Appendix D
Environmentally Related Risk Assessment
CRM is the process of identifying and controlling hazards to conserve combat power and resources. Risk decisions should be based on awareness rather than mechanical habit. Leaders should act with a keen appreciation for the essential factors making each situation unique, rather than reacting with a conditioned response. Commanders consider U.S. government civilians and contract support personnel in the CRM process. Regardless of enemy actions, hazards may exist in areas with no direct enemy contact and in areas outside enemy influence.
OVERVIEW
D-1. Risk decisions are the commander's responsibility. Such decisions are normally based on the next higher commander's guidance in determining an acceptable level of risk for the mission. Except in extreme circumstances, risk decisions should be made at the lowest possible level.
D-2. Both leaders and staff manage risk. Staff members continually look for hazards associated with their areas of expertise; then they recommend controls to reduce risks. Hazards and their resulting risks may vary as circumstances change and as experience is gained. Leaders and individual military personnel serve as assessors for ever-changing hazards, such as those associated with the environment (weather; visibility; and contaminated air, water, and soil), equipment readiness, individual and unit experience, and fatigue. Leaders should advise the chain of command on risk and risk reduction measures.
COMPOSITE RISK MANAGEMENT PROCESS AND ENVIRONMENTAL CONSIDERATIONS
D-3. The CRM process is the process of identifying, assessing, and controlling environmental risk arising from operational factors and making decisions that balance that environmental risk with mission benefits. This description integrates CRM into the MDMP. FM 5-19 outlines the multi-Service CRM process and provides the framework for integrated CRM as a routine part of planning, preparing, and executing operational missions and everyday tasks. Assessing environmentally related risks is part of the total CRM process. These steps identify specific environmental considerations that a commander and his staff must follow:
• Step 1. Identify (environmental) hazards.
• Step 2. Assess (environmental) hazards.
• Step 3. Develop controls and make decisions.
• Step 4. Implement controls.
• Step 5. Supervise and evaluate.
D-4. Knowledge of environmental factors is key to planning and decisionmaking. With this knowledge, leaders quantify risks, detect problem areas, reduce the risk of injury or death, reduce property damage, and ensure compliance with environmental laws and regulations. Leaders should conduct risk assessments using DA Form 7566 (Composite Risk Management Worksheet) before initiating any training, operations, or logistical activities.
D-5. Figure D-1, page D-2, shows a completed sample of DA Form 7566. Items 1 through 4c contain general information. Item 5 lists the tasks associated with the mission or task. Steps 1 through 5 in the following paragraphs explain how to fill in items 6 through 12.
Figure 0·1. Sample completed risk management worksheet
STEP 1. IDENTIFY ENVIRONMENTAL HAZARDS
D-6. Leaders identify environmental hazards during the mission analysis (see figure D-l, item 6). Environmental hazards include all activities that may pollute, create negative noise-related effects, degrade archaeological/cultural resources, or negatively affect habitats of threatened or endangered species. Geospatial engineering can help the staff visualize and assess those hazards associated with the physical environment. Table D-l lists common environmental hazards identified by environmental media areas.
Table 0·1. Common environmental hazards
Element
Air
Hazard
• Equipment exhaust
• Convoy dust
• Range fires
• Open-air burning
• Pyrotechnics/smoke pots/smoke grenades
• Parts-washer emissions
• Paint emissions
• Air-conditioner/refrigeration CFCs
• HM/HW release
Archaeological/Cultural
• Sensitive area maneuver
• Sensitive areas digging
• Artifact disturbance or removal
• Demolition/munitions effects
• HM/HW spills
• Sonic booms/prop wash
Noise
Hazard
• Low-flying aircraft (helicopters)
• Demolition/munitions effects
• Nighttime operations
• Operations near post/camp boundaries and civilian populace
• Vehicle convoys/maneuvers
• Large-scale exercises
Threatened/ Endangered Species
Hazard
• Sensitive area maneuver
• Demolition/munitions effects, especially during breeding seasons
• Individual species disturbance or habitat
• HM/HW spills or releases
• Poor field sanitation
• Improper cutting of vegetation
• Coral reef damage
Soil (Terrain)
Hazard
• Maneuver area overuse
• Demolition/munitions effects
• Range fires
• Poor field sanitation
• Poor maneuver damage control
• Erosion
• Troop construction effects
• Refueling operations
• HM/HW spills
• Ecologically sensitive areas (such as wetlands and tundra) maneuver
Table 0·1. Common environmental hazards (continued)
Element
Water
Hazard
• Refueling operations near water sources
• HM/HW spills
• Erosion and unchecked drainage
• Amphibious/water-crossing operations
• Troop construction effects
• Poor field sanitation
• Vehicle washing at unapproved sites
STEP 2. ASSESS ENVIRONMENTAL HAZARDS
D-7. Risk assessment is a three-stage process used to determine the risk of potential harm to the environment. Leaders consider two factors-probability and severity. Probability is the frequency with which an environmental hazard is likely to occur. Severity is the effect a hazard will have on the environment. Probability and severity are estimates requiring individual judgment and a working knowledge of the CRM process and its terminology. Table D-2 defines the five degrees of probability for a hazard; and table D-3 defines the four degrees of severity.
Table 0·2. Hazard probability chart
(A) Frequent: Occurs very often, continuously experienced
Single item
Occurs very often in service life; expected to occur several times over the duration of a specific mission or operation; always occurs
Fleet or inventory of items
Occurs continuously during a specific mission or operation or over a service life
Individual Soldier or Marine
Occurs very often in career; expected to occur several times during mission or operation; always occurs
All Soldiers and Marines exposed
Occurs continuously during a specific mission or operation
(8) Likely: Occurs several times
Single item
Occurs several times in service life; expected to occur during a specific mission or operation
Fleet or inventory of items
Occurs at a high rate, but experienced intermittently (regular intervals, generally often)
Individual Soldier or Marine
Occurs several times in career; expected to occur during a specific mission or operation
All Soldiers and Marines exposed
Occurs at a high rate, but experienced intermittently
(C) Occasional: Occurs sporadically
Single item
Occurs sometime in service life; may occur with equal frequency during a specific mission or operation
Fleet or inventory of items
Occurs several times in service life
Individual Soldier or Marine
Occurs sometime in career; may occur during a specific mission or operation, but not often
All Soldiers and Marines exposed
Occurs sporadically (irregularly, sparsely, or sometimes)
Table 0·2. Hazard probability chart (continued)
(D) Seldom: Remotely possible; could occur at some time
Single item
Occurs in service life, but only remotely possible; not expected to occur during a specific mission or operation
Fleet or inventory of items
Occurs as isolated incidents; possible to occur sometime in service life but rarely; usually does not occur
Individual Soldier or Marine
Occurs as isolated incident during a career; remotely possible but not expected to occur during a specific mission or operation
All Soldiers and Marines exposed
Occurs rarely within exposed population as isolated incidents
(E) Unlikely: Can assume will not occur, but not impossible
Single item
Occurrence not impossible; but may assume will almost never occur in service life; may assume will not occur during a specific mission or operation
Fleet or inventory of items
Occurs very rarely (almost never or is improbable); incidents may occur over service life
Individual Soldier or Marine
Occurrence not impossible, but may assume will not occur in career or during a specific mission or operation
All Soldiers and Marines exposed
Occurs very rarely, but not impossible
Table 0·3. Hazard severity chart
Type
Description
Catastrophic (I)
• Loss of ability to accomplish the mission or mission failure
• Death or permanent total disability (accident risk)
• Loss of major or mission-critical system or equipment
• Major property (facility) damage; severe environmental damage
• Mission-critical security failure
• Unacceptable collateral damage
Critical (II)
• Significantly (severely) degraded mission capability or unit readiness
• Permanent partial disability
• Temporary total disability exceeding 3 months (accident risk)
• Extensive (major) damage to equipment or systems
• Significant damage to property or the environment
• Security failure
• Significant collateral damage
Marginal (III)
• Degraded mission capability or unit readiness
• Minor damage to equipment or systems, property, or the environment
• Lost day due to injury or illness, not exceeding 3 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
Stage 1
D-8. A leader assesses the probability of each hazard. For each hazard (item 6 of DA Form 7566)
identified, he would determine-
• A vehicle accident or breakdown causing a fuel/HM spill would seldom happen. This assessment is based on experience and the information provided in table D-2, page D-4.
• Spills during refueling stops may occasionally be expected. This is based on his judgment and the information provided in table D-2.
• Maneuver damage from off-road movement could happen frequently. This is based on his working knowledge and the information provided in table D-2.
Stage 2
D-9. A leader assesses the severity of each hazard identified. Definitions for the degree of severity are not absolutes; they are more conditional and are related to mission variables. A leader must use his experience, judgment, lessons learned, and SMEs to help determine the degrees of severity.
D-lO. A leader uses the determinations from Stage l with the severity caused by an occurrence in Stage 2 to determine the overall risk of each hazard. From the information in figure D-l, page D-2, a leader would determine-
• A vehicle accident or breakdown causing a fuel/HM spill could be significant and cause major damage to the environment. The severity would be critical. This is based on experience and the information provided in table D-3, page D-5.
• Spills during refueling stops could cause minor damage to the environment. The severity would be marginal. This is based on his judgment and the information provided in table D-3.
• Maneuver damage from off-road movement would cause little or no environmental damage. The severity would be negligible. This is based on his working knowledge and the information provided in table D-3.
Stage 3
D-ll. First, a leader determines the risk level of each hazard. Next, using the defined degrees of probability and severity and the risk assessment matrix (see table D-4), the overall environmentally related risk level is determined.
Risk Categories
Extremely High (E)
Mission failure if hazardous incidents occur during mission; a frequent or likely probability of catastrophic loss (IA or IB) or frequent probability of critical loss (IIA) occurs.
High (H)
Significantly degraded mission capabilities in terms of required mission standard, failing to accomplish all aspects of the mission, or not completing the mission to standard (if hazards occur during mission); occasional to seldom probability of catastrophic loss (IC or ID); a likely to occasional probability of a critical loss occurring (IIB or IIC) with materials, frequent probability of marginal (IIIA) losses.
Moderate (M)
Expected degraded mission capabilities in terms of required mission standard; reduced mission capability (if hazards occur during mission); unlikely probability of catastrophic loss (IE). The probability of a critical loss occurring is seldom (IID). Marginal losses occur with a probability of no more often than likely (IIIB or IIIC). Negligible (IVA) losses are a frequent probability.
Low (L)
Expected losses have little or no impact on accomplishing the mission. The probability of critical loss is unlikely (IIE), while that of marginal loss is no more often than seldom (IIID through IIIE).
D-12. For the hazards identified in table D-1, page D-3, a leader would determine-
• Vehicle accidents and breakdowns causing fuel/HM spills would seldom happen; but if they did, the severity could be critical. Based on this information and table D-4 (severity row, critical; probability column, seldom), he determines the overall assessment to be moderate.
• Spills during refueling stops will happen occasionally; when they do, the severity will be marginal. Based on this information and table D-4 (severity row, marginal; probability column, occasional), he determines the overall assessment to be moderate.
• Maneuver damage from vehicle off-road movement will happen frequently. The damage caused by this movement would be negligible. Based on this information and table D-4 (severity row, negligible; probability column, frequent), he determines the overall assessment to be moderate.
D-13. These determinations are then entered on the assessments in item 7 of DA Form 7566.
STEP 3. DEVELOP ENVIRONMENTAL CONTROLS AND MAKE DECISIONS
D-14. Controls eliminate or reduce the probability or severity of each hazard, thereby lowering the overall risk. Controls may consist of one of the categories listed in table D-5, page D-8, which also lists examples.
Table 0·5. Environmentally related controls
Control Type
Environmentally Related Examples
Educational
• Conducting unit environmental awareness training
• Conducting an environmental briefing before deployment
• Performing tasks to environmental standards
• Reviewing environmental considerations in AARs
• Reading unit environmental SOPs and policies
• Conducting spill prevention training
• Publishing an environmental annex/appendix to the OPORD/OPLAN
Physical
• Providing spill prevention equipment
• Establishing a field trash collection point and procedures
• Establishing a field satellite accumulation point and procedures
• Policing field locations
• Practicing good field sanitation
• Filling in fighting positions
• Posting signs and warnings for off-limits areas
Avoidance
• Maneuvering around historical/cultural sites
• Establishing refueling and maintenance areas away from wetlands and drainage areas
• Crossing streams at approved sites
• Preventing pollution
• Limiting noise in habitats of endangered and threatened species
• Avoiding refueling over water sources
• Curtailing live vegetation use for camouflage
D-15. Many environmental risk controls are simply extensions of good management, housekeeping, operations security, and leadership practices. Risk reduction controls may include rehearsals, change of venue, establishment of procedures, and increased supervision. Using the information from table D-5, a leader completes item 8 on DA Form 7566.
D-16. Once all practicable risk control measures are in place, some risk will always remain. Based on the controls that he develops, a leader reassesses the hazards using the procedures from step 2. Once he determines the residual risk for each hazard, he completes item 9 on DA Form 7566. Based on the highest residual risk determination in item 9, this becomes the overall mission/task risk and is checked in block 13. The residual risk requires the commander's attention, and he will decide whether or not to accept the risk. The commander may direct his subordinates to consider additional controls or a change in the COA.
STEP 4. IMPLEMENT ENVIRONMENTAL CONTROLS
D-17. Implementing controls requires informing all subordinates of the risk control measures. To do this, a leader defines the controls by completing item 10 of DA Form 7566. He should state the way in which each control will be implemented and assign responsibility for the implementation by completing item 11 on DA Form 7566. For example, if the control measures are for a fuel spill hazard, a leader ensures that operators are properly trained to dispense fuel and that appropriate spill equipment is available. Then he must ensure that these controls are in place before an operation.
D-18. A leader must anticipate environmental requirements and incorporate them as part of his long-, short-, and near-term planning. The key to success is identifying the who, what, where, when, and how aspects of each control. This information should be entered on DA Form 7566.
STEP 5. SUPERVISE AND EVALUATE
D-19. Leaders continuously monitor controls throughout an operation to ensure their effectiveness and to modify them as required. To this end, leaders-
• Make on-the-spot corrections and evaluate individual and collective performances.
• Hold those in charge accountable.
• Require performance of all tasks to applicable environmental standards.
• Ensure that the AAR process includes an evaluation of environmentally related hazards, controls, Soldier and Marine performance, and leader supervision.
• Ensure that environmental lessons learned are developed for use in future operations.
D-20. Each control identified and implemented must be evaluated (item 12 on DA Form 7566) to determine if the control was adequate for the associated risk. This evaluation should include feedback provided to the Soldiers and Marines associated with the risk.
SUMMARY
D-21. The ability of a leader to identify hazards is key. A reality in today's missions is that the aspect of a hazard can change rapidly. Items of little initial risk can quickly become major threats due to unforeseen natural or man-made events. Leaders must be aware of this possibility. Complacency concerning existing controls in rapidly changing situations should be viewed as a hazard itself.
D-22. Completing the risk assessment alone, while failing to identify effective controls, usually results in a go or no-go decision based on the initial risk. If risk assessment does not accurately identify hazards and determine the level of residual risk, a leader is likely to make a risk decision based on incomplete or inaccurate information. If the risk assessment places missions in a routine, low-risk category, the commander may not be informed of a risk decision, resulting in a risk level that could imperil his higher commander's intent and other organizations. The CRM process is intended to provide reasonable controls to support mission accomplishment.