RISK ASSESSMENT MATRIX

Transcription

1 U.S.C.G. AUXILIARY STANDARD AV-04-4 Draft Standard Doc. AV August 2004 RISK ASSESSMENT MATRIX STANDARD FOR AUXILIARY AVIATION UNITED STATES COAST GUARD AUXILIARY NATIONAL OPERATIONS DEPARTMENT AVIATION DIVISION STANDARDIZATION TEAM Page 1 of 6

2 U.S.C.G. AUXILIARY STANDARD AV AUG 2004 TABLE OF CONTENTS 1 SCOPE 3 A. PURPOSE 3 B. APPLICATION 3 C. REFERENCES 3 2. DEFINITIONS 3 3. SPECIFICATION 4 4. APPENDIX 1 4 Page 2 of 6

3 USCG AUXILIARY STANDARD AV-04-4 Risk Matrix (3).doc 18-Aug SCOPE A. Purpose Auxiliary aviation operations are conducted in a variety of environments and support a number of different missions. It is vital to te safety of te crew and to te success of te mission tat te pilot and crew understand and evaluate te full impact of risk versus gain for eac tasking. Te Final Action Message regarding Coast Guard Class A, R041706Z Jun 03 COMDT COGARD Wasington DC, directed te expansion of Auxiliary aviation policy to include an Auxiliary unique Risk Assessment Matrix. Tis Matrix will assist Air Station Commanding Officers and teir pilots and crews in risk management duties/responsibilities wile employing te widely varied aircraft and pilot attributes of Auxiliary Aviation. Tis document establises te policy of utilizing te enclosed Auxiliary unique Risk Assessment Matrix (Appendix 1, below) for use in planning for all Auxiliary aviation aircraft operations to assist Auxiliary pilots in quantifying operational risk exposure associated wit assigned missions. B. Application Te policies and procedures in tis Standard sall be applicable to all Auxiliary aviation aircraft operations. C. References a. United States Coast Guard Auxiliary Manual, M (series) b. United States Coast Guard Auxiliary Operations Policy Manual, M (series) c. Commandant Instruction M , Te Auxiliary Aviation Program d. COMDT COGARD Wasington DC Z Jun 03 - Final Action Message regarding Coast Guard Class A Aviation Fligt Misap involving an Auxiliary Aviation Aircraft on 01 Feb 01 e. Commandant Instruction , Operational Risk Management 2. DEFINITIONS Operational Risk Management - A continuous, systematic process of identifying and controlling risk in all activities according to a set of pre-conceived parameters by applying appropriate management policies and procedures. Tis process includes detecting azards, assessing risk, and implementing and monitoring risk controls to support effective, risk-based decision-making. Risk - Te cance of personal injury or property damage or loss, determined by combining te results of individual evaluations of specific elements tat contribute te majority of risk concerns. Risk generally is a function of Severity, Probability and Exposure (SPE). Page 3 of 6

4 USCG AUXILIARY STANDARD AV-04-4 Risk Matrix (3).doc 18-Aug SPECIFICATION Wen Auxiliary aircraft are given a set of orders for a Coast Guard assigned mission, te pilot in command sall, in conjunction wit te crew during pre-fligt planning, complete te enclosed Auxiliary Risk Assessment Matrix (Appendix 1). Te risk assessment matrix was developed in a generic format, flexible enoug to apply to most mission situations. Values in te Matrix are to be mission-based on circumstances unique to District mission events, assets, resources, communications, and fligt environment. Any mission, wic results in a numeric risk assessment value (risk assessment vs. gain) greater tan 20, or greater tan te local Air Station commanding officer establised tresold, requires re-evaluation and / or Air Station command approval before launc. Due to te dynamic nature of our mission and fligt environment, pilots and crew sould re-evaluate te risks wenever parameters sift from te pre-fligt assessment; for example, wen a routine patrol turns into a SAR mission. 4. APPENDIX 1 See attacment, U.S.C.G. AuxAir Aviation Risk Assessment, pages 1 and 2. Page 4 of 6

5 Date: Mission: U.S.C.G. AUXILIARY STANDARD AV-04-4 RISK ASSESSMENT MATRIX Appendix 1 Page 1 Risk Assessment Review questions and circle te score according to currently available information. Score items according to instinct and te examples given. Absence of data automatically sets te score to maximum point value. Planning: Torougness of pre-mission planning. Factors wic increase risk: Launc from B-0, in-fligt diversion. Adequate Minimal None Event: Refers to mission complexity and guidance or doctrine available. Factors wic may increase risk: sketcy details or non-standard mission profile. Clear Guidance Complex/Innovation Required Asset: Selection of appropriate resources. Factors tat affect risk: time wit qualification, unfamiliar w/op area, fatigue, fligt time (total time & time in type), crew rest, requestor s knowledge of asset capabilities. A. Pilots Excellent Adequate Marginal B. Aircrew 5 C. Airframe/Resources Fully Mission Partially Mission Capable Capable Communications: Ability to maintain comms trougout mission. Factors: internal w/command and external w/customer. Adequate Marginal None Environment: External condition surrounding mission: Weater, nigt, illumination, seastate, terrain, power lines/structures, alternate airfields, water temp, on-scene cover. Benign Marginal Hazardous Add te values for eac Risk Assessment and plot te final Risk Assessment on grap below (include re-assessment from Step 2). Risk Management Risk Management is te decision to control or reduce azards. Below are Control Options to assist in risk control or reduction. Review te options and reassess te risks as appropriate. Spread-out Disperse te risk by launcing additional air/surface assets. wait until dayligt or weater passes. Accept In all cases te benefit must justify te assumption of low risk. Te decision to accept risk must be made wit te stipulation tat risk is reevaluated as te mission progress. (No adjustment to Risk Assessment) Reduce Reduce or limit risk exposure: Additional PRECOM/EXCOM, bring in fres or more experienced crew. Reassess Step 1 Values Risk vs. Gain Low Gain Situation wit intangible benefits or a low probability for providing concrete results. Examples include passenger transport, non-critical logistics missions, PAO demonstration fligt, etc. Medium Gain Situation tat provides immediate, tangible benefits. Examples include saving property, protecting te environment, deterring illegal operations. Hig Gain Situation tat provides immediate, tangible benefits tat if ignored could result in loss of life. Examples include Urgent SAR. Given te mission description above, wat is te Gain for tis mission? Risk Assessment (Hi/Med/Lo) Transfer If practical, locate a better suited asset to It is recommended tat any mission wic Excellent Adequate Marginal conduct te mission i.e. different airframe, surface asset, or results in a Risk Assessment value above 20, crew. requires re-evaluation and/or Command Avoid Circumvent azard: Wait for risk to subside i.e. approval Low Medium Hig Vs. Gain (Hi/Med/Lo) Use te Risk vs. Gain Cart (next page) for recommendations on ow to proceed

6 Date: Mission: U.S.C.G. AUXILIARY STANDARD AV-04-4 RISK ASSESSMENT MATRIX Appendix 1 Page 2 It is recommended tat any mission, wic results in a Risk Assessment value above 20, requires re-evaluation or Command approval. Tis actual value, for any mission or missions, may be set at te discretion of te CGAS Commanding Officer. Risk Low Risk Medium Risk Hig Risk Hig Gain Medium Gain Low Gain Accept te Mission. Continue to monitor Risk Factors, if conditions or mission canges. Contact Air Station for guidance. Continue to monitor Risk Factors and employ Control Options wen available. Accept te Mission. Continue to monitor Risk Factors, if conditions or mission canges. Contact Air Station for guidance. Continue to monitor Risk Factors and employ Control Options wen available. Do NOT accept Hig Risk Missions Accept te Mission. Re-evaluate Risk vs. Gain, sould Risk Factors cange. Do not accept te Mission. NOTE: Tis Risk Assessment Matrix is intended as a tool to focus attention on items wic cause risk wen flying Coast Guard Auxiliary missions. Altoug one could selectively evaluate Risk Factors wit a mind toward acieving an acceptable Risk Factor score, doing tat would subvert te intent of tis tool. Tis is intended to elp everyone on te aircrew sift teir tinking from a ground-bound mindset, to te azards of te aviation environment. All members of te fligtcrew sould participate in te Risk Assessment scoring. Tis Risk Assessment process sould continue trougout te mission as conditions evolve. Instructions 1. Complete Step 1, Risk Assessment. Review eac of te Risk Factors and assign a numerical score as indicated. Place te score in te upper left-and portion of te boxes. Note: Te relative scale provided is a guide to determine ow muc risk is associated wit eac factor. If you know or ave information not specifically addressed in te example you may want to reference te scale at te bottom of te page. Example: If you feel tat te wrong Asset is being sent on te case, you may want to score tat factor as ig risk due to an inappropriate dispatc of an asset. Use your best judgment as YOU see te information developing. Add te values of te boxes togeter. Use tis score to determine te Risk, by applying it to te Risk Scale at te bottom of te page. Note: Te Environmental Risk Factor as a weigted value. 2. Complete Step 2, Risk Management. If Risk Assessment is determined to be excessive, review te control options and determine if te risks can be reduced or controlled. Reassess eac risk factor and enter new value in te lower rigt and portion of te box provided. Re-total te values of te boxes and again compare to te Risk Scale at te bottom of te page. 3. Complete Step 3, Determine Potential Gain. Determine te gain by reviewing te assigned mission, apply te definitions as appropriate. 4. Utilize te matrix above to receive a recommendation on weter or ow, to proceed wit te mission. 5. Communicate te findings wit your crew. Continue to re-evaluate Risk Assessment vs. Risk Management trougout all pases of te mission. Tis process sould be an endless loop and continue until te safe completion of te mission Low Medium Hig