Operational Risk Management 3500.39C

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What is the most common cause of task degradation or mission failure?
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Human error – specifically the inability to consistently manage risk
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How does ORM reduce risk?
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systematically identifying hazards and assessing and controlling the associated risks allowing decisions to be made that weigh risks against mission or task benefits
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What are Navy Personnel responsible for?
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managing risk in all tasks
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What are leaders at all levels responsible for?
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ensuring proper procedures are in place and that appropriate measures are available for their personnel to perform assigned tasks
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What is the Navy vision for?
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develop an environment in which every officer, enlisted, or civilian person is trained and motivated to personally manage risk in everything they do
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What kind of strategy do Navy commands use to successfully complete a task or mission?
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Four pillar strategy
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What documents are used for the four pillar strategy?
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ORM fundamentals, TCRM, ORM training continuum, evolution and program evaluations
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Commander, Naval Safety Center (NAVSAFECEN)
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ORM model manager – subject matter expert (SME) for Navy’s ORM program
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Echelon 2 Commanders, regional commanders and type commanders
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Provide uniform force-wide guidance for identifying areas where existing instructions, SOP, and command-specific apps or req shall be augmented with ORM
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NETC and all other commands involved in formal training of personnel shall
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implement ORM training throughout Navy enterprise, deliver ORM education and skill sets, and deliver ORM instruction
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Naval Manpower Analysis center shall
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incorporate ORM process into naval standards, curricula, etc
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Commanders, commanding officers, or officers in charge shall
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establish command policy and expectations for app of on and off duty ORM
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Who does the CO designate as ORM manager to oversee command ORM training, implementation, and measurement of effectiveness?
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XO Executive officer
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Command ORM shall
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ensure ORM process is applied to all aspects of command operations, select at least one officer and one senior enlisted for designation as ORM assistants
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ORM process definition
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decision making tool used by personnel at all levels to increase effectiveness by identifying, assessing, and managing risks
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ORM DOES NOT….
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inhibit flexibility, initiative, or accountability, remove risk or support a “zero defect”, remove necessity for practice, drills, etc, or sanction or justify violation the law and DoD or Navy Standards
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How many basic principles of ORM are there?
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four
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What are the four basic principles of ORM
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1. accept risk when benefits outweigh cost, 2. accept no unnecessary risk, 3. anticipate and manage risk by planning, and 4. make risk decisions at the right level
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Accept risk when benefits outweigh cost
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process of weighing risks against benefits and value of the mission or task that helps maximize success
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accept no unnecessary risk
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if all detectable hazards have not been identified, then unnecessary risks are being accepted
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Anticipate and manage risk by planning
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integrating RM into planning at all levels and as early as possible provides the greatest opportunity to make well-informed risk decisions and implement risk controls
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Make risk decisions at the right level
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the appropriate level for risk decisions is the person that can make decisions to eliminate or minimize hazard, implement controls to reduce the risk, or accept the risk
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How many levels of ORM are there?
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three
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What are the three levels of ORM?
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in-depth, deliberate, and time critical
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What is the basic factor that differentiates each level of ORM?
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time – the amount of time available to dedicate to the preparation and planning of missions or tasks
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In-depth level
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refers to situations when time is not a limiting factor and the right answer is required for a successful mission or task
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What are some examples of application of in-depth level of ORM?
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long term planning of complex or contingency operations; technical standards and system hazard management applied in engineering design during acquisition and introduction of new equipment and systems; development of tactics and training curricula; and major system overhaul or repair
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What are some tools used in in-depth level of ORM?
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thorough research and analysis of available data, use of diagrams and analysis tools, formal testing or long term tracking of associated hazards
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deliberate level
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refers to situations when there is ample time to apply the RM process to detailed planning of a mission or task
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What is a good example of ORM application integrated at the deliberate level?
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The Navy planning process (more ex: planning of unit missions, tasks or events, review of standard operating, maintenance or training procedures, recreational activities; and development of damage control and emergency response plans)
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Time Critical level
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personnel operate on this level on a daily basis both on and off duty
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At what level of ORM is there little to no time to make a plan?
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time critical
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What model has the Navy adopted to facilitate the use of RM at time critical level?
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The ABCD Model
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What are the 5 basic steps to the ORM process?
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1. Identify the hazards, 2. assess the hazards, 3. make risk decisions, 4. implement controls, and 5. supervise
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What guidelines are set for the 5 step process?
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1. apply in sequence, 2. maintain balance, 3. apply as a cycle, 4. involve people fully, 5. document
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What is a hazard?
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Any condition with the potential to negatively impact mission accomplishment or cause injury, death or property damage
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Category I of Severity consequences
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loss of the ability to accomplish the mission; death or permanent total disability
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Category II of Severity Consequences
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Significantly degraded mission capability or unit readiness; permanent partial disability or severe injury or illness
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Category III of Severity consequences
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degraded mission capability or unit readiness; minor damage to equipment/minor injury or illness
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Category IV of severity consequences
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little or no adverse impact on mission capability or unit readiness
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Probability category A
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likely to occur, immediately or within a short period of time
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Probability category B
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probably will occur in time
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Probability category C
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may occur in time
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Probability category D
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unlikely to occur, but not impossible
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How do you determine the risk assessment code (RAC) or level of risk for each hazard, expressed as a single Arabic number?
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combine the severity with the probability
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What are the three basic actions that ultimately lead to making informed risk decisions?
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1. Identify control options, 2. determine control effects, 3. make risk dections
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What are some types of controls?
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Engineering, administrative, and physical
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ABCD Model
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Assess the situation, Balance resources, Communicate to others, Do and debrief the event
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The ABCD Model is designed to assist when…
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working in dynamic environment, monitoring a static or routine situation to capture errors, and making a decision with partial info
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The ABCD Model is not a replacement for the 5-step ORM process or a different process of RM
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True
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What is the practical application of the 5 step process in a time critical environment?
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the ABCD model
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How many types of ORM evaluation are there?
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2
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What are the two types of ORM evaluation?
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Evolution evaluation and program evaluation
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Evolution evaluation
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eval of a unit, staff, or group’s application of the ORM principles and processes during execution of a complex evolution
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Program evaluation
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ORM integration into the command’s policies and training and the compliance with ORM directives (can be used as an internal self-assessment or by activities external to evaluated command)
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What form is used for an evolution evaluation?
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OPNAV 3502/1 or OPNAV 3502/2 Tailorable Evolution ORM Assessment Sheet
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What form do all Navy Commands use for an ORM program evaluation?
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OPNAV 3502/3 ORM Program Assessment sheet (at least annually)
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” I AM IS”
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mnemonic for 5 step ORM process ( “identify” hazards, “assess” hazards, “Make” risk decisions, “implement” controls, “supervise”)

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