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LESSON 4
PLANNING
OVERVIEW
LESSON DESCRIPTION:
This lesson describes what is included in the planning phase of training and operations. It also describes how environmental considerations are a part of the decision-making process.
TERMINAL LEARNING OBJECTIVE:
ACTION: |
Describe the military decision-making and risk assessment processes required in environmental planning. |
CONDITION: |
You will be given all material contained in this lesson. You will work at your own pace and in your own selected environment with no supervision. |
STANDARD: |
You will correctly answer questions on the practice exercise at the end of the lesson. |
REFERENCES: |
The material contained in this lesson was derived from FM 4-04.4, FM 5-0 (FM 101-5), FM 1-02, FM 100-14 and TVT 5-56P2. |
INTRODUCTION
Each day leaders make decisions affecting the environment. These decisions affect natural and cultural resources entrusted to the Army and have serious environmental and legal consequences for decision makers. The military's inherent responsibility to the nation is to protect and preserve its environmental resources. Risk management is an effective process used to assist in preserving these resources. Unit leaders identify actions that may negatively impact the environment and take appropriate steps to prevent or mitigate damage. This lesson illustrates how to use the risk management process to assess and manage environmental-related risk during planning, training, and operations.
4-1. The Military Decision-Making Process. The military decision-making process (MDMP) is a single, established, proven analytical process. The MDMP is a tool that assists the commander and staff in developing estimates and a plan. The commander and staff examine a battlefield situation and reach logical decisions. The process helps them apply thoroughness, clarity, sound judgment, logic, and, professional knowledge to reach a decision. The MDMP model contains seven steps, each of which incorporates environmental considerations (Figure 4-1).
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Figure 4-1. Steps in the MDMP
a. The staff prepares for the mission analysis immediately upon receipt of a warning order by gathering the tools needed to perform a mission analysis. These tools include the following:
Higher HQ order or plan.
Maps of the area to help the commander assess likely areas for significant environmental considerations.
The commander's or higher HQ SOPs.
Appropriate documents and references, applicable HN agreements, Department of Defense (DOD) overseas environmental baseline guidance document (OEBGD) or similar instructions or guidance.
Any existing staff estimates as well as applicable lessons learned or AAR materials.
b. Staff officers should develop a generic list of environmental considerations and associated requirements in their respective areas to add to the general guidelines given in FM 5-0 (FM 101-5), Appendix A.
(1) Mission Analysis. Mission analysis has seventeen subordinate steps. While this process results in the staff formally briefing the commander, there may be items of such importance to the commander and the formulation of his commander's guidance that they need to be brought to his attention immediately rather than withheld until the formal briefing. Anticipation, prior preparation, and a trained staff are the keys to a timely mission analysis.
Step 1. Analyze the higher HQ order. The commander and his staff thoroughly analyze the higher HQ order and identify guidance on environmental considerations. If confused by the higher HQ order or guidance, the staff must seek clarification immediately. While there is generally a specific annex or appendix on environmental considerations in the higher HQ order, it is not the only source of guidance. Coordinating instructions or guidance from others may also contain information critical to environmental considerations.
Step 2. Conduct initial intelligence preparation of the battlefield (IPB). The IPB is a systematic, continuous process of analyzing the threat and the effects of the environment on the unit. It identifies facts and assumptions that determine a likely threat COA. The IPB supports the commander and his staff and is essential to developing estimates and performing decision making. Environmental considerations may make it prudent to focus some of the IPB support to assist in site selection for units moving into an operational area. Environmentally sensitive areas are defined in FM 1-02 (FM 101-5-1) as environmental areas of interest. Environmental areas of interest include natural and man-made structures, such as waste treatment plants and dams.
Step 3. Determine specified, implied, and essential tasks. The staff analyzes higher HQ orders to determine which environmental considerations should be specified, implied, and essential tasks. The mission determines if environmental considerations are essential tasks. If, for example, the mission is focused on response to a natural or man-made emergency, it is more likely that environmental considerations will be important.
Step 4. Review available assets. The commander and his staff examine additions to and deletions from the current task organization, support relationships and status (current capabilities and limitations) of all units. They consider the relationship between specified and implied tasks and available assets. From this information, they determine whether they have the assets to perform all specified and implied tasks. If there are shortages, they identify additional resources needed for mission success. Current subordinate unit capabilities to deal with environmental considerations may be limited. If environmental considerations require expertise that is not organic to the commander's unit or his subordinate units, it is critical that those issues are raised.
Step 5. Determine constraints. A higher commander normally places some constraints on his subordinate commanders that restrict their freedom of action. Environmental considerations may also cause constraints on an operation. The commander and his staff must identify and understand these constraints. These will normally be found in the scheme of maneuver, the concept of operations, and the coordinating instructions. The commander ensures that critical environmental constraints are up front in the body of the order and not merely relegated to an annex or appendix.
Step 6. Identify critical facts and assumptions. The staff gathers two categories of information concerning the assigned task facts and assumptions. Facts are statements of known data concerning the situation including enemy and friendly dispositions, available troops, unit strengths, and material readiness. Assumptions are suppositions about the current or future situation that are assumed to be true in the absence of facts. They take the place of necessary, but unavailable facts, and fill the gaps in what the command and staff know about a situation. An assumption is appropriate if it meets the tests of validity and necessity. Validity means the assumption is likely to be true. "Assuming away" potential problems, such as weather, environmental considerations, or likely enemy options, would result in an invalid assumption. Necessity is whether or not the assumption is essential for planning. If planning can continue without the assumption, it is not necessary and should be discarded. When possible, assumptions are cleared with the higher HQ to ensure they are consistent with the HQ plan. Assumptions are replaced with facts as soon as possible. The mission may require significant environmental considerations. In this case, the facts and assumptions regarding environmental considerations may take a preeminent position in the planning process.
Step 7. Conduct risk assessment. The commander and staff identify accident risk hazards and make an initial assessment of the risk level for each hazard. The commander also makes an initial assessment of where he might take tactical risk. While the focus of risk assessment is on tactical risk, significant issues for accident risk, with respect to the environment, are also considered.
Step 8. Determine initial commander's critical information requirements (CCIRs). The CCIR identifies information needed by the commander to support battlefield visualization and to make critical decisions, especially to determine or validate courses of action. They help the commander filter information by defining what is important to mission accomplishment. Environmental considerations that may be part of the CCIR include protection of cultural and historical sites, water sources, HW/polluted industrial sites, or other significant safety considerations.
Step 9. Determine the initial reconnaissance annex. Based on the IPB and the CCIR, the staff (primarily the intelligent officer [US Army] [S2]), identifies gaps in the intelligence and develops an initial reconnaissance and surveillance plan to acquire information based on available reconnaissance assets. This may include acquiring the support of outside agencies and higher HQ. Special requests for environmental information on environmental considerations critical to the operation are included in the initial IPB and CCIR.
Step 10. Plan use of available time. The commander and his staff refine their initial plan for the use of available time. They compare the time needed to accomplish essential tasks to the higher HQ timeline to ensure mission accomplishment within the allotted time.
Step 11. Write the restated mission. The executive officer (XO) or the operations and training officer (US Army) (S3) prepares a restated mission for the unit based on the mission analysis. The restated mission includes on-order missions; be-prepared missions are in the concept of operations. Environmental considerations may be addressed in the restated mission, especially if the unit mission is to respond to a forest fire, flood, or some other natural or man-made disaster.
Step 12. Conduct a mission analysis briefing. Time permitting, the staff briefs the commander on its mission analysis. The relevant conclusions about environmental considerations, drawn from the mission analysis, help the commander and staff to develop a shared vision of the requirements for the upcoming operation.
Step 13. Approve the restated mission. Immediately after the mission analysis briefing, the commander approves a restated mission. Once approved, the restated mission becomes the unit's mission. If environmental considerations are crucial to the mission, they may become a part of the restated mission.
Step 14. Develop the initial commander's intent. The initial commander's intent is a clear, concise statement of what the force must do to succeed with respect to the enemy and the terrain and to achieve the desired end state.
Step 15. Issue the commander's guidance. After the commander approves the restated mission and states his intent, he or she provides the staff with enough additional guidance to focus staff activities while planning the operation. This is the location for guidance on environmental considerations. In the case of combat operations, most environmental considerations will take a relative back seat to other considerations, as greater environmental risk is likely to be taken.
Step 16. Issue a warning order (WO). Immediately after the commander provides his guidance, the staff sends subordinate and supporting units a WO. The staff ensures that risk guidance includes pertinent environmental considerations.
Step 17. Review facts and assumptions. Ideally, initial mission analysis will identify and quantify most of the likely environmental considerations. During the rest of the decision-making process, the commander and staff periodically review available facts and assumptions. New facts may alter requirements and analysis of the mission. Assumptions may have become facts or may have become invalid. Whenever the facts or assumptions change, the commander and staff assess the impact of these changes on the plan and make the necessary adjustments. The discovery of additional environmental considerations is likely, as the planning progresses and reconnaissance information if forthcoming.
(2) Course of Action (COA) Development. After receiving guidance, the staff develops COAs for analysis and comparison. During COA development, the commander and staff continue the risk management process. Environmental considerations will usually be most prominent in meeting the criteria of suitability and acceptability. The staff develops the COAs to accomplish the mission and meet the commander's guidance with respect to environmental considerations.
(3) Course of Action (COA) Analysis. The war game helps the commander and his staff to focus on each stage of the operation in a logical sequence. Every staff member must determine the force requirements for external support, risks, and each COA's strengths and weaknesses. Determining evaluation criteria is probably the most important step of war-gaming for environmental consideration. If environmental considerations are prominent enough, they are included in the commander's guidance and intent, as well as in the specified criteria for the level or residual risk for accident hazards in the COA. It is a requirement for staff officers to conduct risk management for each COA. Every COA must clearly identify the level of risk that the commander is willing to accept to include those associated with environmental considerations.
(4) Course of Action (COA) Comparison. Environmental considerations will normally be included in the general criterion of "residual risk," or if significant enough, may even be a separate criterion. If any environmental consideration was important enough to be in the commander's guidance or intent, it will be listed here as well.
(5) Commander's Decision Briefing. After completing its analysis and comparison, the staff identifies its preferred COA and makes a recommendation. If the staff cannot reach a decision, the XO decides which COA to recommend at the commander's decision briefing. The staff then briefs the commander. Critical environmental considerations have become one of the criteria in the decision matrix.
(6) Course of Action (COA) Approval. Critical environmental considerations listed in the commander's guidance or intent will be a factor in the commander's approval of a particular COA.
(7) Orders Production. Environmental concerns are addressed by every staff officer, as applicable, in respective annexes and appendices.
4-2. Environmental-Specific Planning. Environmental-specific planning focuses on providing units with the additional environmental-related resources and information necessary to accomplish their missions. Operational and support planning also includes environmental-protection objectives. In operational situations, whether for training, contingency operations, or combat, environmental planning focuses on the mission requirements of a military unit. This planning includes identifying environmental risks posed by an operation and considering ways to reduce those risks during long-, short-, and near-term planning. Units require facilities, training areas, and support systems that must be managed to secure long-term availability. Environmental-support planning is, by nature, long-term.
a. Operational Planning. Operational planning usually begins with a formal staff estimate as a part of the MDMP. However, operational planning may entail a separate study on the characteristics of the area of operation (AO) or an informal review of the environmental considerations and issues contained in the higher HQ OPLAN or OPORD.
b. Staff Planning. Staffs conduct environmental planning within the context of the mission. Their efforts produce information that helps units understand the mission's environmental requirements. Most often, staffs develop this information in the form of staff estimates, environmental-protection levels, and an environmental-baseline survey (EBS).
(1) Individual staff officers incorporate environmental considerations into their staff estimates. The staff estimate may include the following:
Significant environmental weaknesses and sensitivities in the AO.
Potential enemy environmental targets.
Critical or unique resources to the area.
Environmental conditions related to the situation.
Applicable laws and regulations.
(2) Staffs identify environmental weaknesses and critical terrain that may be a factor to be avoided, actively protected, or temporarily exploited to accomplish the mission. They identify potential enemy environmental targets and plan contingency responses. The following environmental factors normally require consideration during staff estimates:
Topography and soils.
Vegetation, including crops.
Air quality.
Wildlife and livestock.
Archaeological and historical sites.
Safety and public health.
Land and facility use, occupation and return.
Water quality, including surface water, groundwater, storm water, and wetlands.
HM and HW disposal and potential cleanup requirements.
Socioeconomic and political condition sensitivities and desired end states pertaining to, or functions of environmental conditions.
(3) The staff develops an OPORD, OPLAN, or CONPLAN and may publish a full environmental annex/appendix only once. To facilitate changes in environmental requirements, the command may produce an environmental-protection-level matrix similar to the example in Figure 4-2. This matrix ties directly into risk assessment and is applied in the MDMP during mission analysis.
Standard levels of environmental protection facilitate planning, communications, and flexibility. The notional array of protection levels in Figure 4-2 ranges from Level 1 to Level 4. Level 1 is less restrictive and more appropriate for tactical units in combat. Level 4 is very restrictive and more appropriate for tactical units in garrison, on fixed installations, during major training exercises, or while performing humanitarian missions in relatively secure and developed areas. Levels 2 and 3 are merely intermediate steps between the baseline and optimal levels.
Staffs may use a matrix to designate protection requirements for specific missions or areas, to clearly identify and quickly notify units of changes, or to notify newly arriving units of the rules in the AO.
Environmental-Protection Level |
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Level 1 |
Level 2 |
Level 3 |
Level 4 |
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1. Waste Management |
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a. Human waste |
Unit SOP |
Slit trench |
Burnout latrine |
Sanitary sewer |
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b. Solid waste |
Unit SOP |
Unit incineration or burial |
Incineration |
Landfill |
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c. Medical waste |
Unit SOP |
Field collection, consolidate disposal |
US or HN approved disposal methods |
Same |
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d. Hazardous waste |
Unit SOP |
Field collection, battalion disposal |
Unit collection point, classify, label, Defense Logistics Agency (DLA) contract |
RCRA or HN procedures |
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2. Hazardous Materials |
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Unit SOP |
Spill response, report any water contamination |
HM tracking, spill response, report spills over 50 gallons |
Spill prevention plans, response teams |
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3. Natural Resources |
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a. Water |
Unit SOP |
Unit SOP |
Erosion control |
No degradation of water due to erosion or effluent |
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b. Vegetation |
Unit SOP |
Restriction on camouflage |
Clearing in excess of 100 acres requires joint task force (JTF) approval |
Clearing requires environmental assessment |
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c. Air |
Unit SOP |
Dust suppression, nonhazardous only |
Control open fires, fugitive dust |
Controls on incineration and traffic |
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d. Wildlife |
Unit SOP |
Unit SOP |
Note and avoid specific habitats |
Taking of species prohibited |
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4. Cultural and Historical Resources |
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Unit SOP |
Minimize damage if possible |
Division-level approval required for operations in area |
JTF approval required for operations in area |
Figure 4-2. Notional Environmental Protection Matrix
(4) Many operations require fixed facilities, structures, or other real property for logistics, command and control, administration, communications, billeting, base camp, or other mission purposes. If the tactical situation permits, commanders conduct or direct an initial EBS before occupying the AO.
(5) The initial EBS serves as a tool to assist in determining whether a parcel of land is acceptable for military use. The initial question should always be whether the site is healthy for soldiers. It documents the proposed sites, existing environmental conditions, and the likelihood of past or ongoing activities that may have created environmental, safety, or health problems. These problems include contamination of air, soil, groundwater, and surface water by toxic substances or POL.
(6) EBS documentation becomes extremely important at the end of the mission or upon completion at a facility. At that time, a closure EBS is done. Examples of areas to be addressed in an EBS are below. A complete list may be found in FM 4-04.4 (FM 3-100.4), Chapter 2.
Property description and condition.
Soil type and land cover.
Water supply and source.
Air quality.
Signs of contamination.
(7) As soon as time and conditions permit, a more formal or updated EBS and site assessment may be completed. The periodic use of environmental-conditions reports (ECRs) will assist the unit in both maintaining environmental standards and documenting their stay at a site/area.
c. Unit Planning. Staffs integrate environmental protection into planning for larger units. Unit leaders integrate environmental protection into unit planning for battalion- and company-level units. Unit planning includes SOPs, OPORDs, risk management plans, and training plans.
(1) Standing Operating Procedures. Unit leaders develop SOPs reflecting environmental protection considerations for routine tasks and activities. SOPs provide information to soldiers on how to accomplish routine tasks in an environmentally sound manner. SOPs incorporate local requirements, in which unit leaders ensure that the SOPs coordinate with the higher HQ staff.
(2) Orders/Plans. Unit leaders address environmental protection in their plans and orders (WOs, OPORDs, OPLANs, CONPLANs, and fragmentary orders [FRAGOs]). The higher HQ staff develops an environmental appendix/annex to its OPORD/OPLAN/CONPLAN. Subordinate unit leaders draw environmental information from the environmental appendix to the OPORD/OPLAN/CONPLAN.
4-3. The Risk Management Process. FM 5-0 (FM 101-5) describes risk management as the process of detecting, assessing, and controlling risk arising from operational factors and balancing risk with mission benefits. Risk management is an integral part of the MDMP. FM 100-14 (FM 3-100.14) outlines the risk management process and provides the framework for making risk management a routine part of planning, preparing, and executing operational mission and everyday tasks. Assessing environmental-related risks is part of the total risk management process. Knowledge of environmental factors is the key to planning and decision making. 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. Unit leaders should conduct risk assessments before conducting any training, operations, or logistical activities.
a. Tactical Risk and Accident Risk. When assessing the risk of hazards in operations, the commander and staff must look at two types of risk.
(1) Tactical risk is concerned with hazards that exist because of the presence of either the enemy or an adversary, thus involving the considerations of force protection. For example, during the Gulf War, the enemy's demolition of oil fields created a significant health and environmental hazard to the surrounding countryside and to those units maneuvering through the area.
(2) Accident risk includes all operational risk considerations other than tactical risk. It includes risk to friendly forces and risk posed to civilians by an operation, as well as the impact of operations on the environment. For example, improper disposal of HW, personnel that are not properly trained to clean up a spill, and units maneuvering in ecologically sensitive terrain.
(3) Tactical risk and accident risk may be diametrically opposed. The commander may choose to accept a high level of environmental-related accident risk to reduce the overall tactical risk.
b. Legal and Regulatory Responsibilities. Risk management does not convey authority to deliberately disobey local, state, national, or HN laws and regulations. It justifies neither ignoring regulatory restrictions and applicable standards nor bypassing risk controls required by law.
c. Environmental Benefits of Risk Management. Risk management assists commanders in complying with environmental regulatory and legal requirements and operating within the higher commander's intent. Risk management provides leaders a tool to do the following:
Identify applicable environmental standards, laws, and rules of engagement (ROE) that affect the mission.
Identify alternate COAs or alternate standards that meet the intent of the law and the operational requirements.
Identify feasible and effective control measures where specific standards do not exist.
Ensure better use of limited resources, such as training areas and ranges.
Insure the health and welfare of soldiers and other effected personnel.
Minimize or eliminate damage to natural and cultural resources.
d. Risk Management Principles. Commanders use three risk management principles as described in FM 100-14 (FM 3-100.14) to guide environmental-risk decision making.
Integrate risk management into mission planning, preparation, and execution.
Make risk decisions at the appropriate level in the chain of command.
Accept no unnecessary risk.
e. The Five-Step Process. The following steps identify specific environmental considerations that the commander and staff must consider:
Step 1. Identify environmental hazards.
Step 2. Assess environmental hazards to determine the risk.
Step 3. Develop controls and make risk decisions.
Step 4. Implement the controls.
Step 5. Supervise and evaluate.
f. Knowledge of Environmental Factors. The knowledge of environmental factors is key to planning and decision-making. With this knowledge, leaders quantify risks, detect problem areas, reduce risk of injury or death, reduce property damage, and ensure compliance with environmental laws and regulations.
Step 1. Identify Environmental Hazards. Commanders and staffs identify environmental hazards during mission analysis. FM 100-14 (FM 3-100.14) defines hazards as any actual or potential condition that can cause injury, illness, or death to personnel; damage to or loss of equipment or property; or mission degradation. Environmental hazards include all activities that may pollute, create negative noise-related effects, degrade archaeological/cultural resources, or negatively affect, threaten, or endanger species' habitat.
Step 2. Assess Environmental Hazards to Determine the Risk. Risk assessment is a three-stage process used to determine the risk of potential harm to the environment. The three stages is to assess the probability of each hazard, assess the severity of each hazard, and determine the risk level of each hazard.
Assessments include two factors—probability and severity. Probability is how often an environmental hazard is likely to occur. Severity is the effect a hazard will have expressed in terms of the degree of injury or illness, loss of or damage to equipment or property, environmental damage, and other mission-impairing factors, such as loss of combat power.
Probability and severity are estimates that require individual judgment and a working knowledge of the risk management process and its terminology. Leaders must assess the probability and the potential severity of environmental damage. Commanders use common sense, past evaluations, higher commander guidance, historical data, lessons learned, and any other useful sources to determine the probability of an event occurring. Severity, however, attempts to quantify the amount of potential damage created by an event. While leaders must assess the probability of environmental damage, they must also determine how much damage the event would cause, regardless of the probability.
It is usually easier to determine probability than severity. Definitions for the degrees of severity are not absolutes; they are more conditional and related to mission, enemy, terrain, troops, time available, and civilian considerations (METT-TC). Leaders must use their experience, judgment, lessons learned, and subject matter experts to assist them in determining degrees of severity. The following examples of severity for archaeological, historical, or cultural sites provide leaders a frame of reference for what may be included when estimating degrees of severity.
- Catastrophic. Irreparable damage to or total loss of an irreplaceable site. Commanders can anticipate widespread public concern. Such damage will require notification of higher HQ, the public affairs office, and outside agencies.
Critical. Major physical damage to a historical/cultural structure. Restoration will be difficult, long-term, and costly and will require assistance and notification of higher HQ, the public affairs office, and outside agencies.
Marginal. Minor physical damage to historical/cultural structures, which can be restored with outside assistance. Units must report damage to higher HQ.
Negligible. Surrounding site damage from individual and vehicular activities will be easily repaired or restored by the unit. There is no physical damage to structures; however, the unit must report damage to higher HQ.
Step 3. A leader determines the risk level of each hazard. Then, using the defined degrees of probability and severity, and the risk assessment matrix, he determines the overall environmental-related risk level. The risk categories are as follows and are further illustrated in Figures 4-3 and 4-4:
Severity Rating |
Definition |
Catastrophic (I) |
Loss of ability to accomplish the mission or near mission failure, death or permanent total disability (accident risk), loss of major property (facility) damage, severe (strategic) 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 three months time (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 days due to injury or illness not exceeding three 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. |
Figure 4-3. Hazard Severity
Extremely high (E). Mission failure if hazardous incidents occur during mission. There is a frequent or likely probability of catastrophic loss (IA or IB) or frequent probability of critical loss (IIA).
High (H). Significantly degraded mission capabilities in terms of required mission standards. Degradation of a mission includes not accomplishing all parts of the mission; not completing the mission to standard (if hazards occur during the mission); occasional to seldom probability of catastrophic loss (IC or ID); a likely to occasional probability of a critical loss (IIB or IIC) occurring with material and soldier system; or frequent probability of marginal (IIIA) losses.
Moderate (M). Expected degraded mission capabilities in terms of required mission standard. Degradation may include reduced mission capability (if hazards occur during mission) or 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 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 seldom (IIIB through IIIE).
A leader determines the risk level of each hazard. Then using the defined degrees of probability and severity an individual can determine the overall environmental-related risk level from the intersection of the two in the risk assessment matrix shown in Figure 4-4.
Risk Assessment Matrix |
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Probability |
|||||
Severity |
Frequent (A) |
Likely (B) |
Occasional (C) |
Seldom (D) |
Unlikely (E) |
Catastrophic (I) |
E |
E |
H |
H |
M |
Critical (II) |
E |
H |
H |
M |
L |
Marginal (III) |
H |
M |
M |
L |
L |
Negligible (IV) |
M |
L |
L |
L |
L |
Figure 4-4. Risk Assessment Matrix
Step 4. Develop Controls and Make Risk Decisions. Controls eliminate or reduce the probability or severity of each hazard, thereby lowering the overall risk. Controls include of one the following categories—educational, physical, or avoidance.
Many environmental risk controls are simply extensions of good management, housekeeping, operations security (OPSEC), and leadership practices.
Once all feasible risk control measures are in place, some risk will always remain. This residual risk requires leaders' attention. Unit leaders inform their chain of command of the residual risk and its implications on the operation. The commander alone decides whether or not to accept the level of risk.
g. Implement Controls. Inform subordinates, down to individual soldiers, of risk control measures. State how each control will be implemented, and assign responsibility. This preparation requires leaders to anticipate environmental requirements and incorporate them into long-, short-, and near-term planning. The key to success is identifying the "who, what, where, when, and how" aspects of each control.
h. Supervise and Evaluate. Leaders and staffs continuously monitor controls throughout the operation to ensure their effectiveness and to modify controls as required. They also make on-the-spot corrections, evaluate individual and collective performance, hold those in charge accountable, and require that all tasks be performed to applicable environmental standards. Leaders ensure that the AAR process includes an evaluation of environmental-related hazards, controls, soldier performance, and leader supervision.
4-4. Summary. It is essential to include environmental considerations early and throughout the planning cycle. Unit leaders use risk assessment to estimate the impact of their unit activities on the natural environment and to identify environmental-related safety issues for their soldiers. Knowledge of environmental factors is the key to planning and decision making. Risk management does not convey authority to deliberately disobey local, state, national, or HN laws and regulations. Risk management assists commanders in complying with environmental regulatory and legal requirements and operating within the higher commanders' intent. Unit leaders should complete risk assessments before conducting training, operations, or logistical activities. Risk assessments assist leaders and their staff to identify potential environmental hazards, develop controls, make risk decisions, implement those controls, and ensure proper supervision and evaluation.