Professional Documents
Culture Documents
Agenda
1. NOAA Risk Management Fundamentals
1.1 Definition of Risk and Risk Management 1.2 Responsibility for NOAA Risk Management 1.3 Governance - Risk Management Policy 1.4 Governance Structure for Risk Management 1.5 Framework for Risk Management 1.6 Factors governing the Risk Management decision 1.7 The Risk Management Process
2. Risk Management Best Practise 3. Relationship between Risk Management and Internal Audit 4. Practical Implications for Municipalities 5. Conclusion
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NRM
Risk management focuses on the ability of the organization to meet objectives in the future by identifying risk and making decisions to manage these risks Risk management starts with the strategic planning process Risk Management is a dynamic, ongoing assessment, decisionmaking and implementation process that is integrated with management activities Risk Management uses instruments such as Job Safety Analysis (JSAs), control processes, strategy/product changes, research/intelligence, risk shifting to control, eliminate or reduce risk.
INTERNAL AUDITORS
The internal auditors at the operational level of the organization or LECOs must i. Prepare a risk- based audit plan and internal audit program for each job/task; using job safety analysis (JSA) ii. Advice management and report to the audit findings to the safety committee on the implementation of the internal audit plan and matters relating to risk and risk management
Risk
Benefit
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12
Purpose
To understand the flow of events.
Method
List events in sequence. May use time checks.
To get a quick survey of all Tie it to the OA. Quickly phases of an operation. assess hazards using scenario thinking, brainstorming and SMEs. To capture the input of operational personnel in a brainstorming-like environment.
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What If
Choose an area (not an entire operation), get a group and generate as many as what ifs as 13 possible.
Scenario Process To use imagination and Tool visualization to capture unusual hazards. Logic Diagram To add detail and rigor to the process through the use of graphic trees. To detect the hazard implications of both planned and unplanned change.
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Change Analysis
S E V E R I T Y
1 1 1 2 2
1 1 2 3 3
2 2 3 4 4
3 3 4 4 4
3 4 4 5 5
Negligible
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Major - Key mission degradation, injury, minor occupational illness, or minor system damage. Minor - Trivial mission degradation, injury, occupational illness, or minor system damage. Negligible - Less than minor mission degradation, injury,
occupational illness, or minor system damage.
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Who will answer in the event of a mishap? Who is the senior person at the scene? Who possesses best insight into the full benefits and costs of a risk. Who has the resources to mitigate the risk? What level makes the most operational sense? What level makes these types of decisions in other activities? Who will have to make this decision in/during field operations?
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Objective:
Initial RAC
Lessons Learned:
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2. DATE/TIME BEGIN:
3. DATE PREPARED:
Step 3
1=Catastrophic 2=Critical 3=Major 4=Minor 5=Negligible
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WORKSHEET INSTRUCTIONS
Block 1-4 Self-explanatory 5. Identify Hazard: Objective is to ID those things most likely to have a negative impact on the mission. 6. Assess Risk: Determine risk of each hazard using the Risk Assessment Matrix. In Block 6, enter the risk level for each hazard, i.e., 5-Negligible, 4-Critical, 3-Minor, 2Major, or 1-Catastrophic. 7. Develop Controls: Develop one or more controls for each hazard to reduce its risk. As needed, specify who, what, where, when, and how for each control. 8. Determine Mission/Task Risk: From Block 8, identify hazard with highest residual risk. This is the overall risk for the task/mission. Circle the appropriate risk level in Block 9. 9. Make Risk Decision: Decide to accept or not accept the residual risk for this mission/task. Unit commander will determine authority and level for risk acceptance. Decisions for high and extremely high risk levels should be elevated up the chain of command. 10. Implement Controls: Decide how each control will be put into effect/communicated to the personnel who will make it happen (written instructions, operating instructions, checklists, dry-runs). Enter in Block 10. 11. Supervise: Show how each control will be monitored to ensure proper implementation (i.e., continuous supervision, spot checks, etc.). Enter in Block 11. 12. Evaluate: After mission/task is complete, determine effectiveness of each control in reducing the risk of the targeted hazard. Indicate in Block 12 Y (yes) if the control was effective or N (no) if the control was ineffective. For those controls which were not effective, determine why and what to do the next time this hazard is identified. For example change the control or change how the control will be implemented/supervised.
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I II III IV V
1 1 1 2 2
1 1 2 3 3
2 2 3 4 4
3 3 4 4 4
Action 1: Supervise
Action 2: Review
Action 3: Feedback
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Mission
HAZARDS ARE CAUSED BY ENERGY Force Acceleration Chemical Vibration Electrical Environmental Kinetic Pressure Potential Thermal Radiation Humans MACRO CONTROL OPTIONS LIST Reject Avoid Delay Transfer Spread Compensate Reduce RISK CONTROL OPTIONS MATRIX Engineer Guard Improve Task Design Limit Exposure Selection of Personnel Train and Educate Warn Motivate Reduce Effects Rehabilitate THE POWER OF COMMAND
7 PRIMARY HAZARD IDENTIFICATION TOOLS Operations Analysis - a block diagram, flow chart, or timeline that describes the operation. Preliminary Hazard Analysis an examination for sources of hazards, usually related to energy. What If Analysis - a group brainstorming technique. What if this happens? Scenario Process - stories describing conceivable mishaps and consequences. Logic Diagrams - tree shaped diagrams examining hazards in detail: positive, negative, and risk event diagrams. Change Analysis - compares changes to a baseline to determine significance. Cause and Effect Diagrams fishbone diagram to examine many causes of a mishap.
Media
ORDER OF PRECEDENCE
1. 2. 3. 4.
Design for Minimum Risk Incorporate Safety Devices Provide Warning Devices Procedures & Training
THE INVOLVEMENT CONTINUUM User Ownership Co-ownership STRONGER Team Member Input Coordination Comment And Feedback Robot WEAKER
NRM Cheat Sheet2
Sustained consistent behavior STRONGER On-going personal behavior Accountability actions and follow up Follow up inquiries by phone and visits Verbal support in staff meetings Sign directives WEAKER
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a.
b. c. d. e.
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1. 2. 3. 4. 5.
objectives.
1. 2. 3. 4. _______________________________________ _______________________________________ _______________________________________ _______________________________________
5. _______________________________________
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STEP 2 - ANALYZE
INTEGRATION OBJECTIVES contd.
Step 3. Add a weighting factor if desired. Simply consider the relative importance of the various assessment criteria and if one is about twice as important as another, award it twice the points. Step 4. Evaluate the various objectives you have identified against the assessment criteria you have selected and award the appropriate points. A ten is awarded to a target that is (1) stronger than any other target in a given assessment criteria, and (2) nearly as strong as can be envisioned in that criteria.
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STEP 2 - ANALYZE
INTEGRATION OBJECTIVES contd.
Step 5. When all objectives have been evaluated against all assessment criteria, total the points down each column. Generally, the objectives that score the highest are the most attractive integration objectives. However, REMEMBER, that the matrix is only a job aid and the decision-maker should evaluate the output of the matrix as one (albeit a very important one) factor in the overall decision.
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Weight (Optional)
Involves the total Team Good Knowledge Base Good Potential Leader Interest
TOTAL
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c. _____________________________________
d. _____________________________________ e. _____________________________________
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Evaluate Integration Strategies. Become familiar with the list of 12 integration strategies. Consider the potential role of these strategies in connection with each of the stronger integration objectives developed in step 2. A suggested way of doing this is to list the strategies that seem best suited to each target. Then consider which strategy or possible combination of strategies will be most effective in implementing NRM in a given target.
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OBJECTIVE #3
OBJECTIVE #4
OBJECTIVE #5
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Risk
Benefit
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THE
END
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