Risk Management and Training Hazard Analysis, Summaries of Credit and Risk Management

Download Risk Management and Training Hazard Analysis and more Summaries Credit and Risk Management in PDF only on Docsity! Risk Management and Training Hazard Analysis Instructor Training Certification Course Risk Management and Training Hazard Analysis Update: February 2004 MS031204V1.0 Center for Domestic Preparedness THIS PAGE INTENTIONALLY LEFT BLANK Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-3 Introduction 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 (RM) is a systematic process that identifies the relative risk of training requirements. It weighs risk against training benefits and eliminates 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. 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” and “something good trainers have always done.” Risk management is is an art, but an art based on systematic procedures and specific techniques. 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 Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-4 Risk management, however, does not: • 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 Risk Management Process Center for DStep 1 Identify Hazards Step 2 Assess Hazards Step 3 Develop control options and make risk decision Step 4 Implement Controls Step 5 Supervise and Evaluate The 5-Step Risk Management Process omestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-5 Risk Management is the process of identifying, assessing, and controlling hazards to conserve resources. The five steps are: 1. Hazard identification—The process begins with the identification of hazards that have the potential of causing injury to personnel, damage to equipment or structures, loss of material, or reduction of ability to perform a prescribed function. 2. Hazard assessment—The second step is hazard assessment. Here, the objective is to determine the potential impact of a hazard on the training. There are two major considerations. One is probability—how likely the hazard is to cause loss; the other is severity—how severe that loss will be. 3. Risk control options and decisions—The third step includes creating as many risk control options as possible and then selecting those that best control risks without significantly impeding the training objectives. (As a guide, an instructor responsible for executing training should be authorized to make decisions at the risk level (low, moderate, and high). Extremely high authorization should be held at the jurisdictional/agency authority level.) 4. Risk control implementation—The fourth step involves the integration of risk controls into standard training procedures, training plans, training directives, lesson plans, or instructions. 5. Supervision and evaluation—The fifth step, effective supervision, assures sustained effectiveness of risk controls. Instructors have responsibilities to supervise and enforce performance according to standards. Principles of Risk Management The following principles 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 right from the planning stage. Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-8 Hazard Identification 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; 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 learner is required to perform and the following considerations: • Man—Reviewing the proficiency, psychology, and physiology 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 to the task • Management—Reviewing the planning/preparation and control aspects of the task • Task—Reviewing the clarity and compatibility aspects of the task Instructors must also be aware of the fact that changing environments can create new hazards or cause them to change rapidly. Causal Factors of Accidents In order to identify potential hazards, one needs 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. Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-9 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). • Standard Failure—The standards or procedures are not clear, not practical, or do not exist. • Support Failure—Resources such as personnel, equipment, material, supplies, or facilities are not provided or are insufficient. Hazard Identification Techniques Preliminary Hazard Analysis/ Preliminary List Techniques The Preliminary Hazard Analysis/List (PHA/PHL) is a core hazard identification technique that is 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 that can be 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. Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-10 “What If” Technique This technique involves the use of the “what if” question applied to specific segments of the system (“What if the engine fails to start?”) The likely results are defined followed by a determination of the possible causes of the misfired round. 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 of opinions. The individual interviews can be rolled up into overall totals to get an insight into the status of the entire organization. Cause and Effect Technique This technique is similar to the Total Quality Management (TQM) toolbox. It is a tool that completes hazard identification to either demonstrate the positive or negative outcome. It normally involves a variety of other investigative and analysis techniques. Hazard Assessment Process 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 eliminated. Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-13 Hazard Severity Sub-Step 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: 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 mission 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 mission 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 Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-14 Risk Assessment Matrix Sub-Step C The third sub-step 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 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 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. Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-15 Risk Value For each hazard that is 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. RAC EXPLANATION Extremely High Risk Loss of ability to accomplish mission if hazards occur during mission; a frequent or likely probability of catastrophic loss or frequent probability of critical loss exists High Risk Significantly degrades mission capabilities in terms of required mission standards; inability to accomplish all parts of the mission or inability to complete the mission to standards if hazards occur during the mission; 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 mission capabilities in terms of required mission 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 mission 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 mission Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-18 Integration of Control Options The control measures selected for implementation must be integrated into standard operating procedures, exercise or lesson plans, and administrative instructions. The critical requirement for this step is ensuring that controls are converted into clear, simple execution orders understood at all levels. Implementing controls includes coordination and communication with subordinate organizations and those executing the task or mission. Dissemination The control measures selected to eliminate 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 and 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 identified • 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 subordinate mangers, to the individual student. Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-19 Instructors at the various levels and their staffs are responsible and accountable for managing risks by ensuring that hazards and the associated risks are: • Identified during planning, preparation, and execution of the task or mission. • Controlled during preparation and execution of the task or mission. 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. Instructor Responsibilities Trainers are responsible for directing the organization, setting priorities, and commanding emphasis. Successful preservation of a training program requires embedding risk management into every training endeavor. This can be achieved through establishing an organization climate 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 organization 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 Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course Notes RMT-20 Learner’s Responsibility 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 mission 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: • Over-exhausting 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: • 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 act that will endanger themselves or others Supervision and Evaluation 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. NOTE: There must be discipline to enforce implementation of the control measures and guard against complacency. Center for Domestic Preparedness Risk Management and Training Hazard Analysis Instructor Training Certification Course RMT-23 Practical Exercise For Risk Management and Training Hazard Analysis Center for Domestic Preparedness THIS PAGE INTENTIONALLY LEFT BLANK Risk Management and Training Hazard Analysis Instructor Training Certification Course RMT-25 Under the guidance of an instructor, each student will develop a risk assessment worksheet using an Instructor Training Course Task, Hazard, and Learning Objective Analysis Guidebook issued to him or her at the beginning of the class. The following pages provide examples and ideas for conducting risk assessments. Practical Exercise: 1. Using the process of risk assessment and risk management outlined in this module, conduct a training risk assessment for the equipment/procedure in the ITC guidebook. 2. Complete the risk assessment worksheet and the required matrices to support outcomes. 3. Instruct the group on the processes used and outcomes, and present risk management plan orally. Center for Domestic Preparedness THIS PAGE INTENTIONALLY LEFT BLANK Risk Management and Training Hazard Analysis Instructor Training Certification Course RMT-29 Instructions for the Risk Assessment Worksheet/Record (RAWR) Block 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. Sub-tasks—List the sub-tasks or activities to be accomplished in relation to the primary task in a chronological sequence. 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/mission 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 risk assessment matrix [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 eliminate 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 & Supervise—For each control, list how it will be put into effect and communicated to all personnel involved in the implementation. How and who to supervise the implementation of the control measures should be recorded. L. Determine Overall Mission/Task Risk Level—The overall risk level of the mission/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 mission. For each control that was not effective, recommend further appropriate control measures. Center for Domestic Preparedness THIS PAGE INTENTIONALLY LEFT BLANK