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STATE OF FLORIDA DEPARTMENT OF MILITARY AFFAIRS

Office of the Adjutant General St. Francis Barracks, P.O. Box 1008 St. Augustine, Florida 32085-1008

SAO-S 12 October 1998 DEPARTMENT OF MILITARY AFFAIRS FLORIDA ARMY NATIONAL GUARD PAMPHLET 385-10-1 12 October 1998 SAFETY – Risk Management Supercession: This pamphlet supersedes Florida Army National Guard Pamphlet 385-10-1 dated 1 October 1996. Applicability: This regulation applies to all units and members of the Florida Army National Guard. Suggested Improvements: The proponent of this pamphlet is the Florida Army National Guard, State Safety Office. Users are invited to send comments and suggested improvements on Department of the Army DA Form 2028, Recommend Changes to Publications, directly to The Adjutant General, Attention: State Safety Office, St. Francis Barracks, Post Office Box 1008, St. Augustine, Florida 32085-1008.

TABLE OF CONTENTS Title Paragraph Page Table of Contents i CHAPTER 1 GENERAL Purpose 1-1 1 Policy 1-2 1 Responsibilities 1-3 1

FLARNG PAMPHLET 385-10-1 12 October 1998

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Title Paragraph Page CHAPTER 2 RISK MANAGEMENT PROCESS Risk Management Versus Risk Assessment 2-1 5 Risk Management 2-2 5 Risk Assessment 2-3 10 Risk Management Levels 2-4 11 Approving Risk 2-5 12 Specific Command Actions 2-6 13 After Action Report Requirements 2-7 13 APPENDIX A REFERENCES A-1 APPENDIX B RISK ASSESSMENT MATRIX B-1 APPENDIX C RISK MANAGEMENT WORKSHEET C-1 APPENDIX D HASTY RISK MANAGEMENT CARD D-1 APPENDIX E RISK MANAGEMENT PROCESS – A TYPICAL PROCESS FLOW E-1 APPENDIX F EXAMPLE OF MISSION, ENEMY, TROOPS, TERRAIN AND TIME BASED HAZARDS F-1 APPENDIX G ADDITIONAL TOOLS FOR DEVELOPING CONTROLS G-1 APPENDIX H EXAMPLE OF RISK MANAGEMENT INTEGRATION IN MISSION TRAINING PLAN H-1 APPENDIX I EXAMPLE OF OPERATIONAL PLAN/OPERATIONAL ORDER I-1


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Title Paragraph Page APPENDIX J ABBREVIATIONS AND ACRONYMS J-1


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CHAPTER 1 GENERAL 1-1. Purpose.

Risk management is smart operational decision making. It focuses on mission accomplishment while minimizing the potential effects of hazards that could cause a loss of life and/or equipment and impair mission accomplishment. Leaders at all levels must integrate a safety awareness that facilitates realistic and safe operations and training. This regulation provides leaders guidance on integrating the risk management approach into unit activities and establishes risk assessment requirements for Florida Army National Guard (FLARNG) units. 1-2. Policy.

The nature of our missions require our soldiers to routinely participate in training events which, by their very nature, are inherently risky. Convoy moves, weapons qualification and familiarization, night exercises, helicopter operations, refueling operations and other activities which our soldiers perform on a daily and monthly basis each contain elements of risk which tend to be compounded by variables such as weather, terrain, and visibility. Historical data tells us the risks our soldiers encounter during the conduct of activities tend to be cumulative in nature. The risk associated with the separate and discrete phases of a particular operation may appear to be low, however, when viewed in its entirety, the cumulative risk level may be very high indeed. For this reason, commanders and leaders at all levels must understand the basic principles of risk management; conduct risk assessments for all training activities; and empower every soldier with the authority to call a halt to any training activity exceeding the planned risk. 1-3. Responsibilities. a. The FLARNG State Safety Manager serves as the principal safety advisor to The Adjutant General (TAG) and his staff by ensuring the following actions are accomplished:

(1) Publish TAG’s Safety Philosophy; (2) Provide for a continuous and comprehensive accident prevention effort compatible with the mission; (3) Review accidents and trends and provide an analysis to staffs and organizations; and


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(4) Conduct safety surveys to review operating and training procedures and unit implemented risk controls. Recommend actions necessary to eliminate inherent or accident producing hazards. b. Commanders at all levels are responsible for the actions indicated below: (1) Privately Owned Vehicle (POV) Specific Responsibilities. Unfortunately, in the FLARNG training is not our only risk, POV travel is our #1 loss of life. Commanders will, at a minimum, complete an individual risk assessment on each soldier before authorizing that soldier to go by POV to Annual Training (AT). Commanders are encouraged to complete risk assessments on all soldiers with POVs and to request certified defensive driving course instruction through command channels from the State Safety Office; (2) Publish Commanders Safety Philosophy in policy memorandum format, to include Risk Level Acceptance; (3) Incorporate and enforce risk management in all training activities; (4) Ensure all activities are performed according to published standards, policies, and regulations; (5) Incorporate the “crawl, walk, run” and “train to standard, not to time” principles into all activities based on the commander’s training and risk assessments; (6) Approve or disapprove the risk assessment factors assigned by the staff or unit personnel using the Risk Management Worksheet (Appendix C); (7) Monitor the use of the “buddy system” in all operations and training events; (8) Monitor and enforce the use of sleep plans; and (9) Ensure that all unit leaders are formally trained in risk management procedures. c. Chiefs of Staff /Executive Officers (XOs) are responsible for the actions indicated below: (1) Fully integrate Operational Risk Management into all training and operations;


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(2) Assist and advise the commander on all matters pertaining to safety; (3) Review mission risk assessment with all personnel involved in mission planning;

(4) Maintain on file signed copies of FLARNG Form 1000-R, Risk Management Worksheets, or its equivalent, for all Extremely High or High Risk operations or training for one calendar year after the event; these are inspected items as part of the Major Command Command Inspection Program; and

(5) Assist in establishing and implementing basic safety policies, plans and procedures toward a proactive Accident Prevention Plan in support of the mission. d. Platoon, Squad, and Section Leader’s and Sergeant’s responsibilities are to: (1) Establish and use the “buddy system” in all operations and training events; (2) Establish and use sleep plans. Fatigue is a physical condition that leads to unplanned injuries, fatalities, and equipment loss. Soldiers and leaders are militarily ineffective after 36-48 hours without sleep; (3) Be totally committed to mission accomplishment and the welfare of subordinates; (4) Consistently apply effective risk management methods to operations they lead; and (5) Report risk issues beyond their control or authority to superiors, and request additional resources as appropriate. e. Unit Safety Personnel are responsible for the actions indicated below: (1) Coordinate with operations, maintenance, logistics, and other sections to ensure risk management is fully integrated into operating procedures; (2) Monitor policies, develop standards, and establish procedures for risk management; (3) Advise the commander on controls to reduce the risk level calculated for assigned missions by using the information found in Appendices B through D; and


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(4) Maintain accident record files to analyze trends for accident prevention. f. Training Officers/Non-Commissioned Officers (NCOs) at each level of command are responsible for the actions indicated below: (1) Ensure FLARNG Form 1000-R is attached to the training schedule for any major training event. A major training event is an event that is not administrative in nature (i.e. Section Training/Sergeant’s time may not require a risk assessment but would still be classified as a training event); (2) Assist in reducing all risks to the lowest risk level possible with well thought out, specific risk controls; (3) Maintain all Extremely High and High Risk level FLARNG Form 1000-Rs on file for one calendar year; and (4) Ensure risk assessments are approved at the level required in Paragraph 2-5, below, and that the risk acceptance signature is obtained on the FLARNG Form 1000-R.


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CHAPTER 2 RISK MANAGEMENT PROCESS 2-1. Risk Management Versus Risk Assessment. a. Risk management is a tool that helps leaders make sound decisions in a logical manner. It enables leaders at all levels to do exactly what the term implies - manage risk. b. Risk Management is a five-step process that is easily integrated into the decision-making process using the factors of Mission, Enemy, Troops, Terrain and Time (METT-T). c. Risk assessment is only one part of risk management. It can range from simple to complex. A risk assessment causes leaders to identify hazards and threats and place them in perspective relative to the mission or task at hand. 2-2. Risk Management. a. Philosophy. Risk is managed by the same disciplined, organized, logical thought process that govern all other aspects of military endeavors. Risk management and safety are chain of command issues that shall enjoy the same priority for the commander’s attention as do training and tactical employment of the force. In fact, force protection and tactical employment of forces are inseparable. The intent of risk management is to increase operational efficiency and effectiveness by: (1) Ensuring availability of the force by minimizing exposure to unnecessary risk; (2) Executing missions with boldness and audacity through prudent risk taking; and (3) Improving operational readiness, planning, and communications. b. Guidance. One of the most basic techniques applied to training is the “crawl, walk, run” concept. Soldiers are trained on incremental portions of a task before being expected to integrate all portions of the task and perform it under full mission profile conditions. This technique is directly applicable to risk management and is the cornerstone of our methodology. The unit commander responsible for the training will determine the type and level of rehearsal required for safe execution. The commander must also consider the unit’s level of training and any identified risks. For instance, each phase of a night full mission profile training event will normally be rehearsed both


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in daylight and at night prior to the integration of the parts into the whole. However, the commander’s assessment of the unit’s level of training and other factors may indicate a particular phase need only be rehearsed at night. Similarly, the commander may conclude that portions of the training event require multiple daylight and night rehearsals prior to execution in a full mission profile scenario. Once rehearsals are completed the commander reviews the risk assessment to determine if all risks and hazards were identified and takes action to correct deficiencies. c. Commander’s Values. Soldiers have an uncanny sense for determining the values of their leaders. If a commander is truly concerned about soldiers, they will sense it. They also know if that commander is concerned only about career progression, covering tracks, or putting on a good show. When the commander says that safety is a top priority, but becomes more concerned about “crossing that release point on time, no matter what” soldiers see the behavior and ignore the words. When soldiers see a conflict between “stated” and “actual” behavior, they will conclude from the “actual” behavior what is really important! d. Principles of Risk Management. Three principles guide the risk management process: (1) Accept No Unnecessary Risks. The leader who has the authority to accept a risk has the responsibility to protect soldiers from unnecessary risks. An unnecessary risk is one that, if eliminated, still allows mission accomplishment. (2) Make Risk Decisions at the Appropriate Level. The level of risk will be approved by the appropriate commander (see Paragraph 2-5, below). (3) Accept Risks if Benefits Outweigh the Cost. Leaders must take necessary risks to accomplish the mission. Leaders must understand that risk-taking requires a decision-making process that balances mission benefits with cost. e. Process. The five steps of the risk management process, identify hazards, assess hazards, make decisions and develop controls, implement controls, and supervise and evaluate, that commanders and staff must complete are illustrated below:


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Figure 2-1 (1) Identify Risks/Hazards. During mission analysis, identify specific hazards associated with all specified and implied tasks using the METT-T process. Using METT-T2 factors helps identify risks and is vital to the second risk management step, “Assess Hazards”. For example: A river crossing is anticipated while conducting a foot patrol. Some environmental factors that define the hazards are water depth, current speed, water and air temperature, floating debris, obstacles under water, and changes in weather. Some human factors are the soldiers swimming ability, experience, and fatigue. Checklists of hazards specific to the task being performed developed by the unit that routinely conducts that training or operation are helpful for quickly identifying the bulk of mission hazards. (2) Assess Risks/Evaluate Hazards. METT-T provides an excellent guideline of factors to consider in risk assessment. Consider the following elements: 1) Mission complexity and difficulty; 2) The Enemy equates to specific hazards identified; 3) Troops, supervision, experience, training, morale, endurance, and equipment; 4) Terrain, all aspects of the physical environment, including weather and visibility; and

The Five Step Risk Management Process

Superviseand

Evaluate

Make Decisionsand

Develop ControlsAssessHazards

ImplementControls

IdentifyHazards


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Time available for planning, preparation, and execution. Based on the above analysis, use the Risk Assessment Matrix in Paragraph 2-3, below, (or Appendix B for more detail) to develop an estimate of injury, equipment loss, property damage, and the likelihood of a hazard occurring. (3) Make Decisions and Develop Controls. Make risk acceptance decisions by balancing risk benefits against risk assessments, and eliminate unnecessary risks. Reduce the magnitude of mission-essential risks through the application of controls. Be sure controls do not jeopardize mission accomplishment. Involve the chain of command if necessary risk controls will hamper assigned mission requirements. Think about the basic standards of the task, this thought process will help develop controls. (4) Implement Controls. Integrate specific controls into plans, orders, Standard Operating Procedures (SOPs), training performance standards, and rehearsals. Knowledge of controls down to the individual soldier is essential. In the river-crossing scenario, the leader would brief subordinates on specific safety requirements. Then each subordinate would brief back the requirements to ensure that everyone understands. Drivers operating both military equipment and POVs require mandatory sleep time prior to movement, the “buddy system” makes one soldier responsible for another. (5) Supervise and Evaluate. Enforce controls and standards. Evaluate mission progress and changes to METT-T, then begin appropriate corrective actions. After mission completion, evaluate risk decisions and controls for inclusion in lessons learned. f. Integration techniques. Two techniques are critical to maintaining unit battle focus, Hasty Risk Management at the company level and below, and Deliberate/In-Depth Risk Management at the battalion level and higher. (1) Hasty Risk Management. Focus on individuals through Company-level command thought processes to recognize hazards and take action to reduce risks. Use Field Manual (FM) 22-100, Military Leadership, for problem solving, decision making and planning processes. Identify the problem (hazard), gather information, develop courses of action, analyze and compare actions, make a decision, develop a plan, and implement the plan. Memory aids such as METT-T and checklists help promote consistency. (2) Deliberate/In-Depth Risk Management. Command echelons at the battalion and higher use deliberate and in-depth risk management and the decision-making process to integrate safety and risk assessment into planning and operations. The commander directs the staff to identify necessary risks and risk controls as


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“considerations affecting the possible Courses of Action (COAs).” Staff officers use the Risk Management Worksheet, (Appendix C), and memory aids such as METT-T to promote consistency. The commander’s risk acceptance level will be specifically stated in the friendly forces paragraph of military orders. The final commander’s estimate and concept of the operation will address the remaining risk, hazard elimination, and controls. These decisions will be integrated directly into ____________________ (OPLANs), _______________________ (OPORDs), _______________________ (FRAGOs), _____________________ (MOIs), SOPs, etc. Specific hazards should be identified in the appropriate paragraphs and annexes of military orders. Controls will be integrated into the execution paragraph in the coordinating instructions or as tasks to subordinate units. Commanders will disseminate risk decisions and controls down to the individual soldier level. g. Key definitions in risk management. (1) Risk Management - The process of identifying and controlling hazards to protect the force. (2) Hazard - Any real or potential condition that can cause injury, illness, or death of a soldier, or loss or damage to equipment and property. (3) Risk - Chance of a hazard or bad consequence, such as exposure to injury or loss, which could affect the mission. Risk level is expressed in terms of hazard probability and severity. (4) Exposure - The frequency and length of time subjected to a hazard. (5) Severity - The expected consequence of an event, in terms of degree of injury, property damage, or other mission impairing factors (loss of combat power, adverse publicity, etc.) that could occur. (6) Probability - The likelihood that an event will occur. (7) Controls - Actions taken to eliminate hazards, counteract danger, threats or hazards and reduce their risks to the mission and the force. (8) Risk Decision - The decision to accept or not accept the risks associated with an action made by the individual responsible for performing that action. (9) Risk Assessment - The first two steps of the Risk Management Process.


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(10) Gambling - the process of making risk decisions without using the risk management process. 2-3. Risk Assessment. a. General. The unit commander will perform a risk assessment for all operations and training to prevent the unnecessary loss of soldiers or equipment. The risk assessment procedure is a problem-solving method which identifies areas that present the highest risk to force protection. The commander will conduct risk assessments following the detection of hazards with the objective of determining the potential impact of a hazard on the mission. There are two major considerations.

(1) If the hazard does cause a loss, how severe is that loss likely to be? (2) How likely is the hazard to occur?

The commander can then make rational decisions about how to deal with that hazard.

b. Determining the level of risk:

(1) The immediate unit commander and staff will conduct an informal risk assessment for any training event by first developing a preliminary hazard analysis. Specifically, the pre-hazard analysis systematically considers the hazards of all phases of the training event. Hazards are the raw materials from which “risks” are determined. The analysis is conducted by the staff identifying, reviewing, and assessing the list of hazards involving any significant risk. By assessing hazards, the staff will: (a) Determine the potential magnitude of risk caused by the hazard; (b) Determine where and when control measures are appropriate to protect the force; (c) Determine how to implement controls; and (d) Supervise the implementation of controls. (2) The commander and staff will conduct the risk assessment process by determining the potential severity of a hazard and the probability that it will occur by using the simple matrix at Figure 2-2, below, or the expanded matrix at Appendix B. Risk levels of Extremely High, High, Medium, or Low are then assigned to every identified hazard prior to identifying and implementing controls. Controls must target the


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worst hazards first and will be developed to give the commander the maximum number of options.

RISK ASSESSMENT MATRIXUse to Evaluate Each Hazard Individually (Does Not Give Consolidated Risk)

PROBABILITY AN INCIDENT WILL OCCUR(Read right and up) Frequent Likely Occasional Seldom Unlikely

A B C D E

S ECatastrophic I EXTREMELY HIGH MEDIUM

EVE

OF

FFE

Critical IIHIGH

MEDIUM

RIT

CTS

Moderate III HIGH MEDIUM

YNegligible IV MEDIUM

LOW

Figure 2-2

(3) Following the risk assessment, the commander and staff will develop and implement control options for each hazard which will reduce or eliminate risks. The risk control options selected should have the maximum focus on mission accomplishment, cost effectiveness, and the least possible adverse impact on realism. After all appropriate controls have been implemented to reduce or eliminate risks, the remaining risk will be determined using the risk assessment matrix at Appendix B. An overall risk level will be assigned to the particular training event based on the most serious remaining risk. 2-4. Risk Management Levels.

There are three levels of Risk Management in the FLARNG all controlled by the time available prior to the event. a. Hasty Risk Management. Normally used for any unplanned, unforeseen, imminent crisis or training event. Use the Risk Assessment Matrix (Appendix B) and the Hasty Risk Management Card (Appendix D). The METT-T concept is also used in Hasty Risk Management as a memory aide (Appendix F). Identify the hazards, assess the hazards, and develop controls. The approval of the controls is with the senior individual responsible for the mission. The Hasty Risk Management Card can also be


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used to provide input from the soldier/squad/platoon level to the commander as a thought process for the Risk Management Worksheet (Appendix C). b. Deliberate Risk Management - When additional time is available, more deliberate planning and execution of military training, operations, deployment, sustainment, and redeployment can be done using the Risk Assessment Matrix (Appendix B) and the Risk Management Worksheet (Appendix C) to include all Mission Essential Task List (METL) tasks. c. In-Depth Risk Management - When ample time is available, professionals, (such as safety officers, instructor pilots, technical inspectors, master gunners, maintenance officers, and other subject matter experts), the Risk Assessment Matrix (Appendix B), the Risk Management Worksheet (Appendix C), and additional tools as required (Appendix G) will be used to conduct a full operational hazard analysis. Working group application of more detailed qualitative and quantitative techniques, especially in the hazard identification, hazard assessment, and risk control options phases may include testing, scale models, simulations, and rehearsals to ensure hazards are identified and controlled. 2-5. Approving Risk. a. The risk for an operation or mission will be the remaining risk after controls are developed for the initial risk. b. If the Initial Risk Level is Extremely High or High the approval authority for that level of risk will be briefed on the Initial Risk Level, any additional resources that are needed, and the specific controls developed to lower the risk to a lower Remaining Risk Level. c. The greater the risk the more senior the final decision maker will be. Each commander at the brigade and troop command level or higher will have a written policy of risk approval designating who may accept levels of risk. d. A recommended risk acceptance level policy is: (1) Any General Officer, or State Aviation Officer (flight operations only) will accept the risk for all Extremely High Risk missions. Additionally, the commanders of separate companies, troops, or detachments will appeal High Risk and Extremely High Risk missions directly to this level for risk acceptance. (2) Battalion commanders will accept the risk for all High Risk missions.


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(3) Company, troop, or battery commanders will accept the risk for Medium and Low Risk missions. (4) Company, troop, or battery commanders may delegate risk acceptance responsibility for Low Risk missions to platoon leaders. 2-6. Specific Command Actions.

When in the High or Extremely High Risk zone, everyone from the commander to the individual soldier will be the briefed on the risk level and the specific controls and countermeasures for identified hazards. All risk variations that can be controlled, will be controlled. By-the-book disciplined operations are mandatory. 2-7. After Action Report Requirements.

As part of the fifth step of the Risk Management Process, Supervise and Evaluate, units will develop appropriate procedures for evaluating the effectiveness of risk controls used during operations and training by completing an After Action Report (AAR). FOR THE ADJUTANT GENERAL:

RONALD O. HARRISON Major General, Line, FLARNG The Adjutant General

OFFICIAL: JOHN C. HOLLAND COL, AV, FLARNG State Aviation Officer DISTRIBUTION: AB


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LEFT BLANK INTENTIONALLY


APPENDIX A REFERENCES 1. AR 385-10, The Army Safety Program. 2. FM 22-100, Military Leadership. 3. FM 25-100, Training The Force. 4. FM 25-101, Battle Focused Training. 5. FM 100-5, Operations. 6. FM 100-14, Risk Management.

7. FM 101-5, Command and Control for Commanders and Staff. 8. US Army Safety Center, Risk Management for Brigades and Battalions. 9. US Army Safety Center, Leaders Guide to Force Protection and Risk Management.

A-1

RISK ASSESSMENT MATRIXUse To Evaluate Each Hazard Individually (Does Not Give Consolidated Risk)

PROBABILITY AN INCIDENT WILL OCCUR

(Read right and up)FREQUENTOccurs often,Continuously

experienced by units,individuals, or in thelife of the equipment

LIKELYOccurs several times,

Repeatedly experienced byunits, individuals,or in the life of the

equipment

OCCASIONALOccurs sometimes,

Sometimes experienced byunits, individuals, or in

the life of the equipment

SELDOMOccurrence is remotePossibly experiencedby units, individuals,

or in the life of theequipment

CATASTROPHICDeath or permanenttotal disability, totalequipment loss, or

major property damage

EXTREMELY HIGH RISKComplete loss of ability to accomplish the mission if

unmodified risks occur during execution

SEVERITY

OF

EFFECTS

CRITICALPermanent partial

disability, TemporaryTotal Disability in

excess of 3 months,major equipment

damage, or significantproperty damage

HIGH RISKWill not accomplish all

parts of the mission, or themission will not be

accomplished to standardif unmodified risks occur

during executionMODERATE RISK

MARGINALMinor injury, lostworkday accident,

Compensable injury orillness, minor

equipment damage, orminor property damage

HIGH RISKMODERATE RISK

Will have reduced mission capability if unmodifiedrisks occur during execution

NEGLIGIBLEFirst aid or minor

medical treatment,minor impairment toequipment or system

MODERATE RISK

APPENDIX C RISK MANAGEMENT WORKSHEET

1. Organization and Unit Location: 2. Page

3. Mission/Task:

4. DTG Begin: 5. DTG End:

7. Operational Phase in which the Mission/Task will be conducted: 8. Prepared by: (Name/Rank/Duty Position) 9. Identified Hazards: 10.

Assess the Hazards: Initial Risk Level:

11. Develop Control Options for Identified Hazards: (Specific measures taken to reduce the probability and severity of a hazard)

12. Make Decisions: Remaining Risk Level:

13. Implement Controls:(Include SOPs and References, PCI, etc.)

(Be Specific) L M H E (Be Specific) L M H E (Be Specific)

15. Remaining Risk Level After Countermeasures Are Implemented: (CIRCLE HIGHEST REMAINING RISK LEVEL)è

LOW MEDIUM HIGH


16. RISK DECISION AUTHORITY: (Signature Block Indicates that the Initial Risk Level was High or Extremely High and that this Situation was Briefed to the Risk Decision Authority at that level on Controls used to Reduce Risks, Any Situations beyond the Unit’s Control or Authority were Identified, and any Additional Resources Needed to Accomplish the Mission were Requested.)

FLARNG FORM 1000-R, 21 SEPTEMBER 1998


3. Mission/Task:

2. Page

7. Operational Phase in which the Mission/Task will be conducted:

4. DTG Begin: 5. DTG End:

9. Identified Hazards: 10. Assess the Hazards: Initial Risk Level

11. Develop Control Options for Identified Hazards: (Specific measures taken to reduce the probability and severity of a hazard)

12. Make Decisions: Remaining Risk Level:

13. Implement Controls:(Include SOPs and References, PCI, etc.)



FLARNG FORM 1000-R, 21 SEPTERBER 1998 (Continuation Page)

APPENDIX B RISK MANAGEMENT WORKSHEET EXAMPLE

1. Organization and Unit Location: 1st Platoon, Company A, 1st Bn, 445th Infantry, Lakeland, FL 74965

2. Page

3. Mission/Task: Live Fire MOUT in Multi-Story Structure (Day and Night)

4. DTG Begin: 210900LJUL99

5. DTG End: 220300LJUL99

7. Operational Phase in which the Mission/Task will be conducted: Phase II, Operation Barn Burner (Annual Training 1999, Camp Blanding, FL) 8. Prepared by: (Name/Rank/Duty Position) MSG Hugh A. Killer, Battalion Operations NCO 9. Identified Hazards: 10. Initial

Risk Level:

11. Control Options and Countermeasures for Identified Hazards: (Specific measures taken to reduce the probability and severity of a hazard)

12. Remaining Risk Level:

13. How to Implement:(Include SOPs and eferences, PCI, etc.)


Premature Detonation while priming explosive entry charges Premature Detonation of Entry Charge Injury from fragments created by entry charge upon command detonation

X X X

X

-Pre-assault safety briefings, dry fire rehearsal and blank fire rehearsal prior to live fire. -Instructor supervision of soldier priming charge. -Firing system is non-electric and double safetied. -Breacher moves away from other soldiers when priming charges. -Firing system kept in breacher’s bag until ready to fire. -Double safeties on firing system. -Instructors present during approach and emplacement of charges. -Soldiers all wear kevlar, flak vest, protective eyewear, hearing protection on range. -Soldiers are placed out of line-of-sight of charge or in defilade position -Soldiers wear kevlar, flak vest (as above) -Instructors emplace targets to specifically avoid this occurrence.

X X

X X

Range SOP, FM 5250, AR 385 Range SOP, FM 5250, AR 385-63 Range SOP, Range SOP, AR

APPENDIX B RISK MANAGEMENT WORKSHEET EXAMPLE

Gunshot wound from another soldier on same level

-Safe weapons handling procedures emphasized and used at all times. -Soldiers must have qualified on individual weapon within 90 days (continued next page)

385-63, FM 7-8, Unit SOP, Weapons TMs,

15. Remaining Risk Level After Countermeasures Are Implemented: (CIRCLE HIGHEST REMAINING RISK LEVEL)è

Chapter 1 LOW MEDIUM HIGH

16. RISK DECISION AUTHORITY: (Approval Authority Signature Block)(If Initial Risk Level High or Extremely High, Brief Risk Decision Authority at that level on Controls and Countermeasure used to reduce risks.) LTC Douglas M. Arthur,FLARNG, Battalion Commander

FLARNG FORM 1000-R, 21 OCTOBER 1998


RISK MANAGEMENT WORKSHEET EXAMPLE Block 1 – Organization and Unit Location. Identify the organization and location of the unit that will actually be conducting or participating in the training. Location may consist of the unit’s home station, location where the training or operation will be conducted, or current location during AT. Block 2 – Page. Identify the page number and total number of pages used to risk manage this mission. Block 3 – Mission/Task. Identify the overall mission or the individual task for which the FLARNG Form 1000-R is being prepared. Example: “METL TASK - Deliberate Attack on a Fortified Position”. Block 4 – Date Time Group (DTG) Begin. Enter the DTG that the mission or task will begin. Examples: 091900LAUG98 (1900 hours Local, 9 August 1998) or 220745ZJUN02 (0745 hours Zulu, 22 June 2002) Block 5 – DTG End. Enter the DTG that the mission or task is scheduled to end. This will aid units in determining if mission conditions such as weather or light conditions will change significantly during mission execution. Block 6 – Date Prepared. Enter the date that the FLARNG Form 1000-R is actually prepared. This will assist the Risk Decision Authority in determining the validity of the risk assessments and controls. Block 7 – Operational Phase in which the Mission/Task will be Conducted. Briefly, describe the phase in which the mission or task will be conducted. This will assist the Risk Decision Authority in assessing the cumulative risk of the mission. Examples: “Phase III, Movement to Contact, Operation Nimble Dancer” or “Single Phase, M16A2 MOPP4 Familiarization Makeup”. Block 8 – Preapred By. Enter the name, rank, and duty position of the person preparing the FLARNG Form 1000-R. Information which indicates additional experience or training may also be entered. Example: “SFC Death N. Wheels, Operations NCO, Master Gunner”. Block 9 – Identified Hazards. Enter the hazards identified to be associated with the Mission or Task. Example: “Gunshot wound sustained during trench entry.” Block 10 – Initial Risk Level. Place an “X” in the appropriate column indicating the Low, Medium, High, or Extremely High Risk associated with the identified hazard. Example:


Place an “X” in the High Risk Column for “Gunshot wound sustained during trench entry” indicating a “Catastrophic” Severity and an “Occasional” Probability (High Risk). Block 11 – Control Options and Countermeasures for Identified Hazards. Enter the specific measures taken to reduce the probability and severity of an identified hazard. Example: For “Gunshot wound sustained during trench entry” a control option would be, “Ensure all weapons in trench-clearing party are placed on safe before rolling into trench”. Block 12 – Remaining Risk Level. Use the probability and severity of an identified hazard occurring after control options and countermeasures are in place to assess the remaining risk level. Example: After implementing all control options and countermeasures for “Gunshot wound sustained during trench entry” it is determined that the severity (Catastrophic) has not changed, however the probability has decreased (Unlikely), place an “X” in the Medium Risk Column. Block 13 – How to Implement. Enter all actions that will be used to ensure that controls and countermeasures are in place; include all references and SOPs that will be used. Example: “Conduct Pre-combat checks and inspections, FM 7-8, Company TSOP, Training Manual (TM) 9-XXXX-XXXX” Block 14 – Supervision By. Explain how the task will be supervised. Example: Leader checks, continuous checks by observer/controllers.

FLARNG PAMPHLET 385-10-1 12 October 1998 APPENDIX D HASTY RISK MANAGEMENT CARD

HAZARDS/METT-T ASSESSMENTS CONTROLS

Risk Level After Controls Are Implemented: (CIRCLE ONE)è

LOW

MEDIUM

HIGH

EXTREMELY HIGH

RISK DECISION AUTHORITY (Name/Rank/Call Sign)

FLARNG PAMPHLET 385-10-1 12 October 1998 APPENDIX D HASTY RISK MANAGEMENT CARD

RISK ASSESSMENT MATRIX

PROBABILITY AN INCIDENT WILL OCCUR

(Read right and up)FREQUENTOccurs often,Continuously

experienced by units,individuals, or in thelife of the equipment

LIKELYOccurs several times,

Repeatedly experienced byunits, individuals,or in the life of the

equipment

OCCASIONALOccurs sometimes,

Sometimes experienced byunits, individuals, or inthe life of the equipment

SELDOMOccurrence is remotePossibly experiencedby units, individuals,or in the life of the

equipment

UNLIKELYImprobable, Not likelyto be experienced byunits, individuals, or

in the life of theequipment

A B C D E

CATASTROPHICDeath or permanenttotal disability, totalequipment loss, or

major propertydamage

1EXTREMELY HIGH RISK

Complete loss of ability to accomplish the mission ifunmodified risks occur during execution

MODERATE

SEVERITY

OF

EFFECTS

CRITICALPermanent partial

disability,Temporary Total

Disability in excessof 3 months, majorequipment damage,

or significantproperty damage

2

HIGH RISKWill not accomplish all

parts of the mission, or themission will not be

accomplished to standardif unmodified risks occur

during executionMODERATE

MARGINALMinor injury, lostworkday accident,

Compensable injuryor illness, minor

equipment damage,or minor property

damage

3 HIGH RISKMODERATE

Will have reduced mission capability if unmodifiedrisks occur during execution

LOW RISK

NEGLIGIBLEFirst aid or minormedical treatment,

minor impairment toequipment or

system

4 MODERATE

Little or no impact onmission completion


TIME COMMANDER STAFF 1. Issue Mission

2. Issue Guidance 1. Receive Mission 2. Gather and consider information 3. Complete Mission Analysis, restate mission, and issue planning guidance 4. Complete staff estimates • Develop/analyze/compare/

wargame COAs • Do Risk Assessment for each

COA (Using Hasty Risk Assessment Card or Risk Management Worksheet)

• Use Risk Level for each COA as a decision criterion

5. Recommend COA

1. Analyze COAs 2. Make Decision (Select COA) 3. Make Risk Decision for selected COA 4. Accept Risk Level or elevate for decision 5. Issue final orders based on accepted Risk Level or Higher Decision on Risk

1. Make Risk Decision for Selected COA 2. Develop Concept of the Operation • Identify controls for hazards • Select best controls for hazards • Incorporate into Coordinating

Instructions and tasks for subordinate units

• Integrate controls into OPORD Paragraphs and Graphics

3. Prepare, approve, and issue Plans/Orders

1. Lead the Operation 2. Monitor and enforce controls 3. Supervise execution of the orders to established standards 4. Make changes to plan as required after contact with the enemy or operation start

1. Monitor Progress 2. Collect Data on results 3. Act to correct deficiencies 4. Assess Risk impact of changes to plan in progress (Using Hasty Risk Management) 5. Collect lessons learned

Assess Results Assess Results


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APPENDIX F EXAMPLE OF MISSION, ENEMY, TROOPS, TERRAIN AND TIME BASED HAZARDS MISSION • Complexity and preparation for mission

• Familiarity with mission type • OPTEMPO (Available time for dry/blank fire rehearsals) • Day versus night mission and conditions • Communications/Coordination • Rules of Engagement (Counter-Fratricide Measures) • Hazardous material (Ammo Types, etc.) • Impact of news media on the mission • Who has control over “last-minute” changes to the mission

ENEMY • Anticipated enemy actions

• Known obstacles or hazards • Target placement • Target bypass criteria (Method of successful engagement) • Obstacles to water crossings • ________________ (OPSEC) and passive security violations

TROOPS/ EQUIPMENT

• Fatigue • Morale • Training proficiency • Number of personnel • New and unfamiliar equipment • Equipment condition (weapons, maintenance, etc.) • Equipment types (hauling troops, hazardous cargo, etc.) • Protective equipment • Quality of supervision (_____________ (O/Cs), untrained observers, etc.) • Disease or illness caused by poor field sanitation

TERRAIN/ WEATHER

• Temperature/Humidity/Wind Chill • Precipitation • Wind/Turbulence • Contaminants (chemicals, carbon monoxide, foreign objects, debris) • Ricochets from frozen ground • Wet/Slippery roads, or walking surfaces • Weather effects on terrain (impassable roads, creeks, etc.)

TIME • Time allowed for mission preparation and planning

• Time available for rehearsals • Types of rehearsals that can be completed in time available • Time for delivery of supplies, replacements, etc.

F-1


APPENDIX G ADDITIONAL TOOLS FOR DEVELOPING CONTROLS Some additional tools that commanders and staff can use to assess risks and develop controls for risk management are included below. These can be used as time allows and if appropriate. 1. Preliminary Hazard Analysis (PHA): The PHA systematically considers the hazards of all phases of the operation. Those areas that exhibit higher risk can then be targeted for more detailed review by another technique. Example: PHASE POTENTIAL HAZARDS • Deployment by wheel Vehicle accident producing injury/death/damage to training area -Improper driving technique -Inadequate maintenance -Unqualified drivers -Vehicle malfunction -Struck by other vehicle -Improper vehicle selection (5 Ton to move troops, etc.) • Dry Fire Rehearsal Trips and falls O/C falls into trench Weather related injuries • Blank Fire Rehearsal Same as for dry fire Injury from improper use of blanks • Live Fire Operations Same as for dry fire Injury from grenade effects -Intentional use/unexpected occurrence -Unintentional use/inside trench -Unintentional use/outside trench -Unintentional use/improper throw Hearing Damage Injuries from small arms effects -Intentional use/unexpected occurrence -Unintentional use/inside trench -Unintentional use/outside trench -Unintentional use/support-by-fire position • After Action Review Uncleared/unsafe weapon Weather injuries • Recovery/Redeployment Personnel retain simulators/live ammo/blanks to home station by Weapon not properly cleared wheel Vehicle accident on return trip (see deployment) Inadequate security of weapons (lost weapon) Inadequate security of ammo (lost ammo)

G-1


2. Multilinear Events Sequencing (MES) or the Synchronization Matrix: The MES technique is used to examine “busy” operations with multiple activities taking place at or near the same time. It can be done informally with yellow “sticky-notes” and a drawn timeline or more formally with a fully developed synchronization matrix. Once the basic diagram is established, the potential for harmful interactions is easy to assess. Example:

T+1 T+2 T+3 T+4 T+5 T+6 T+7 Sol-

dier 1

Pos 1 Covers 2

Moves to

Room 2

Covers 2

Sol-dier 2

Pos 1 Moves to Pos

2

Clears Room

2

Moves to Pos

3

Throws Simula-

tor

Simulator Explodes

Sol-dier 3

Pos 1 Covers 2

Covers 1

Cover 2

3. Mapping: Mapping is actually drawing a two-dimensional representation of the physical context on a geographical map or in a diagram can be used for demonstrating hazards that occur because of the physical placement of two or more objects. It is a very effective as a tool to enhance training realism and operational effectiveness. Example: Support-by-fire position Location Current Left Limit of Fire (93°) Breach Location DANGER AREA Safer Left Limit of Fire (110°)

G-2


Figure 1. Diagram of current and proposed left limits of fire on live fire range depicting wire breach location 4. Scenario Technique: The scenario technique is a basic technique that can stand alone or be used as a component part of other techniques. It involves running through the scenario mentally twice. First, as it is planned to occur, then, as it might occur if something went wrong. It is especially valuable as a Hasty Risk Management tool. There are several guidelines for using scenario thinking: a. Present the scenario as an actual event by writing a single paragraph statement; b. Target the length of the paragraph to six sentences or less (about 60 words); c. Include preventative actions for each scenario; d. Don’t dwell on grammatical details; e. Sanitize an actual historical event if one is available; f. Encourage imagination and intuition; and g. Carry the scenario to the maximum credible accident. Example: “During the next ground-air combined arms live fire exercise, a 500 pound bomb is mistakenly dropped on the four military ambulances killing all medical personnel present and injuring spectators in the crowd. The news media is present.” 5. There are many other techniques that can be used for identifying hazards and developing controls such as flow-charting, logic-tree diagrams, failure mode analysis, and so on. The techniques presented here are a good basic tool-box for the commander and staff that can be used to identify the risks of military operations that could prevent mission accomplishment and help develop effective controls and countermeasures.

G-3


____________________ + Critical task. * Leader task

APPENDIX H EXAMPLE OF RISK MANAGEMENT INTEGRATION IN MISSION TRAINING PLAN

MISSION TRAINING PLAN (MTP)

Appendix H shows risk management integrated into a MTP. The example

portrays a possible method for integrating the risk management process and products into MTPs. The text in italics indicates suggested areas in which to integrate risk management.

TASK: C2 THE BATTALION (7-1-1901)(FM 7-20) ITERATION: 1 2 3 4 5 (circle) TRAINING STATUS: T P U (circle) CONDITION: The brigade issues an OPORD or FRAGO TASK STANDARD:

a. The battalion plan accomplishes the directed mission and specified tasks in

accordance with the brigade commander’s concept and intent. The plan is received and understood by the leadership of the battalion, who makes the plan successful. It is coordinated with higher, adjacent, and supporting elements.

b. The plan is as fully prepared as time allows to initiate the mission at the directed time.

c. The battalion controls and synchronizes subordinate and supporting elements so that it accomplishes the mission and preserves the force. Hazards are identified and controlled during the risk management process and integrated into the tactical decision-making process.

d. The battalion keeps higher, adjacent, subordinate, supporting, and supported headquarters informed of essential information key to controlling the battle or making required decisions.

Subtasks and Standards: GO NO-GO +1. Battalion leaders issue the warning order.

H-1



a. A complete warning order is issued within 15 minutes of receipt of the brigade order.

b. Warning order is received by all platoons within 45 minutes of issuance of

battalion warning order. *2. Battalion commander analyzes mission and gives initial guidance.

a. Guidance includes restated mission, which includes brigade commander’s intent for battalion and identifies all specified and implied tasks.

b. Guidance is given within 30 minutes of receipt of order.

c. Guidance includes instructions on information requirements and initially required preparation actions (movement, resupply) to start. Guidance includes chain of command authorized to accept risk (Extremely High, High, moderate, Low) affecting higher command’s intent, resources, or adjacent units’ missions. +3. Battalion accomplishes reconnaissance and other actions to gather needed information.

a. Reconnaissance actions begin to physically gain information on the enemy and terrain as early as possible.

b. Commander conducts a personal reconnaissance, when possible. If not, the commander conducts a detailed map reconnaissance.

c. Subordinate leaders perform a personal reconnaissance when possible. See subordinate company (_____________________ (ARTEP) 7-10-MTP) and platoon (ARTEP 7-8-MTP) ____________________ (T&Eos).

d. Staff coordinates with subordinates, higher, supporting, and adjacent headquarters to gather information for planning. Staff analyzes mission to identify hazards.

e. Staff provides operations, intelligence, and __________________ CSS estimates to include all critical METT-T factors and identified hazards. +4. Battalion commander develops a wargame COA and selects one.

a. Tactically feasible COAs (include _____________ (CS) and maneuver) are made and wargamed with the available staff (commander (command responsibility for risk management)), S3 and ______________________ (FSO) are best for quick



planning sequences; XO (with staff responsibility for risk management), S2, Engineer, S4, S3 (Air) and Air Defense (AD) officer are best in more deliberate situations). Each COA contains assessment of hazards, risk level, and control measures identified to lower or control the risk.

b. Best COA is selected.

c. The selected COA is wargamed and refined by the command and staff. The staff must understand the concept to produce a sound OPORD and rehearse. Risks and/or control measures requiring elevation to higher levels of command for decision and acceptance are identified and elevated. *5. Staff develops an OPLAN and OPORD from the commander’s guidance.

The OPLAN and OPORD successfully accomplish the mission in accordance with higher commander’s intent. Hazards and risk control measures are included in the appropriate paragraphs and graphics. *6. Battalion commander and staff issue implementing FRAGOs (to include acceptance of risk). *7. Battalion commander issues the OPORD/FRAGO.

a. OPORD/FRAGO is issued in accordance with the one-third/two-thirds rule and makes full use of daylight time.

b. OPORD/FRAGO accomplishes all directed missions and tasks, complies with the brigade commander’s intent, controls risks, and is doctrinally sound. It is based on evaluator judgment and on a comparison of brigade and battalion OPORDs.

c. All subordinate and supporting elements receive the OPORD/FRAGO.

d. OPORD/FRAGO contains task organization, mission, concept, authority for acceptance of risk; intent for maneuver, supporting fires, and obstacles; missions and tasks for each subordinate; fire support and CSS instructions; and coordinating instructions to synchronize the efforts of maneuver forces and CS.

e. If more time is available, the battalion commander issues a fully developed OPORD (although an initial FRAGO may be issued to allow subordinates to begin preparation and followed by a full OPORD.)

H-3



f. Order is given at a location that reduces travel time, allows observation of the zone/sector, and promotes OPSEC. (Depending upon the METT-T factors, observation of the zone/sector may not be possible.)

g. Battalion commander should perform brief-backs and wargaming, to include identifying hazards and control measures, immediately after the order to improve subordinate understanding and reaction.

h. Subordinate leaders and staff should perform lateral coordination before leaving the orders site. +8. Commander and staff coordinate and refine the plan.

a. Time is well used to continue gathering information and to improve the plan

(contingency plans, hazard identification and controls, fire plans).

b. New information is disseminated and coordinated with higher, adjacent, and supporting headquarters to include:

(1) Changes or refinements in plan; (2) Information on the enemy in the sector or zone; (3) Information that impacts on planning and execution (risk acceptance

decisions/hazard controls) of subordinate elements; and (4) Adjustments/changes in the plans.

+*9. Battalion executes changes in task organization.

a. Main _________________ (CP) coordinates link-up location, time, and responsible element.

b. Attachments/new elements are received at the coordinated location and time; updated on current situation, OPORDs, and _______________________ (SOIs); and resupplied.

c. Detachments reach the link-up point at the time and place directed. +*10. Battalion performs and commander and staff perform, supervise, and monitor preparations.

a. Command group/XO performs brief-backs with subordinate commanders,

leaders, and key staff.



b. Main CP maintains status of preparations.

c. Elements make full use of time to prepare for the operation. Subjective judgment of the evaluator is based on the analysis of preparation charts and available preparation time. +*11. Battalion sees the battlefield.

a. Command group is positioned to see and move.

b. Companies and other subordinates accurately report critical information on actions and changes in combat status within five minutes. See subordinate MTPs.

c. Main CP collects, analyzes, and passes processed critical information.

d. Subordinates execute intelligence collection plan. See subordinate element MTPs. Subordinates integrate the risk management process when developing plans and executing tasks. +*12. Battalion leaders command and control the execution.

a. Subordinate elements report enemy and friendly actions, change in status, and any other factor that would require change within three minutes.

b. Battalion leaders win the battle by directing the maneuver of units, controlling direct and indirect fires, properly integrating risk management into planning and execution, and directing other CS actions to cope with new METT-T/risk factors. Indicators are:

(1) Elements not following OPLAN and OPORD are corrected;

(2) Responses to new METT-T hazards are directed soon after the new situation occurs;

(3) No friendly casualties inflicted by friendly direct or indirect fires or other accidents;

(4) Number/percentage of direct fire weapons engaging the enemy; (5) Number/percentage of indirect fire rounds fired and percentage

hitting/suppressing the enemy; (6) Number of enemy casualties; and (7) Number of friendly casualties.



c. Command and control, and CSS assets are controlled to support maneuver effort. Indicators are:

(1) Effective CSS, and command and control; and

(2) Command and control or CSS elements not destroyed by enemy direct fires.

d. FRAGOs are clear, concise, include risk management, and are quickly executed by subordinates.

e. Changes that affect the battle are disseminated within five minutes. +13. Subordinate commanders, leaders, and staff laterally coordinate actions during the battle. All battle actions requiring coordination between elements are coordinated. +*14. Battalion coordinates with adjacent and supporting headquarters. All battle actions requiring coordination with other headquarters are laterally and promptly coordinated. +*15. Battalion reports. Battalion CPs submit all critical and required reports to brigade. They report events to adjacent and supporting elements that impact on them in time for those units to react. Risk acceptance decisions are elevated to the appropriate level of command for decision.

H-6


CLASSIFICATION

APPENDIX I EXAMPLE OF OPERATIONAL PLAN/OPERATIONAL ORDER

OPLAN AND OPORD Appendix I is a sample operations order extracted from FM 101-5. The bracketed text in bold italics indicates suggested areas in which to integrate risk management. The OPLAN and OPORD use good methods to further the communications necessary for the process to work as intended.

CLASSIFICATION

[Place the required classification at the top and bottom of every page of the OPLAN or OPORD.]

[Change from oral orders, if any.] [This statement applies only if an oral order is issued by the commander: “No change from oral orders” or “No change from oral orders are necessary except paragraph {number}”.]

Copy ___ of ___ copies Issuing headquarters Place of issue (coordinates) DTG of signature

[The effective time for implementing the plan or order is the same as the DTG unless coordinating instructions state otherwise. Include the time zone suffix. The time zone remains the same throughout the order (including all annexes). Use time zone Zulu (Z) unless the order states otherwise. Express dates in the sequence day, month, and year (6 August 1998). When using inclusive dates, express them by stating both dates separated by a dash (6-9 August 1998 or 6 August-7 September 1998). Express times in the 24-hour clock system by means of four-digit Arabic numbers. Express the date and time as a six-digit DTG. The first two digits indicate the day of the month. The last four digits indicate the time. Add the month or the month and year to the DTG when necessary to avoid confusion. For example, a complete DTG would appear as 060140ZAUG98. When orders apply to units in different time zones, use


CLASSIFICATION

Greenwich mean time (Zulu time zone). In operation and service support plans and orders, list the time zone applicable to the operation in the heading of the order following the references. When an order or plan does not specify the actual date and hour for beginning an operation, apply the proper reference designations.]

Message Reference Number

[Message reference numbers are internal control numbers that the unit signal officer issues and assigns to all plans and orders. The unit’s SOP normally describes the number’s allocation and use. Using the number allows an addressee to acknowledge receipt of the message in the clear.]

[Plans and orders normally contain a code name and are numbered consecutively within a calendar year.]

References:

[The heading of the plan or order includes a list of maps, charts, datum, or other related documents the unit will need to understand the plan or order. The user does not need to reference the SOP, but may refer to it in the body of the plan or order. The user references a map, using the map series number (and country or geographic area, if required), sheet number and name, edition, and scale, if required.]

Time Zone Used Throughout the Plan (Order):

[The time zone used throughout the order (including annexes and appendixes) is the time zone applicable to the operation. Operations across several time zones use Greenwich Mean time (Zulu time).]

Task Organization:

[Describe the appropriate allocation of forces to support the commander's concept. If task organization is long and complex, put it in an annex (see Appendix F for a complete discussion of task organization.)]

1. Situation. [There must be three subparagraphs for an OPORD and four for an OPLAN.]


CLASSIFICATION

a. Enemy forces. Express this information in terms of one enemy echelon below yours (for instance, corps address divisions; battalions address companies). Describe the enemy’s most probable COA. When possible, provide a sketch of the enemy COA in lieu of verbiage (Appendix __[sketch] to Annex B [Intelligence]). Include an assessment of terrorist activities directed against US Government interests in the area of operation. Use an intelligence annex only if the amount of information is too long to include in the body of the order. Refer to Annex B (Intelligence). If you need to reference more sources, use the final subparagraph to refer the reader to the documentation. [Include hazards to the operation impacted by the specific identified enemy force.]

b. Friendly forces. Include the mission of the higher unit and a clear statement of the higher commander's intent and concept of operations. This information is provided for higher headquarters one and two levels up. Subparagraphs state the missions of flank units and other units whose actions would have a significant bearing on the issuing headquarters.

c. Attachments and detachments. Do not repeat information already listed under task organization or in Annex A (Task Organization). Try to put all information in the task organization or in Annex A and state, “see task organization” or “See Annex A.” However, when not in the task organization, list units, which are attached or detached to the headquarters that issues the order. State when attachment or detachment is to be effective if different from when the OPORD or OPLAN is effective (such as on order, on commitment of the reserve). Use the term “remains attached” when units will be or have been attached for some time.

d. Assumptions (OPLAN only). List all assumptions. [Identify hazards to the mission arising from assumptions that turn out incorrect. Call attention to their impact on the mission. List alternate actions to mitigate the risk.]

2. Mission. State the mission derived during the planning process. There are no subparagraphs in a mission statement.

3. Execution.

a. Intent. State the commander’s intent derived during the planning process. b. Concept of operations. The concept of operations should be based on the COA statement from the decision-making process. At the


CLASSIFICATION

minimum, it should address close, deep, rear, security, and reserve operations as well as describe the overall form of maneuver and designate the main effort. The commander uses this subparagraph when he feels he must supply sufficient detail to ensure appropriate action by subordinates in the absence of additional communications or further instructions.

The concept statement should be concise and understandable. Refer to Annex C (Operation Overlay) if required. If the operation overlay is the only annex referenced, show it after “a. Concept of operations.” Place the commander’s intent and concept of operations statement on the overlay if the overlay does not accompany the OPORD or OPLAN.

After the concept of operations statement, include any subparagraphs needed to clarify the concept and to ensure synchronization. Phase the operation if required. If phased, be sure subsequent subparagraphs clearly outline what is to happen during each phase. The sequence of subparagraphs follows.

Additional subparagraphs of subparagraph 3a describe the contribution that selected elements of combat power make to the overall scheme of maneuver. These subparagraphs are not tasked to subordinate elements; rather, they tell the entire command how to use the elements of combat power to aid overall mission accomplishment. These subparagraphs address how that element is synchronized to support the scheme of maneuver. [Where identified as needed within the subparagraphs of concept of operation, you may include identified hazards in each operational phase. Estimates of risk levels and controls adapted during planning as countermeasures to the risk will be helpful. Address the estimate of cumulative effect of accepted risks (unmitigated or mitigated with controls—economy of force on one flank to weigh the main attack, violation of speed restriction to minimize exposure and to degrade accuracy of enemy direct fires while attacking across an open area). Do wherever beneficial for overall synchronization leading to mission success.]

(1) Maneuver. State the scheme of maneuver derived during the planning process. Be sure this paragraph is consistent with the operation overlay. This paragraph and the operations overlay should be complementary adding to the clarity of, rather than duplicating each other. Do not duplicate information to be incorporated into unit subparagraphs or coordinating instructions.


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(2) Fire support. Clarify scheme of fires to support the overall concept. This paragraph should state which maneuver unit is the main effort and has priority of fires. Refer to Annex D (Fire Support) if required. If the fire support annex is the only one referenced, show it as part of this subparagraph. Refer to appropriate annexes as required. When referencing other annexes, identify them within the appropriate subparagraph.

(3) Mobility and survivability. State effort to support overall concept. Indicate priority of support and provide priority of mobility and survivability aspects as appropriate for GS units. Delegate or withhold authority to emplace obstacles. Refer to Annex E (Mobility and survivability) and other appropriate annexes as required.

(4) Air Defense (AD). State overall concept of counter air operations in support of the scheme of maneuver, if necessary. Include considerations of potential Air Force counter air support as well as the actual contribution of dedicated AD units. Establish priority of air defense for GS units and provide AD weapons status and warning status. Refer to Annex F (Air Defense) and other appropriate annexes as required.

(5) Command and Control Warfare (CCW). State priority for CCW as to type of targets required to support the scheme of maneuver. Refer to Annex G (Command and Control Warfare) and other appropriate annexes as required.

c. Tasks to maneuver units. List all maneuver units that report directly to the headquarters issuing the order or plan in the same sequence as in the task organization including reserves (see paragraphs 3b(1) through (4)). Use a separate subparagraph for each maneuver unit. Clearly state the mission or task that each maneuver element is to accomplish. Only state tasks that are necessary for comprehension, clarity, and emphasis, if information is adequately covered in OPLAN and OPORD do not write an annex. Place tactical tasks that affect two or more units in subparagraph 3e.

(1) Infantry.

(2) Armor.


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(3) Cavalry.

(4) Aviation. d. Tasks to Combat Support (CS) units. Use these subparagraphs only as necessary. List CS units in subparagraphs in the same order as they appear in the task organization. Use CS subparagraphs to list only those specific tasks that CS units must accomplish and that are not specified or implied elsewhere, if information is adequately covered in OPLAN and OPORD do not write an annex. Include organization for combat, if not clear from task organization.

(1) Fires. Annex D (Fire Support).

(a) Air support. State allocation of ______________ (CAS) sorties, AI mission sorties (corps), and nominations (division). Show tactical air reconnaissance sorties here or in the intelligence annex. Also include weapons of mass destruction target nominations (corps only).

(b) Chemical support. State priorities of reconnaissance, decontamination, and smoke. (c) Field artillery support. If necessary, expand the field artillery subparagraph to cover the following information.

1 General material. This may include further subdivision or priorities such as counterfires or interdiction. 2 Organization for combat. List command and support relationships only if they are not clear in task organization. Ensure that allocation of fire supports the commander's concept. Refer to appropriate fire support annexes, if used. A fire support annex is usually published at division and corps levels. At brigade and lower, include most of the fire support information here, rather than in an annex.

(d) Naval gunfire support.

(e) Fire support coordinating instructions.


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(2) Mobility and survivability. Annex E (Mobility and Survivability). Do not repeat this information if it is in the task organization. When appropriate, assign priorities of work. Address functions or support roles of organic or attached chemical units if it is not clear in task organization. Establish priority of decontamination. Address environmental protection concerns here or in the annex. Refer to mobility/survivability annex, if used.

(a) Engineer, include engineer overlay.

(b) Nuclear, biological, and chemical (NBC) operations.

(3) Air Defense (AD). Annex F (Air Defense). Address the following for organic and attached AD units:

(a) Organization for combat.

(b) Missions.

(c) Priorities for protection.

(4) Command and Control Warfare (Command and Control Warfare). Annex G (Command and Control Warfare). Address the function or support roles of organic or attached Military Intelligence (MI) units if not clear in the task organization.

(a) Deception. Refer to the Appendix to Annex G if used.

(b) Electronic warfare. Refer to the Appendix to Annex G if used.

(c) Psychological warfare. Refer to the Appendix to Annex G if used.

(d) Unmanned aerial vehicles. Designate any special (non-SOP) use of unmanned aerial vehicles. Designate the placement remote video terminals if not designated in the SOP.

e. Coordinating instructions. Below are six coordinating instructions, the first five of which are mandatory. Each list is situation-dependent. This is not an inclusive list. This is always the last subparagraph in


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paragraph 3. List only instructions applicable to two or more units. Any instructions too complex will be referred to in an annex. Include the following subparagraphs:

(1) Time or condition when a plan or order becomes effective.

(2) Commander's critical information requirements.

(a) Priority information requirements. Only listed here and not in Annex B (Intelligence) to OPORD. (b) Essential elements of friendly information. Only listed here and not in Annex B (Intelligence) to OPORD. (c) Friendly force information requirements. Only listed here and not in Annex B (Intelligence) to OPORD.

(3) Risk reduction control measures (actions in addition to command and control, such as antiterrorist actions, mission-oriented protective posture, operational exposure guidance, troop-safety criteria (corps only), vehicle recognition signals, and fratricide prevention measures)) [and their intent, consideration of any cumulative, synergistic impact of risk reduction controls, expected path of execution, degree of deviation that will not affect mission outcome, prioritization, and methods for putting performance back into expected band when necessary. Include only the areas considered serious enough to affect mission outcome].

(4) Rules of engagement. [Including all weapons systems. Address control measures designed to prevent fratricide].

(5) Environmental considerations.

(6) Any additional coordinating instructions.

4. Service Support.

State the concept of logistics support. Address service support in the areas shown below and then, only as needed, to clarify the service support concept. Refer to annexes, if required. Subparagraphs include the following:


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a. Support concept. State the overall concept of support. To provide non-CSS commanders and their staffs a visualization of how the operation will be logistically supported. This could include:

(1) A brief synopsis of the support command mission;

(2) Support command headquarters and/or support area locations, including locations of the next higher logistic bases if not clearly conveyed in the CSS overlay;

(3) The next higher level's support priorities and where the unit fits into those priorities;

(4) The commander's priorities of support;

(5) Units in the next higher CSS organization supporting the unit;

(6) Significant and/or unusual CSS issues that might impact the overall operation;

(7) Any significant sustainment risks; and/or

(8) Support requirements in the functional areas of manning, arming, fueling, fixing, and moving;

b. Materiel and services.

c. Medical evacuation and hospitalization.

d. Personnel.

e. Civil-military cooperation.

f. Miscellaneous.

5. Command and Signal.

a. Command. State the map coordinates for the CP locations and at least one future location for each command post. Identify the chain of command. [Include any modification of chain of command risk acceptance authority.]


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b. Signal. List signal instructions; identify the specific SOI addition in effect, required reports and formats, and times the reports are submitted. [Include, if desired, any fratricide reduction measures that rely on signaling (visual, electronic, spectral radiation, or any other means allowing transmission of friendly identity from observed to the observer, initiated by either party).]

Acknowledge: Include instructions for the acknowledgment of the plan or order by addressees. The word acknowledge may suffice or you may refer to the message reference number. Acknowledgment of a plan or order means that it has been received and understood.

NAME (Commander's last name) RANK (Commander's rank)

The commander or authorized representative signs the original copy. If the representative signs the original, add the phrase “For the Commander.” The signed copy is the historical copy and remains in headquarters files. Official:

(Authentication) Use only when applicable. If the commander signs the original no further authentication is required. If the commander doesn't sign, authentication is required by the signature of the preparing staff officer and only the last name and rank of the commander appears in the signature block. Annexes:

List annexes by letter and title in the sequence shown in Figure H-9 of FM 101-5. Distribution:

Furnish distribution copies either for action or for information. List in detail those who are to receive the plan or order. If necessary, also refer to an annex containing the distribution list or to a standard distribution list or SOP. When referring to a standard distribution list, also show distribution to reinforcing, supporting, and adjacent units, since that list does not normally include these units. When distribution includes a unit from another nation or from a _______________________ (NATO) command, cite the distribution list in full.


APPENDIX I ABBREVIATIONS AND ACRONYMS AAR After Action Report AD Air Defense ARTEP AT Annual Training CAS CCW Command and Control Warfare COA Course of Action CP Command Support CS CSS FLARNG Florida Army National Guard FM Field Manual FRAGO FSO GS METL Mission Essential Task List MES Multilinear Events Sequencing MI Military Intelligence MTP Mission Training Plan METT-T Mission, Enemy, Training, Terrain and Time NCO Non-Commissioned Officer OPLAN OPORD OPSEC PCI POV Privately Owned Vehicle SITREP SOI SOP Standard Operating Procedure T&EO TAG The Adjutant General XO Executive Officer Z Zule Time Zone

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