Attachment_0017_-_ATP_5-19_Risk_Management.pdf

14 April 2014 ATP 5-19 A-1

Appendix A

Sample DD Form 2977 and Instructions

This appendix discusses requirements for documenting deliberate risk management.

It describes the overall structure of the prescribed form. It supports application of risk management techniques in tactical tasks by illustrating use of the prescribed form.

DOCUMENTING RISK MANAGEMENT

A-1. DD Form 2977 is the Army’s standard form for deliberate risk assessment. Aviation; explosive;

chemical, biological, radiological, or nuclear; and other highly technical activities may require additional specialized forms. However, when coordination may occur across sections or commands, DD Form 2977 is the standard for the majority of Army operations. It allows units to track hazards and risks in a logical manner. Army forces use this form to document risk management (RM) steps taken during planning, preparation, and execution of any type of operation, including training and combat. DD Form 2977 is designed for the entire Army and the other Services. It provides standardization for joint operations and assignments. It may be filled out electronically or free hand. It is the standard way of capturing the information analyzed during the five steps of RM. It helps the user in thinking through the five steps and then sharing the resulting assessment. It is a living document. Pen and pencil changes on hard copies are acceptable and encouraged since changes will occur during operations.

STRUCTURE OF THE FORM

A-2. DD Form 2977 is available electronically at the Official Web Site for Department of Defense Forms.

DD Form 2977 consists of three or more pages (see examples in figures A-1 through A-4, beginning on page A-4). The first page provides areas for identifying the operation or mission, preparer information, an area to capture information used in the five steps of RM, identification of the overall residual risk level, and approval authority information. Block 1 (Mission/Task Description) should include the date of the mission, whereas block 2 (Date) expresses the date the form was prepared. The second page is an optional continuation of the area on page 1 and is used to capture information for each step of the process (block 4).

The second page of the form may be reproduced and used in each section or subordinate command to capture pertinent information. These pages may then be consolidated into one form covering the entire operation. This page may be reproduced as many times as necessary to capture all tasks, subtasks, and identified hazards. Therefore, the second page is labeled page ___ of ___ to allow accurate tracking of the entire form. The third page provides a standard risk assessment matrix, an area for review (used for ongoing operations), an area to capture feedback and lessons learned, and an area for additional comments or remarks. The fourth page provides instructions for completing each block of the form.

EXAMPLES OF OPERATIONAL USE OF DD FORM 2977

A-3. This appendix presents a road march scenario, an aviation scenario, and a tactical field artillery scenario. Each scenario is accompanied by a form with sample data.

APPLICATION OF RISK MANAGEMENT IN TACTICAL TASKS

A-4. RM is a universal process used for managing risk at every level of effort from the individual to large units or organizations. Its application is blind to the cause of the hazard. Whether it comes directly as the result of an enemy action or threat-based activity or as the result of other factors (hazard-based), RM attempts to identify, assess, and control factors that may adversely affect the capabilities of a military unit or organization. Additionally, RM application ensures the leader at the appropriate level approves the action or operation.

A-2 ATP 5-19 14 April 2014

Note. The risk approval authority may be different within different theatres or commands.

Commanders may reserve the right to approve certain missions (despite a lower residual risk).

A-5. This appendix provides general, notional examples. They are not deliberate risk assessments that have been used in operations. To view deliberate RM worksheets that have been used in operations, access the current RM tool at the United States Army Combat Readiness/Safety Center Web site.

TACTICAL ROAD MARCH SCENARIO

A-6. This notional tactical road march scenario, page A-3, is the basis for the sample DD Form 2977 illustrated in figures A-1 and A-2, pages A-4 and A-5.

Sample DD Form 2977 and Instructions

14 April 2014 ATP 5-19 A-3

Conduct a Tactical Road March

Unit’s mission. Company A, 3-69 Armor, conducts a tactical road march along ROUTE PACKERS to occupy the zone of separation designated by the United Nations no later than 03002Z July 20XX, to conduct peace enforcement operations.

Situation. The battalion intelligence staff officer produced an intelligence overlay indicating the presence of many known (marked) and unknown (unmarked) minefields throughout your area of operations and spanning your route of march. Intelligence indicates enemy armed forces are operating in three- to five-person reconnaissance teams. Contact with the enemy is unlikely, but if made, the enemy is expected to break contact and not fight.

Conditions. As the company commander of A Company, 3-69 Armor, you have just received a warning order dated 011400 July 20XX from your battalion commander. The unit has been in country for ten days and is combat-ready. The battalion conducted extensive predeployment training. It is prepared for the terrain, consisting of moderately sized rolling hills and cool, wet conditions. The roads are unimproved, with sharp curves and steep embankments.

Temperatures have been in the mid-50s to 60s during the day and mid-40s at night, with four straight days of rain.

Facts.

• The company commander and platoon leaders have been assigned ten months.

• The company is task-organized into two tank platoons and one mechanized platoon with an engineer section (with combat engineer vehicles and armored combat earthmovers, an air defense artillery section, and a military police section).

• The two tank platoons do not have mine rollers.

• The two tank platoons and mechanized platoon are used to working together.

• The other elements were assigned when you entered the theater.

• All vehicles are in good condition.

• Map reconnaissance indicates the objective is 20 kilometers away.

Mission analysis.

• Terrain and weather. The roads are unimproved, with sharp curves and steep embankments. They are generally bordered by open terrain that would provide little cover and concealment for dismounted troops. The weather forecast calls for rain to continue several days. Overcast conditions will limit natural illumination.

• Enemy. Enemy armed forces are operating in three-to-five person reconnaissance teams equipped with direct weapons (individual weapons, machine guns, and a very limited number of outdated anti-tank rockets and anti-armor weapons).

• Troops. Experience level is high within the tank and mechanized units. The experience level of the troops recently attached to you is unknown.

• Civil considerations. The area is sparsely populated and the local nationals are supportive of our mission.

• Time. 13 hours to start point.

Risk assessment.

• Threat-based risks. Land mine potential; small arms antitank rocket ambush.

• Hazard-based risks. Rain and cold, limited visibility, limited surface traction, narrow roads, fatigue of troops, and inexperienced personnel.

A-4 ATP 5-19 14 April 2014

Figure A-1. Sample DD Form 2977 for tactical road march scenario (page 1)

14 April 2014 ATP 5-19 A-5

Figure A-2. Sample DD Form 2977 for tactical road march scenario (page 2)

TACTICAL AVIATION SCENARIO

A-7. This notional tactical aviation scenario, page A-6, is the basis for the sample DD Form 2977 illustrated in figure A-3, page A-7. The sample illustrates only the first page of the form.

A-6 ATP 5-19 14 April 2014

Relocate a Forward-Area Refueling Point

Unit’s Mission. The petroleum, oils, and lubricants (POL) and ordnance platoon (3-5 Platoon), F Company, 1-3 Combat Aviation Brigade (CAB) (Attack), will conduct forward area refueling point (FARP) operations to support a nighttime AH-64D Apache Longbow deep attack mission.

The FARP will relocate using four 2-3 CAB UH-60 Black Hawk helicopters. Movement will be from (NK 560029) to (NK 598031) and have the FARP operational no later than 040230 Sep XX. Expected operation at location will be 12–24 hours.

Situation. The Peoples’ Army of Moldavia has stepped up operational tempo in your area.

Since their last forward advance, enemy artillery has become a greater threat to the assets of 3rd CAB. Enemy strength continues to increase with new conscripts. Friendly patrols have discovered new enemy positions constructed for air defense artillery or surface-to-air missiles.

If enemy sites become operational, friendly aviation operations will be in serious jeopardy.

Conditions. The F Company 3-5 Platoon leader was at the National Training Center two weeks and has been conducting tactical tasks only three days. It is now 032100 Sep XX, and orders are to emplace a jump FARP and have it operational by 040230 Sep XX. Four UH-60s are on site to move all equipment and eight personnel to the location. There are four 500-gallon fuel blivets, and the requirement is to operate four refueling points at once, using two forward air refueling equipment systems. The platoon is seriously over-extended, with other commitments to the battalion and only eight people to accomplish this mission. Two have recently transferred in from 16th CAB, have had minimal training with the unit, and have never conducted FARP operations with AH-64Ds. The weather has been dry and hot, with no forecasted precipitation. The temperature is averaging 93 degrees Fahrenheit during the day and 68 degrees Fahrenheit at night. There will be moderate illumination during the operation.

Facts. As the 3-5 Platoon leader for the four months, you have planned and participated in two field training exercises before this National Training Center rotation. The squad leaders have conducted risk assessments; therefore, you know the following:

• Results from the safety risk assessment identified 10 percent of the platoon’s Soldiers at a high or extremely high risk level for accidents (below standards due to lack of training and self-discipline issues).

• The platoon has supported numerous FARP and POL support missions over the past year, but only two were night operations using night-vision devices.

• The new FARP location has sparse vegetation and scrub brush. Dust and brownout conditions are likely. No one from the platoon is familiar with this site.

Mission analysis.

• Mission. Relocate FARP operations to support an AH-64 night deep attack.

• Enemy. Possesses indirect artillery with capability to effectively engage jump FARP site and possible air defense artillery and surface-to-air missile capabilities. Enemy scout elements with modified civilian pick-up trucks and small arms may be in the area.

• Terrain. Plateau affords easy access, but is exposed on all sides. The weather is dry and hot, with no forecasted precipitation. The temperature is averaging 93 degrees Fahrenheit during the day and 68 degrees Fahrenheit at night. There will be moderate moon illumination throughout the operational time period.

• Troops. Two of your troops have little or no experience performing this task. Most of the Soldiers are first term enlistees with less than 3 years of service. Previous training assessments indicate acceptable levels of proficiency for six of the Soldiers. Number of available Soldiers to accomplish the mission is limited due to over extended support commitments.

• Time. Lack of training time due to enemy threat.

Risk assessment.

• Threat-based risks. Air defense artillery threat; terrain exposed to enemy fire (direct and indirect).

• Hazard-based risks. insufficient and inexperienced personnel; limited visibility and unfamiliar terrain.

14 April 2014 ATP 5-19 A-7

Figure A-3. Sample DD Form 2977 for tactical aviation scenario (page 1)

A-8 ATP 5-19 14 April 2014

TACTICAL FIELD ARTILLERY SCENARIO

A-8. This notional field artillery scenario, page A-8, is the basis for the sample DD Form 2977 illustrated in figure A-4, page A-9. Only the first page of the sample form is shown.

14 April 2014 ATP 5-19 A-9

Deliver Field Artillery Fires

Unit’s Mission. Bravo Battery, 1st Battalion, 138th Field Artillery Regiment provides direct support field artillery fires to 3d Brigade Combat Team’s (BCT’s) movement to contact by 240400 Feb XX, to locate and destroy the Slinker Division of the Mudolvian Republican Guard.

Situation. It is now 211200 Feb XX. Bravo Battery has been in the southwest Asian theater since 29 December. The enemy’s Slinker Division has been preparing and improving defensive positions, incorporating tank ditches, minefields, and other obstacle belts since late September. After almost four weeks of air strikes, intelligence estimates enemy combat power at 85 percent with full operational capability to employ persistent and nonpersistent chemical agents by 122mm artillery.

Conditions. Bravo Battery is at 102 percent personnel strength. Ninety-five percent of its Soldiers have never participated in a combat operation. In November, the battery received the new M109A7 Paladin. The first training exercise (firing) with this system was on 3 Jan. Gun crews are well-trained in crew drills, but section chiefs still need training on the new electronic equipment that came with the M109A7. Soldiers are acclimated to cool night weather in the desert. The predicted weather for 24 February is strong wind (over 30 knots) causing sand storms, with visibility less than 50 yards. No precipitation is predicted.

Facts. The commander has been in command for thirteen months, and Soldiers have fired over 3,000 rounds safely in the M109A6, but they have fired only 250 rounds from the M109A7. Based on training and experience, you know the following:

• The Slinker Division has excellent counter-battery acquisition systems and is well-trained in processing counterfire missions.

• The dust and wet weather has caused numerous failures of the electronic devices on the M109A7 and in your fire direction center systems.

• During the mission readiness exercise, evaluators found several performance issues within the fire direction center. As a result, the commander rates the battery’s fire direction center as partially trained in manual fire direction procedures.

• Battery has not conducted collective training with other 3d BCT maneuver elements on breaching or reducing obstacles. The battalion has no organic engineer assets.

From experience at the Combat Maneuver Training Center and National Training Center, the leadership knows there will be little time for sleep or rest in a movement-to-contact operation.

Mission Analysis.

• Mission. Provide conventional artillery fires in direct support of 3d BCT’s movement to contact.

• Enemy. The Slinker Division is at 85 percent combat power. It has been preparing and improving defensive positions and incorporating obstacles (tank ditches, minefields, and obstacle belts). It is fully capable of delivering persistent and nonpersistent chemical agents by 122mm artillery. It is well-trained in counterfire missions.

• Terrain. May encounter enemy obstacles. Severe winds (30+ knots), sandstorms, and dust may limit visibility to less than 50 yards. Dust and wind-driven rain can cause equipment malfunctions.

• Troops. Personnel strength is at 102 percent. Ninety-five percent of the Soldiers have never participated in combat operations. The fire direction center is partially trained in manual fire direction procedures. Crews are well-trained in crew drills; however, they lack experience with the new equipment. The Soldiers are acclimated.

• Time. Approximately three days to prepare.

Risk Assessment.

• Threat-based risks. Enemy obstacles; enemy counter-battery capabilities.

• Hazard-based risks. Inexperienced personnel; fire direction center training needed; Soldier fatigue; adverse environment.

A-10 ATP 5-19 14 April 2014

Figure A-4. Sample DD Form 2977 for tactical field artillery scenario (page 1)