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CHAPTER 1

RISK MANAGEMENT

1-1. GENERAL. This chapter explains risk management as it applies to wheeled vehicle driver training. For more detailed risk management guidance, refer to FM 101-5, Appendix J.

1-2. BACKGROUND. Ground vehicle accidents cost the Army millions of dollars each year and significantly reduce mission capabilities. Leaders must develop techniques that will save resources. Because the Army must be prepared to operate worldwide, the training mission has become increasingly demanding and so have the risks inherent in that mission. This increase in risk requires leaders to balance mission needs with hazards involved and make wise risk decisions.

1-3. DEFINITIONS.

a. Risk Management. Risk management is the process of identifying and controlling hazards to protect the force. It is a step-by-step process that provides a framework for analyzing any mission or task. The following are the five steps of risk management:

(1) Step 1 - Identify Hazards. Identify hazards to the force. Consider all aspects of current and future situation, environment, and known historical problem areas.

(2) Step 2 - Assess Hazards. Assess hazards to determine risks. Assess the impact of each hazard in terms of potential loss and cost based on probability and severity.

(3) Step 3 - Develop Controls and Make Risk Decision. Develop control measures that eliminate the hazards or reduce its risk. As control measures are developed, risks are reevaluated until all risks are reduced to a level where benefits outweigh potential cost.

(4) Step 4 - Implement Controls. Put controls in place that eliminates the hazards or reduce their risk.

(5) Step 5 - Supervise and Evaluate. Enforce standards and controls. Evaluate the effectiveness of control and adjust/update as necessary.

b. Hazard. Any real or potential condition that can cause injury, illness, or death of personnel; or damage to or loss of equipment or property.

c. Risk. Chance of hazard or bad consequences; exposure to chance of injury or loss. Risk level is expressed in terms of hazard probability and severity.

d. Exposure. The frequency and length of time subjected to a hazard.

e. Probability. The likelihood that an event will occur.

f. Severity. The expected consequence of an event in terms of degree of injury, property damage, or other mission impairing factors (loss of combat power, adverse publicity, and so forth) that could occur.

g. Controls. Actions taken to eliminate hazards or reduce their risk.

h. Risk Assessment. The identification and assessment of hazards (first two steps of risk management process).

i. Residual Risk. The level of risk remaining after controls have been identified and selected for hazards that may result in loss of combat power. Controls are identified and selected until residual risk is at an acceptable level or until it cannot be practically reduced further.

j. Risk Decision. The decision to accept or not accept the risk(s) associated with an action.

1-4. RISK MANAGEMENT PROCESS. The risk management process uses the following approach:

a. Identify Hazards. Look for hazards in each phase of the training or operation.

b. Assess the Risk. Ask these questions:

NOTE: A low probability of an accident and an expected minor injury equals low risk. A high probability of an accident and an expected fatality equals extremely high risk.

c. Develop Risk Control Alternatives and Make Risk Decisions. If you cannot eliminate the risk, then you must control it without sacrificing essential mission requirements. You can control some risks by modifying tasks, changing location, increasing supervision, wearing protective clothing, changing time of operation, and so on. Decisions take several forms:

d. Implement Risk Control Measures. You must integrate procedures to control risks into plans, orders, SOPs, and training. You must also ensure risk reduction measures are used during actual operations.

e. Supervise the Operations. Make sure leaders know what controls are in place, what standards are expected, and then hold those in charge accountable for implementation. This is the point when accident prevention actually happens.

1-5. RISK ASSESSMENT ELEMENTS. There are no hard and fast rules for assessing risk. Different training tasks involve different elements that can affect training safety. However, the following seven elements are central to safely completing most driver training tasks:

Using matrices that assign a risk level to each of the elements is one way to quickly appreciate the overall risks. The following matrices (Tables 1-1 through 1-7) are examples of risk assessments for the seven elements common to driver training missions.

NOTE: The factors are arbitrarily weighted. Modify them based on your particular mission and unit.

Table 1-1. Soldier qualification risk value

SOLDIER QUALIFICATION RISK VALUE

 

DRIVING EXPERIENCE

TASK

LICENSED OVER 1 YEAR

LICENSED UNDER 1 YEAR

UNLICENSED

COMPLEX Moderate High High
ROUTINE Low Moderate High
SIMPLE Low Low Moderate

EXAMPLE: Unlicensed drivers learning braking techniques in an MTV cargo truck with air brakes would be a high risk situation requiring substantial controls (new drivers generally do not have experience with air brake vehicles).

Table 1-2. Vehicle type risk value

VEHICLE TYPE RISK VALUE

 

VEHICLE CONFIGURATION

LOCATION OF TRAINING

SMALL
TRUCKS

STRAIGHT
TRUCKS

COMBINATION UNITS

ROAD Moderate High High
TRAINING AREA Low Moderate High
MOTOR POOL Low Low Moderate

EXAMPLE: Driving an MTV cargo truck over the road would have a high-risk value.

Table 1-3. Weather risk value

WEATHER RISK VALUE
  VISIBILITY
ROAD CONDITIONS CLEAR REDUCED RESTRICTED
UNFAVORABLE Moderate High High
ADEQUATE Low Moderate High
FAVORABLE Low Moderate High

EXAMPLE: Driving on icy roads in fog would have a high-risk value.

Table 1-4. Terrain risk value

TERRAIN RISK VALUE

 

ROAD NETWORK

TYPE OF
TERRAIN
IMPROVED
ROADS
SECONDARY
ROADS
UNIMPROVED
MOUNTAIN Moderate High High
DESERT/JUNGLE Low Moderate High
FLAT/ROLLING Low Low Moderate

EXAMPLE: Driver training conducted at Fort Bragg, NC, over trails would have a moderate risk value.

Table 1-5. Supervision risk value

SUPERVISION RISK VALUE

 

TASK LOCATION

LEVEL OF SUPERVISION

MOTOR POOL

TRAINING AREA/
NONCONGESTED ROAD

OFF ROAD/
CONGESTED ROAD

NOT OBSERVING High High High
OBSERVING Low Moderate High
IN VEHICLE Low Low Moderate

EXAMPLE: A student driving alone, but observed, in a training area would have a moderate risk value.

Table 1-6. Equipment risk value

EQUIPMENT RISK VALUE

 

LAST SEMIANNUAL SERVICE

EQUIPMENT AGE 0 TO 2 MONTHS + 2 TO 4 MONTHS + 4 MONTHS
OLD Moderate Moderate High
AVERAGE Low Moderate High
NEW Low Low Moderate

EXAMPLE: An eight-year-old MTV cargo truck serviced 3 months ago would have a moderate risk value.

Table 1-7. Time of day risk value

TIME OF DAY RISK VALUE

 

LIGHT LEVEL

ROUTE FAMILIARITY DAY DAWN/DUSK NIGHT
NEVER DRIVEN ROUTE Moderate High High
DRIVEN ROUTE 1 TO 3 TIMES Low Moderate High
FAMILIAR ROUTE Low Low Moderate

EXAMPLE: A driving task over a familiar route that starts during the day but ends at dusk would have a moderate risk value.

After assessing all the risks, the overall risk value equals the highest risk identified for any one element. Now is the time to focus on high-risk elements and develop controls to reduce risks to an acceptable level. Control examples may include conducting training in a different location or at a different time of day, putting an instructor in the vehicle with the student, waiting for better weather, using a different vehicle, and so on.

1-6. DECISION AID. The level of the decision-maker should correspond to the level of the risk. The greater the risk, the more senior the final decision-maker should be. The matrix shown in Table 1-8 is a proposed decision aid to help determine the leadership decision-making level.

Table 1-8. Proposed decision aid

DECISION AID

RISK

DECISION LEVEL

LOW SENIOR INSTRUCTOR
MODERATE COMPANY COMMANDER
HIGH BATTALION COMMANDER

a. Moderate risk training warrants complete unit command involvement. For example, a moderate risk value in the weather element category indicates the soldiers are more susceptible to cold injuries and require closer supervision or a rescheduling of training. If you cannot reduce the risk level, the company commander should decide to train or defer the mission.

b. Operations with a high-risk value warrant battalion involvement. If you cannot reduce the risk level, the battalion commander should decide to train or defer the mission.

1-7. RISK CONTROL ALTERNATIVES. The following options can help control risk:

1-8. SUPERVISION. Leaders must monitor the training to ensure risk control measures are followed. Never underestimate subordinates ability to sidetrack a decision they do not understand or support. You must also monitor the impact of risk reduction procedures when they are implemented to see that they really work. This is especially true of new, untested procedures.

1-9. PAYOFFS. Risk management lets you use realistic training scenarios reducing personnel and equipment losses while training. Risk management is consistent with METT-T decision processes and can be used in battle to increase mission effectiveness.

SAMPLE RISK ASSESSMENT WORK SHEET FOR DRIVER TRAINING

 

TRAINING TASK: ___________________________________________

RISK LEVEL: ________________

 

 ____________1. SOLDIER QUALIFICATION

SOLDIER QUALIFICATION RISK VALUE

 

DRIVING EXPERIENCE

TASK LICENSED OVER 1 YEAR LICENSED UNDER 1 YEAR UNLICENSED
COMPLEX Moderate High High
ROUTINE Low Moderate High
SIMPLE Low Low Moderate

 

 ____________2. VEHICLE TYPE

VEHICLE TYPE RISK VALUE

 

VEHICLE CONFIGURATION

LOCATION OF TRAINING SMALL
TRUCKS
STRAIGHT
TRUCKS
COMBINATION UNITS
ROAD Moderate High High
TRAINING AREA Low Moderate High
MOTOR POOL Low Low Low

 

 ____________3. WEATHER

WEATHER RISK VALUE

 

VISIBILITY

ROAD CONDITIONS CLEAR REDUCED RESTRICTED
UNFAVORABLE Moderate High High
ADEQUATE Low Moderate High
FAVORABLE Low Moderate High

 

 ____________4. TERRAIN

TERRAIN RISK VALUE

 

ROAD NETWORK

TYPE OF
TERRAIN
IMPROVED
ROADS
SECONDARY
ROADS
UNIMPROVED
MOUNTAIN Moderate High High
DESERT/JUNGLE Low Moderate High
FLAT/ROLLING Low Low Moderate

 

 ____________5. SUPERVISION

SUPERVISION RISK VALUE

 

TASK LOCATION

LEVEL OF SUPERVISION MOTOR POOL TRAINING AREA/
NONCONGESTED ROAD
OFF ROAD/
CONGESTED ROAD
NOT OBSERVING High High High
OBSERVING Low Moderate High
IN VEHICLE Low Low Moderate

 

 ____________6. EQUIPMENT

EQUIPMENT RISK VALUE

 

LAST SEMIANNUAL SERVICE

EQUIPMENT AGE 0 TO 2 MONTHS + 2 TO 4 MONTHS + 4 MONTHS
OLD Moderate Moderate High
AVERAGE Low Moderate High
NEW Low Low Moderate

 

 ____________7. TIME OF DAY

TIME OF DAY RISK VALUE

 

LIGHT LEVEL

ROUTE FAMILIARITY DAY DAWN/DUSK NIGHT
NEVER DRIVEN ROUTE Moderate High High
DRIVEN ROUTE 1 TO 3 TIMES Low Moderate High
FAMILIAR ROUTE Low Low Moderate

 

 ____________OVERALL RISK LEVEL

DECISION AID

RISK

DECISION LEVEL

LOW
MODERATE
HIGH

SENIOR INSTRUCTOR
COMPANY COMMANDER
BATTALION COMMANDER

 

APPROVED BY: ___________________________________ DATE: _________________