: Review with responders the hazard assessment process as described within the text. Hazard assessment is carried out in three substeps. The first and second substeps involve examining the probability and severity factor of the hazards. The third substep entails determining the level of risk by using a Risk Assessment Matrix (RAM). Discuss the substeps as described within the text. Review, in detail, the charts and text on the following pages with responders. Explain to responders that the RAM will be discussed later in the module;

responders will also be using the RAM in a practical exercise.

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The objective of the hazard assessment process is to determine the potential impact of the hazards on the training or operation. The process examines each hazard in terms of probability (how likely it will occur) and severity (how badly the effect is if a mishap does happen) to determine the risk level of the incident resulting from exposure to the hazards.

The outcome of hazards assessment is to determine the level of risk (ranges from extremely high to low) associated with a particular hazard, and to provide an estimate of the overall risk to the training or operation caused by hazards that cannot be minimized (Risk Management Manual 2-7).

Hazard Probability Substep A

Each hazard can be assessed in relation to the probability of a hazardous incident.

Assessment should be made on the impact of each hazard in terms of probability, or how likely it will occur.

A summary of the five degrees of probability (frequent, likely, occasional, seldom, and unlikely) is given on the next page. The letters in italics following each degree (A through E) provide a symbol for depicting probability. For example, the letter A represents frequent probability.

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PROBABILITY OUTCOME

FREQUENT

(A)

Occurs very often or is continuously experienced. As an example:

a. Individual student—Occurs very frequently or always occurs while performing tasks or operations.

b. Group of students—Occurs continuously during tasks or operations.

c. Equipment—Occurs very often in service life or expected to occur several times over the duration of tasks or operations.

LIKELY

(B)

Occurs several times. As an example:

a. Individual student—Expected to occur during period of work, specific tasks or operations.

b. Group of students—Occurs at a high rate, but experienced intermittently.

c. Equipment—Occurs several times in service life. Expected to occur at specific tasks or operations.

OCCASIONAL

(C)

Occurs sporadically. As an example:

a. Individual student—Occurs some times in period of work, tasks, or operations, but NOT often.

b. Group of students—Occurs sporadically (irregularly, sparsely, or sometimes).

c. Equipment—Occurs some time in service life. May not occur during specific tasks or operations.

SELDOM

(D)

Remotely possible or could occur some time. As an example:

a. Individual student—Isolated incident during period of work, task, or training. Remotely possible, but not expected to occur during a specific training or task.

b. Group of students—Occurs rarely within exposed population, but more likely as isolated incidents.

c. Equipment—Occurs in service life, but only remotely possible.

Not expected to occur during a specific task.

UNLIKELY

(E)

Can assume will not occur, but not impossible. As an example:

a. Individual student—Occurrence not impossible, but may assume will not occur during period of work, task, or training.

b. Group of students—Occurs very rarely, but not impossible.

c. Equipment—Occurrence not impossible, but can assume will never occur in service life.

(Risk Management Manual 14)

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Hazard Severity Substep B

The severity of each hazard is expressed in terms of:

• Degree of injury or illness

• Loss of or damage to equipment or property

• Environmental damage

• Other impairing factors

The degree of severity estimated for each hazard may be based on knowledge of the results of similar past events. The roman numerals in italics following each degree (I through IV) provide symbols for depicting severity. For example, (I) represents the catastrophic degree of severity. A summary of the four degrees of hazard severity is shown below:

SEVERITY OUTCOME

Catastrophic (I) Loss of ability to accomplish the training or training failure; death or permanent total disability (accident risk); major property (facility) damage;

severe environmental damage

Critical (II) Significantly (severely) degraded training capability or organization preparedness; permanent partial disability, or temporary total disability exceeding three months time (accident risk); extensive (major) damage to equipment or systems; significant damage to property or systems, or the environment

Marginal (III) Degraded training capability or organization readiness; minor damage to equipment or system, property, or environment; lost day due to injury or illness, not exceeding three months (accident risk); minor damage to property or the environment

Negligible (IV) Little or no adverse impact on training capability; first aid or minor medical treatment (accident risk); slight equipment or system damage, but fully functional and serviceable; little or no property or environmental damage

(United States, Department of the Army 2-10)

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Risk Assessment Matrix Substep C

The third substep is to determine the level of risk associated with a particular hazard by weighing the hazard’s probability of occurrence against the hazard severity. This is done using the risk assessment matrix as shown below. The point where the severity row and probability column intersect defines the level of risk. For example, if the hazard is estimated to have a likely probability (B) and a critical severity (II), the level of risk is high (H).

Risk Value

For each hazard analyzed by determining the probability and severity of the hazard, a risk value or Risk Assessment Code (RAC) is assigned. The RAC (i.e., extremely high, high, medium, and low) is explained below (Risk Management Manual 17).

RISK ASSESSMENT CODE EXPLANATION

Extremely High Risk Loss of ability to accomplish training if hazards occur during training; a frequent or likely probability of catastrophic loss or frequent probability of critical loss exists

High Risk Significantly degrades training capabilities in terms of required training standards; inability to accomplish all parts of the training or inability to complete the training to standards if hazards occur during the training; occasional to seldom probability of catastrophic loss exists; likely to occasional probability exists of a critical loss occurring; frequent probability of marginal loss exists

Moderate Risk Degrades training capabilities in terms of required training standards; an unlikely probability of catastrophic loss exists;

probability of a critical loss is seldom; marginal losses occur with a likely or occasional probability; frequent probability of negligible loss exists

Low Risk Little or no impact on training accomplishment; probability of critical loss is unlikely; marginal loss is seldom or unlikely;

probability of negligible loss is likely or less; losses have no impact on training

(Risk Management Manual 18)

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Determining the level of the risk requires good judgment and is dependent on the use of historical data, lessons learned, intuitive analysis, and experience. Uncertainty can arise in the assessment of both the probability and severity of a hazardous incident. This could be attributed to inaccurate/incomplete information and contradictory/unforeseen circumstances (United States, Department of the Army 2-8).

Risk Assessment Matrix

HAZARD HAZARD PROBABILITY

Severity Frequent A

Likely B

Occasional C

Seldom D

Unlikely E

Catastrophic I EH EH H H M Critical II EH H H M L Marginal III H M M L L Negligible IV M L L L L EH—Extremely High Risk H—High Risk M—Moderate Risk L—Low Risk

(United States, Department of the Army 2-11)

Enabling Objective FP-4-5: Discuss the development of control options to minimize hazards and reduce risk

Develop Control Options—Step Three

Instructor Note: Review with responders the development of control options and risk decisions as described within the text.

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The third step in the risk management process is to develop control options to minimize the hazards or reduce the risk. This is accomplished in two substeps: developing control options and making risk decisions.

Control Options

Control options are developed to either minimize the hazards or reduce the risks. Hazards that cannot be minimized must be controlled. When developing control options, one should consider the reason for the hazard and not just the hazard itself.

Controls can be taken in three main forms:

• Educational controls—These controls are based on the knowledge and skills of the students. Effective control is implemented through individual, collective, and continuous training that ensures currency and performance to standard (Risk Management Manual 2- 14)

• Physical controls—These controls may take the form of barriers to warn students that a hazard exists. In addition, safety controllers may be appointed (Risk Management Manual 2-14)

• Avoidance controls—These controls are applied to prevent personnel from contacting identified hazards, or getting into hazardous situations (Risk Management Manual 2-14)

For the controls to be effective, each control developed must meet the following criteria:

• Suitability—It must remove the hazard or reduce the residual risk to an acceptable level

• Feasibility—The individual or organization must have the capability to implement the control

• Acceptability—The benefit gained by implementing the control must justify the cost in resources and time. The assessment of acceptability is largely subjective. It could be based on the following criteria for determining acceptability of controls for each identified hazard (Risk Management Manual 2-14)

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Making Risk Decisions

When making decisions, the control options selected to minimize the hazard or reduce the risks must take into consideration the task or training requirements. The key consideration in making risk decisions is to determine if the risk is justified (Risk Management Manual 2-16).

Risk Decision Level

The instructor directly responsible for the task should make risk decisions. Risk is accepted if the potential benefits outweigh the costs. When the risk is high or extremely high, it should be taken to the instructor’s superiors for a decision.

Enabling Objective FP-4-6: Describe the implementation of control options for the minimization of hazards or reduction of risk in training

Implementation of Control Options—Step Four

The fourth step in the risk management process is to implement the control options needed to minimize the hazards or reduce the risks in training or operation. Implementation must focus on the users, goals, and standards to be achieved. Control measures should be integrated into the training or training requirement and be disseminated in a timely manner.

Integration of Control Options

The control measures selected for implementation must be integrated into Standard Operating Procedures (SOP), exercise or lesson plans, and administrative instructions. The critical requirement for this step is ensuring controls are converted into clear, simple execution orders understood at all levels. Implementing controls includes coordination and communication

Instructor Note: Allow approximately 10 minutes for this Enabling Objective.

Instructor Note: Review with responders the implementation of control options as described within the text.

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with subordinate organizations, and those executing the task or training (Risk Management Manual 22).

Dissemination

The control measures selected to minimize the hazards or reduce the risks must be effectively communicated to all personnel involved, especially those responsible for implementing the control measures. Trainers must ensure that their students know the potential hazards, and the control measure selected to deal with the hazards. They also explain how the control measures are to be implemented. A safety briefing must be conducted to all personnel participating in the exercise/training, and the following points should be covered:

• Safety responsibilities

• Hazards identification

• Control measures to deal with the hazards

• Medical support plan

Responsibilities for Risk Management Implementation

Minimizing risk in training and operation is the responsibility of everyone involved in training. This responsibility runs from the senior manager, through his/her subordinate managers, to the individual student (Risk Management Manual 22).

Instructors at the various levels and their staffs are responsible and accountable for managing risks by ensuring that hazards and the associated risks are as follows:

• Identified during planning, preparation, and execution of the task or training

• Controlled during preparation and execution of the task or training

Students are responsible for executing risk controls to standards. They must continuously assess variable hazards, such as fatigue, equipment serviceability, and the environment, which can contribute to accidents. They must also learn to take care of one another and comply with the required mandated safety standard.

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Instructor Responsibilities

Trainers are responsible for directing the organization and setting priorities. Successful preservation of a training program requires embedding risk management into every training endeavor. This can be achieved through the establishment of an organization climate that is favorable for risk management integration by:

• Demonstrating consistent and sustained risk management application through leading by example

• Providing clear guidance, when appropriate, on where or what is acceptable risk

• Obtaining and providing to subordinates the necessary assets to control risk

• Preventing a zero-defects mindset from creeping into their organizational culture

• Keeping subordinates informed and, where feasible, consulting the subordinate trainers before making a decision

• Empowering subordinate instructors to make risk decisions as far down the chain-of-command as feasible

Student Responsibilities

Level of expertise and maturity influences the proficiency of individuals in managing risk.

Young students, by nature, are impulsive risk takers. Their limited experience, coupled with a strong sense of motivation and willingness to achieve the goals or training at any cost, can significantly increase the level of risk they are willing to accept. Due to inexperience or complacency, they are likely to be susceptible to the following:

• Overexhausting their ability to respond or recover from hazardous incidents

• Underestimating the level of risk posed by a hazard

Individuals are required to comply with existing standard and executing controls implemented by their trainers and staffs. They must maintain situational awareness and self-discipline when they perform their tasks or duties. Individuals must:

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• Learn and apply risk assessment in their work or training, in addition to the control measures developed by their trainers

• Execute controls directed by their instructors, and perform to standards

• Look out for others that perform unsafe acts that will endanger themselves or others

Enabling Objective FP-4-7: Discuss the effectiveness of implementation of controls through supervision and evaluation

Supervision and Evaluation—Step Five

The fifth step in the risk management process is to supervise and evaluate the effectiveness of the controls to be implemented. Instructors must maintain situational awareness and be mindful that the changing environment can neutralize the effectiveness of current control measures.

During the execution, the instructor must monitor the controls to ensure that they remain effective and, when necessary, modify them. The instructor should also anticipate, identify, and assess new hazards and implement new controls. Variable hazards such as fatigue, equipment, serviceability, and the effects of environment should also be monitored (Risk Management Manual 26).

Controls integrated into training or operation need to be evaluated to determine their effectiveness. After the training, instructors need to evaluate how well the risk management process was executed. This includes the following:

Instructor Note: Allow approximately five minutes for this Enabling Objective.

Instructor Note: Review with responders how to supervise and evaluate the effectiveness of controls to be implemented as described within the text. Responders must monitor the controls to ensure they remain effective, and, when necessary, make modifications.

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Instructor Note: At this point during class, place responders in groups to complete a RAWR as teams. These teams should consist of four groups, with eight responders in each group. It is at the instructor’s discretion whether to create teams based on their future placement in the breakout groups. Coach the teams during this process by encouraging discussion and participating in facilitation.

Once the teams are formed, and before a RAWR is completed, ask the teams to find a volunteer for group leader. This person will speak for the team and reveal the results of their RAWR with the rest of the class.

• Determining how to ensure that successes are continued/carried on into the next task

• Capturing and disseminating lessons learned

• Considering the effectiveness of the risk assessment in identifying and accurately assessing the probability and severity of hazards

• Evaluating the effectiveness of each control in reducing or removing risk

• Determining why some controls were ineffective and what should be done when the hazard is encountered again

Enabling Objective FP-4-8: Discuss the Risk Assessment Worksheet/Record (RAWR)

Risk Assessment Worksheet/Record (RAWR)

Instructor Note: Allow approximately 35 minutes for this Enabling Objective.

Instructor Note: Review with responders the Risk Assessment Worksheet/Record (RAWR) as described within the text. Allow approximately five minutes to review this section of text.

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When conducting risk assessment, one can use the Risk Assessment Worksheet/Record (RAWR). RAWRs are used to determine human health hazards associated to a task identified to be trained. The hazards associated with the task or operation should be identified. Each hazard should be analyzed by determining the probability of the hazard causing an accident, and the severity if an accident occurs. Depending on the task, and risk factors associated with training the task, control measures should be developed to reduce or minimize risk.

Next, the risk level of each hazard should be determined, using the Risk Assessment Matrix

(RAM). Control measures are then developed to minimize the hazard or reduce the risk of each hazard.

As each control is considered, a mental evaluation is made to determine if the hazard can be reduced further. How to implement and supervise the controls is recorded in the second to last column of the RAWR.

The completed RAWR should be maintained to facilitate implementation of control measures, conduction of safety briefings, and preparation of the training. The effectiveness of the control measures taken should be recorded in the last column of the RAWR for future use and follow-up actions (Risk Management Manual 18).

Instructions for the Risk Assessment Worksheet/Record (RAWR)

A. Task—Describe the task to be executed. Example: Don Level A protective clothing and equipment

B. Task execution date, time, and location

C. Date prepared—Enter day/month/year the worksheet was prepared

D. Prepared by—Enter the name and title of the person preparing the RAWR

E. Endorsed by—Enter the name and title of the person endorsing the RAWR

F. Subtasks—List the subtasks or activities to be accomplished in relation to the primary task in a chronological sequence

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G. Identify hazards—Identify the hazards associated with each task or activity. The objective is to identify hazards that are most likely to result in accidental injury, damage to equipment, or task/training degradation

H. Assess hazards—Assess the identified hazard in terms of probability of occurrence and its severity. Determine the risk level of each hazard by using the RAM and enter the level of risk (Extremely High (EH), High (H), Medium (M) or Low (L) for each hazard in this column)

I. Develop control measures—For each hazard identified, develop one or more control measures to minimize or reduce risk. Control measures recommended should be suitable and feasible

J. Determine residual risk—Use the RAM to determine the level of risk remaining after the controls are implemented for each hazard identified

K. Implement controls and supervise—For each control, list how it will be put into effect and communicated to all personnel involved in the implementation. How to and who should supervise the implementation of the control measures should also be recorded

L. Determine overall training/task risk level—The overall risk level of the training/task is determined based on the hazard that has the greatest residual risk, and not by averaging the risk level of all hazards

M. Effectiveness of control measures—Determine the effectiveness of each control in eliminating/reducing the risk after the task or training. For each control that was not effective, recommend further appropriate control measures

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Instructor Note: Allow 15 minutes to make the presentation on how to complete a RAWR.

Ask responders to recall the scenario, “How to Prepare a Peanut Butter and Jelly Sandwich,” presented in the module Needs and Task Analyses. Inform responders that this will be used again to present them with an example of how to complete an RAWR. Provide responders with a copy of the RAWR. Ask them to follow along as the scenario, “How to Prepare a Peanut Butter and Jelly Sandwich,” is used to complete a RAWR. Use the slides (slides are not in the Student Manual) to display the appropriate answers that would apply to the blocks on the RAWR. The slides have animation features to enhance delivery of the material.

Review one step of the RAWR at a time. This animation only occurs within the delivery of this scenario.

Encourage participation from the group to assist in completing the RAWR. Remind responders that their answers could vary from what is provided. The blocks that appear on the RAWR are listed below with possible input from the scenario, “How to Make a Peanut Butter and Jelly Sandwich.” Again, encourage group participation in completion of the RAWR.

Answers can vary, depending on group participation, in completion of the RAWR.

A) How to Prepare a Peanut Butter and Jelly Sandwich

B) Proper time, date, location of training site (Example: 10:00 AM, 7/14/04, Center for Domestic Preparedness [CDP])

C) Proper day, month, and year the worksheet was completed (Example: 7/26/04)

D) Instructor’s name and title

E) Who endorsed the RAWR and his/her title (Example: John Doe, Director of Training)

F) Gathering components for preparing a peanut butter and jelly sandwich

G) Cuts when removing knife from storage location

H) Low (L)

RM-27

Instructor Note:

I) Remove the knife from the storage location by grasping the handle and carry the knife pointed away from the body

J) Low

K) SOP or safety precautions

L) Low (L)

M) Good

Allow 30 minutes to complete the following exercise. After presenting to responders how to complete a RAWR, inform them that they will complete their own RAWR based on the Task/Needs Analysis from the scenario, “Traffic Accident,” to perform a risk assessment.

Have responders refer to the following page for a copy of the RAWR. Instruct responders that they can use that page to complete the RAWR on the scenario, “Traffic Accident.” Remind responders that there is information within the appendix at the back of this module that can help responders complete their RAWR. The appendix contains information on the proper procedures for hand washing. After approximately 20 minutes, ask responders to share how their group completed the RAWR with the rest of the class. Use the remaining 10 minutes to discuss possible answers for the RAWR. Possible hazards that could have been identified by responders are as follows:

• Allergies to latex and other types of gloves

• Allergies to soap

• Slipping and falling on water used in hand washing

Ask responders when they would train on this subject? Are these educational controls discussed earlier in this module? Inform responders to keep both risk assessment exercises.

They will be used throughout the remainder of the course.

RM-29

A. Task

B. Date:

Time:

Location:

C. Date Prepared

D. Prepared By:

E. Endorsed By:

F.

Subtasks

G.

Identify Hazards

H.

Assess

Hazards

I.

Develop Control

Measures

J.

Determine Residual

Risk

K.

Implement Controls &

Supervise

M. Effectiveness of Control Measures (after training is completed)

L. Determine overall training task risk level after controls are implemented (circle one)

Low (L) Moderate (M) Extremely High (EH)

(Risk Management Manual G-1)

RM-31

Conclusion

Risk management assists instructors in providing a safe learning environment in which unnecessary risk is minimized. Instructors can apply risk management in all situations and environments. Application of risk management allows improvements in training safety and realism. Various types of risk management can be applied, depending on time available, complexity of the tasks or activities, and level of participation. Through risk management, effectiveness and safety can be applied to any task.

Instructor Note: Restate the objectives covered in this module.

Center for Domestic Preparedness ITC.02.08.00

RM-32

References

Risk Management Manual. Singapore Army. n.d. 7 Nov. 2005 <http://www.mindef.gov.sg/army/gsi/_riskmgt/riskmgt.htm>.

United States. Department of the Army. Field Manual. Risk Management. Washington: GPO, 1998.

United States. Department of Defense. Risk Management Guide for DOD Acquisition.

Washington: GPO, 2002.

RM-33

Appendix

Center for Domestic Preparedness ITC.02.08.00

RM-34

Necessary Items

1. A sink with running water, and, if available, a hands-free activated faucet

2. Soap; preferably mild liquid soap in a pump bottle

3. Disposable paper towels

4. Trash can

5. Nail brush (optional)

Notification of supervisor is necessary if the above items are not available.

Procedure for Hand Washing

1. Remove rings

2. Turn water on

3. Wet hands

4. Dispense five milliliters of soap (approximately the size of a silver dollar) into the palm of one hand

5. Rub hands together vigorously for at least 30 seconds. Pay particular attention to nails.

Use a nail brush if desired

6. Rinse thoroughly under running water, rubbing hands together vigorously

7. Dry hands with a clean paper towel

8. Turn off the water, using the paper towel as a barrier between the handle and your clean hand

9. Dispose of the paper towel in trash can