RASO-WA ARM SOP

ANNEXURES.

ANNEX B. ARM Levels and 6 Steps Process

ARM Process Levels

  1. The process can be used in three different ways or levels: in-depth, deliberate or time-critical. Deciding which of the three levels is necessary will be based on the situation, proficiency of personnel, and time available. While it would be preferable to perform ARM a deliberate or in-depth operational risk management process, the time and resources to do so will not always be available. One of the objectives of ARM training is to develop sufficient proficiency in applying the process such that ARM becomes an automatic or intuitive part of the decision-making methodology. The three levels are as follows:
  2. Strategic or in-depth ARM involves a very thorough risk assessment: research of available data, use of diagram and analysis tools, testing or long term tracking of the hazards associated with the operation are used to identify and process the hazards. It is used to more thoroughly study the hazards and their associated risks in the complexity of our aviation operations in which the hazards are not always well understood. Typically, it should be used at the start-up of a mission or at least once to determine the acceptable risk levels in air operations for one mission (scheduled and special flights, Air Traffic Management, infrastructure, geographical and meteorological conditions, threat situation, military day and night combat and combat support operations), etc...
  3. Deliberate ARM focuses more on operations or specific activities and also applies the complete, systematic six steps of the process but not necessarily into the level of details that an in-depth process would go. It should be used in the planning of specific operations or when evaluating new procedures and SOP. It primarily uses group experience and brainstorming to identify hazards and develop risk control measures.
  4. Time-Critical ARM is typically applied when in time critical situations, during or just prior to the execution of planned flying activities. It consists of a quick but complete mental or oral review of the situation using the six steps of the process to provide enough risk awareness to support the decision making process. It will systematically be applied by experienced responsible personnel to manage last minute changes in parameters affecting aviation operations. It re-evaluates processes that have already been risk managed, to determine the new risk level and the requirement for new risk control measures in a time-compressed situation. It supports the decision making process during the execution phase of aviation operations, as well as in planning during crisis response scenarios. It is particularly helpful in choosing the appropriate course of action when an unplanned event occurs during the execution of a planned or daily routine operation.

ARM 6 Steps Process

  1. HAZARD IDENTIFICATION
  2. Analyze tasks and mission:
  3. Review mission statement; Focus on key capabilities; Look at past accident patterns; Ask Ops people ‘What’s important?
  4. Use the time line.
  5. Operations analysis.
  6. Record hazards
  7. Source of information:
  8. Experts and references; Inspections, reports, interviews, audits; Hazard identification tools.
  9. Operations analysis, Preliminary hazard analysis, Zonal analysis, What if tool, Scenario process, Logic diagram, Changes analysis, Causes & effects and what can go wrong.
  10. Identify causes
  11. Investigation tools: J. Reason / SHELL - Human factors.
  12. RISK ASSESSMENT
  13. Analyze exposure to hazards: Time, Proximity, Volume and Repetition.
  14. Analyze severity (impact) on: Mission; People; Material; Environment.
  15. Qualitative measurement: Catastrophic, Critical, Moderate, Minor, and Negligible.
  16. Analyze probability:
  17. Quantitative measurement:
  18. Frequent, Occasional, Remote, Improbable, Extremely improbable.
  19. Risk matrix
  20. Will determine the risk level.
  21. RISK MITIGATION (analysis of risk reduction options)
  22. Options:
  23. Reject, don’t take the risk.
  24. Avoid - do it differently.
  25. Delay- Wait, problem may disappear.
  26. Transfer - to other systems, other better trained / equipped.
  27. Spread - reduce exposure, change mission profile, separate hazardous operations.
  28. Compensate - create a redundant capability; Plan for a back-up.
  29. Reduce- design, safety devices, warning devices, procedures, training.
  30. Effect of measures:
  31. Impact on: Probability; Severity; Exposure.
  32. Prioritize: Urgency, Residual risk, Cost / Effectiveness.
  33. RISK DECISION (choice of risk mitigation measures)
  34. Residual risk - Acceptable?
  35. Accept the plan as is. Benefits outweigh risks and total level of risk is low enough to justify the proposed action if something goes wrong.
  36. Reject the plan out-of-hand. Risk is too high to justify the operation in any form. The plan was probably faulty in some manner, or the objective was not that important.
  37. Modify the plan to develop measures to control risk. The plan is valid, but the current concept does not adequately minimize risk. Further work to control the risk is necessary before proceeding.
  38. Elevate the decision to higher authority. The risk is too great for the decision-maker to accept, but all measures of controlling risk have been considered. If the operation is to continue, a higher authority must make the decision if the mission is worth it, and accept the risk.
  39. Decision of acceptable risk:
  40. At the right time / at the right level:
  41. Which is greater, the risk of doing or the risk of not doing it?
  42. How important is the activity?
  43. Will the anticipated gains justify accepting a high level of risk?
  44. Has enough been done to lower the risk to a level that is reasonable to expect staff and or contractors to take?
  45. How the Mission’s reputation and operations would be affected if the activity ends up in a catastrophic outcome?
  46. IMPLEMENT RISK CONTROL MEASURES
  47. Clearly implement measures.
  48. Involve all operational personnel,
  49. Considers organizations culture,
  50. Provide guidance,
  51. Coordinate when / where necessary.
  52. Establish responsibilities.
  53. Use power command and leadership,
  54. Create positive incentives, motivate,
  55. Make people accountable. Accountable person is the one making the risk decision! Make sure the decision happens at the RIGHT LEVEL.
  56. Give the necessary support. Demonstrate management commitment.
  57. Policy, tools, training.
  58. Information, databases.
  59. Feedback on results.
  60. SUPERVISE & FEEDBACK
  61. Supervise the process.
  62. Monitor effectiveness of measures. Manage changes, correct if where necessary.
  63. Review efficiency of measures.
  64. Determine the need for further assessment.
  65. Feedback.
  66. Capture lessons learned - briefings, / reports.

ANNEX C. Integrated Risk Matrix (DFS ARM – DS SRM) and Likelihood / Severity criteria tables

RISK MATRIX / SEVERITY / IMPACT
UN DFS - AV. ORM / Insignificant / Minor / Moderate / Major / Catastrophic
UN DSS - SRM / Negligible / Minor / Moderate / Severe / Critical
(*)Very low: 1A, 5E; Low: 1C, 3E / 1A / 2 / 3 / 4 / 5
LIKELIHOOD / Frequent / A / 1A (*)
Medium / 2A
Medium / 3A
High / 4A
Very High / 5A
Unacceptable
Very likely
Occasional / B / 1B
Low / 2B
Medium / 3B
Medium / 4B
High / 5B
Very High
Likely
Possible / remote / C / 1C (*)
Low / 2C
Low / 3C
Medium / 3A
Medium / 5C
High
Moderately likely
Unlikely / improbable / D / 1D
Very low / 2D
Low / 3D
Low / 4D
Medium / 3A
Medium
Unlikely
Exceptional / E / 1E
Very low / 2E
Very low / 3E (*)
Low / 3A
Low / 5E(*)
Medium
Very unlikely
Likelihood
DFS - AV. ORM / STATISTICS / HISTORY
DSS - SRM
LIKELIHOOD / Frequent / A / > 0.5 occurrence / 10,000 Hs
> 1 in 10 / Is expected to occur in most circumstances;
Has already occurred frequently;
Very likely
Occasional / B / 0.005 – 0.5 occurrence / 10,000 Hs
1 in 10-100 / Will probably occur at some time;
Likely to occur sometimes;
Has occurred infrequently;
Likely
Possible / remote / C / 0.001 – 0.005 occurrence / 10,000 Hs
1 in 100-1000 / Might occur at some time;
Reasonable to occur within the assessed time frame;
Moderately likely
Unlikely / improbable / D / 0,00001 – 0.001 occurrence / 10,000 Hrs.
1 in 1000 – 10000 / Could occur at some time;
Doubtful to occur within the assessed time frame;
Unlikely
Exceptional / E / 0,00001 – 0.001 occurrence / 10,000 Hrs. / May occur only in exceptional circumstances;
Not known to have occurred;
Unrealistic to occur within the assessed time frame.
Very unlikely
Severity / Impact and Consequences
Criteria / Risk Categories
DFS - AV. ORM / Safety of the aircraft / People / Asset / System
Processes / Reputation
DSS - SRM
Insignificant / No significant to aircraft related safety. / Injuries or ailments not requiring medical treatment / Up to 20% damage. / Minor errors in processes requiring corrective actions. No significant impact on mission. / Internal review.
Negligible
Minor / Degrades or affects normal aircraft operational procedures or performance. / Minor injury
First aid treatment / Up to 40% damage. / System slightly affected;
Process review required;
Some mission objectives not achieved. / Internal scrutiny.
Minor
Moderate / Partial loss of significant/major aircraft systems or results in abnormal flight operations procedure application. / Serious injury w hospitalization
Multiple medical treatment / Up to 60% damage. / Partial system degradation
Mission; compromised not entirely accomplished. / Scrutiny required by external bodies, Auditor General, etc.
Moderate
Major / Complete loss of significant/major aircraft systems or results in emergency application of flight operations procedures. / Life threatening injury
Multiple serious injuries with hospitalization / Up to 80% damage. / Critical system degradation;
Mission seriously degraded. / Intense political, public and media scrutiny
TV, Front page.
Severe
Catastrophic / Aircraft/hull loss. / Death
Multiple life threatening injuries / More than 80% damage. / System failure;
Mission failure. / BOI
External investigation
Adverse Media.
Critical

ANNEX D. Aviation Risk Assessment Team and Senior Level Committee Roles in ARM Process for ‘Flight missions’ with a residual level of risk high or very high

  1. Aviation Risk Assessment Team (ARAT)
  2. Purpose: to continue with the risk assessment process, including the full identification of all the risks, mitigation measures, and residual risks for flight missions with a residual level of risk high or very high;
  3. Composition: Aviation, Aviation Safety, relevant Military components, UN DSS and other parties representatives involved in the activity;
  4. Chairperson: Chief Aviation Officer
  5. Procedures:
  6. Review for factual accuracy the completed ‘Flight Planning Risk Management Form’ (Annex G) for the flight mission with an assessed residual level of risk high or very high.
  7. Gather more information from all relevant sources in order to ensure a thorough hazard identification process;
  8. Record all identified hazards in the ‘PEACE Model Form’ (Annex H) and thoroughly complete the subsequent ARM steps 2 to 5;
  9. Submit the completed ‘PEACE Model Form’ approved by the Chairperson to the ‘Senior Level Committee’.
  10. Senior Level Committee (SLC)
  11. Purpose: to make a recommendation to the Head of the Mission on whether a proposed flight mission, with an assessed residual level of risk high or very high, should be conducted;
  12. Composition: Deputy SRSG, DMS/CMS, Chief of Staff, CSA, Legal Advisor, relevant Directors and the requestor of the aviation activity;
  13. Chairperson: Chief of Staff
  14. Procedures:
  15. Perform ARM an overall review of the ARM process conducted for the planned aviation activities for which the residual level of risk is confirmed as ‘High’ or ‘Very High’ by the ‘Aviation Risk Assessment Team’;
  16. Recommend to the Decision Maker to authorize, modify or cancel the flight mission based on the following considerations:
  17. Which is greater, the risk of doing or the risk of not doing it?
  18. How important is the activity?
  19. Will the anticipated gains justify accepting a high level of risk?
  20. Has enough been done to lower the risk to a level that is reasonable to expect staff and or contractors to take?
  21. How the Mission’s reputation and operations would be affected if the activity ends up in a catastrophic outcome?
  22. Attach the recommendation, signed by the Chairperson, to the ‘PEACE Model Form’ prepared by the ARAT, and submit both documents to the Head of Mission.

ANNEX E. Pilot in Command - Aviation Risk Management (ARM) Checklist

  1. This checklist has to be completed by the PIC before every flight and if the answer to any of the questions is ‘No’, the flight has to be either cancelled or postponed until all answers are in the affirmative.

Area / Yes / No / Comments
Pre-flight
1. UN planning approved Av. ARM analysis form (Annex G or H) provided and found acceptable?
2. Pre-Mission briefing including updated integrated threat assessment completed and acceptable?
3. Mission Planning:
  1. Aircraft performance OK for the mission;
  2. Destination and flight route analysed;
  3. NOTAMS verified and OK for the mission;
  4. Weather Forecast OK for the mission;
  5. Fuel Requirements verified;
  6. Weight and Balance sheet prepared;
  7. Flight / Security Clearances available;
  8. Operational Flight Plan completed and a copy provided to UN Aviation representative.

Aircrew
1. Adequate crew rest.
2. Crew experienced and current for type of mission to be flown (night, IFR, etc.)
3. Crew healthy and fit to fly.
4. Crew familiar with route, terrain, approaches, etc. (maps annotated properly).
5. Required flight equipment.
Mission
1. Complies with crew's Civil Aviation Authority / Military directives.
2. Complies with Host nation AIP.
3. Complies with UN directives.
Aircraft
1. Aircraft is safe and airworthy.
2. Aircraft systems in correct working order.
3. Necessary equipment onboard and working to accomplish the flight.
4. Status of maintenance deficiencies checked.
5. Time until next scheduled maintenance checked.

Signature of Pilot-in-Command ______

Call Sign:______Date:______

ANNEX F. Risk Management Effort Chart – Planning of Aviation Activities

ANNEX G - Flight Planning Risk Management Form

Type of aircraft / FW / RW / Date
Type of mission

Av. ARM Analysis: Step 1 – Hazard identification

N° / AREA / Y / N / REMARKS / HAZARDS
1 / Aircraft availability vs. min. required
2 / Crew availability
3 / Time & distance calculation
-Within endurance
-Within daylight / -- / --
4 / Passengers + luggage within limits?
5 / Destination: / -- / --
5A / - SRA approved
5B / -Integrated threat assessment. Updated (24 hrs.)
5C / -Communication - MAOC & POC
5D / -Communication – A/C & POC
5E / -Included in HLS directory
5F / -ATC
5G / -NAVAIDS
5H / -METEO information
5I / -Nearby safe heavens
5J / -A/C technical failure
6 / Route: / -- / --
6A / -Out of urban areas
6B / -Nearby safe havens (45 min max.)
6C / -Threat Assessment Updated (24hrs)
6D / -Fuel at safe havens
6E / -Restricted / Prohibited areas / UAS ops.
6F / -ATC
6G / -METEO information
6H / -Forced landing or A/C technical failure
7 / Risk Assessment completed and approved
8 / Special Flight Request approval
9 / NOTAMS (route & destination)
10 / PPR / Dip. Clearance (landing & over flight)
11 / Ground support
12 / ATO (preparation & approval)

Av. ARM Analysis: Step 2 – Risk Assessment & Step 3 - Risk Mitigation

N° / CONSEQUENCES / L / S / R / Risk Mitigation Measures / RL / RS / RR
-
-
-
-
-
-

Residual Risk impact on (risk categories):

Safety of the aircraft / People / Asset / System Processes / Reputation

Descriptor(s):

Overall Residual Risk Level:

Unacceptable / Very High / High / Medium / Low / Very Low
5A / 5B – 4A / 5C, 4B, 3A / 1A, 2A, 2B, 3B, 3C, 4C, 4D, 5D, 5E / 1B, 1C, 2C, 2D, 3D, 3E, 4E / 1D, 1E, 2E
--- / Head of Mission (*) / DMS / Section Chief

(*) After review by ARAT and recommendation from SLC

Overall Residual Risk Level Criteria (i.a.w. Table 1 of Av. ARM SOP):

Av. ARM Analysis: Step 4 – Risk Decision & Step 5 – Implementation of Risk Mitigation Measures

Personnel to be informed of the Mitigation Actions: (notify them before commencing the activity)

Feedback required before execution:

Performed by (name / signature): / Date
Supervised by (name / signature): / Date
APPROVED / MODIFY PLAN / CANCELLED
Comments:
D-M Authority (name / signature): / Date

ANNEX G - Flight Planning Risk Management Form- Instructions

  1. The ‘Flight Planning Risk Management Form’ is to be used by MAOC Planning Cell to perform ARM deliberate ARM analysis of all non-routine planned air missions i.e. not included in the regular flight schedule;
  2. Av. ARM analysis – Step 1 – Hazard Identification
  3. The first page of this ‘Risk Management Form’ (RMF) is presented as an example of a ‘tailored checklist’ for the conduct of the Av. ARM Step 1 - Hazard identification;
  4. The functions of an Av. ARM ‘tailored checklist’ are:
  5. Verify compliance with the steps / tasks / requirements of a process/activity;
  6. Identification of hazards / deficient conditions for the execution of the activity.
  7. An Av. ARM ‘tailored checklist’ MUST be adapted (tailored) to the planning process’ steps / controls required by the operational context of each Mission;
  8. Items 1 to 6H are examples of areas / issues which need to be verified for the presence of hazards or deficient conditions for the execution of the activity;
  9. Items 7 to 12 are examples of process’ steps, which the Mission utilizing this f ARM requires to be verified only after the RMF is approved.
  10. Av. ARM analysis – Step 2 to 5
  11. The second page of this RMF is standard for all UN DFS supported Missions ‘Av. ARM - Risk Management Forms’ as it permits the systematic documentation of the Av. ARM Steps 2 to 5;
  12. For each identified hazard or deficient condition recorded in the first table, the consequences must be determined and their associated level of risk assessed i.a.w. ANNEX C. Integrated Risk Matrix (DFS ARM – DS SRM) and Likelihood / Severity criteria tables;
  13. For each consequence, required risk mitigation measures must be identified and recorded;
  14. Once all risk mitigation measures have been recorded, reassess and record the residual level or risk of the consequences of the hazard considering the implementation of the risk mitigation measures;
  15. Mark the risk category(s) of the residual risks and record their descriptors i.a.w. the severity/impact criteria table;
  16. Mark the overall residual level of risk and include the correspondent criteria descriptor i.a.w. the Table 1 of the Av. ARM SOPs – Risk Levels Classification Criteria;
  17. Determine the personnel that need to informed on the developed risk mitigation strategy;
  18. Determine the feedback that would be required to ensure that the risk mitigation measures have been implemented before proceeding with the flight mission;
  19. Sign off the f ARM and present it to your supervisor / Section Chief;
  20. Once signed off by the supervisor / Section Chief, process it i.a.w. with the Table 2 of the Av. ARM SOPs – Risk Acceptability and Decision Making Structure;
  21. Av. ARM Step 6 will be done through the different TCQA / Safety Assurance activities and feedback from personnel involved in the operation.

ANNEX H – PEACE Model Risk Management Form

Type of mission / Date

Av. ARM Analysis: Step 1 – Hazard identification

Any hazards or changes in these areas? / Y/N / If yes, describe the change
P / Planning / Y
Thoroughness of pre-mission planning.
Risk factors: no systematic ARM analysis; lack of time / detailed information / instructions / adequate briefings / aids-pictures , no adequate aviation threat assessment, etc.
E / Event / Y
Refers to mission complexity, criticality, time and guidance.
Risk factors: sketchy details or non-standard mission profile, confused or unclear aim, lack of clear SOPs, longer exposure, last minute changes, critical for the Mission, VIPs, external visibility, etc.
A / Asset (crew – aircraft – support equipment) / Y
Selection of appropriate resources.
Risk factors: crew/team time in Mission / unfamiliar with the area / fatigue / experience / rest / qualifications; asset suitability / status of the equipment on board - ground, etc.
C / Communications & Supervision / Y
Proper communications, all parties’ informed & effective supervision.
Risk factors: range, obstacles, not adequate equipment, inadequate or no supervision, no ground support staff, no point of contact at destination, etc.
E / Environment / Ground facilities / Y
External conditions affecting personnel & asset performance.
Risk factors: mgt. pressure, weather, night, illumination, terrain, obstructions, alternate, security threat, S&R availability, facilities/support at destination, etc.

Av. ARM Analysis: Step 2 – Risk Assessment & Step 3 - Risk Mitigation