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NOAA SECO 10-23-2005 1
NOAA RISK MANAGEMENT
Presented by:
Safety and Environmental Compliance Office
NOAA SECO 10-23-2005 2
1. NOAA Risk Management Fundamentals1.1 Definition of Risk and Risk Management
1.2 Responsibility for NOAA Risk Management
1.3 Governance - Risk Management Policy
1.4 Governance Structure for Risk Management
1.5 Framework for Risk Management
1.6 Factors governing the Risk Management decision
1.7 The Risk Management Process
2. Risk Management Best Practise
3. Relationship between Risk Management and Internal Audit
4. Practical Implications for Municipalities
5. Conclusion
Agenda
NOAA SECO 10-23-2005 3
NRM
NOAA SECO 10-23-2005 4
The impact of uncertain future events that could influence the achievement of an organization’s objectives.Risk directly impacts on the service delivery objective of the organization, because it manifests as the chance of a loss due to adverse events:
Interruptions to service delivery and loss of personnel property and equipment.Consequences of loss of services, property and equipment and revenue on the (balance sheet, performance against budget)
Risk creates uncertainty and makes planning difficult
What is Risk?
Risk Management Fundamentals
NOAA SECO 10-23-2005 5
Risk Management Fundamentals
• Risk management focuses on the ability of the organization to meet objectives in the future by identifying risk and making decisions to manage these risks
• Risk management starts with the strategic planning process
• Risk Management is a dynamic, ongoing assessment, decision-making and implementation process that is integrated with management activities
• Risk Management uses instruments such as Job Safety Analysis (JSA’s), control processes, strategy/product changes, research/intelligence, risk shifting to control, eliminate or reduce risk.
What is Risk Management?
NOAA SECO 10-23-2005 6
Risk Management FundamentalsWho is responsible for risk management ? NOAA Perspective
EACH LINE/STAFF OFFICE and EVERY NOAA EMPLOYEEThe ENTIRE NOAA ORGANIZATION is responsible for managing operational risk, from the Senior Executive to the employee in the field, the Organization must for this purpose, take all reasonable steps to ensure;
i. that the organization has and maintains effective, efficient and transparent systems of safety and risk management and internal control; and
ii. of internal audit operating in accordance with any prescribed norms and standards.
INTERNAL AUDITORSThe internal auditors at the operational level of the organization or LECO’s must
i. Prepare a risk- based audit plan and internal audit program for each job/task; using job safety analysis (JSA)
ii. Advice management and report to the audit findings to the safety committee on the implementation of the internal audit plan and matters relating to risk and risk management
NOAA SECO 10-23-2005 7
Risk Management Fundamentals
• Risk appears across all departments, disciplines, individuals and activities within our organization.– Every role/job deals with some aspect of risk– The Office Employee, Safety Audit Team, The Scientist,
Ship’s Cook, Ship’s Captain, The Aircraft Pilot, Utility-Man and Electrician, etc all deal with risk on their own
• In other words - Everyone is responsible!– Executives and Managers – Management of risk,
decision making– Employees – Implementation, vigilance
Who is responsible for risk management ? Practical Perspective
Management cannot transfer or outsource the responsibility for risk management !
NOAA SECO 10-23-2005 8
NOAA RISK MANAGEMENT CONCEPT
• All are responsible for using NRM.
• Risk is inherent in all operations.
• Risk can be controlled.
NOAA SECO 10-23-2005 9
NOAA RISK MANAGEMENT(NRM) will…
• Expand operational capabilities in virtually all areas.
• Significantly enhance overall decision making skills.
• Power-down decision making.
• Make NRM the leading edge of improved employee-management relations.
• Provide a budgetary tool for fiscal decision making
• Cut losses significantly.
RiskBenefit
NOAA SECO 10-23-2005 10
NOAA RISK MANAGEMENT4 KEY PRINCIPLES
Four principles govern all actions associated with risk management. These continuously employed principles are applicable before, during and after all tasks and operations.
1. Accept no unnecessary risks.2. Make risk decisions at the appropriate
level.3. Accept risks when benefits outweigh
costs.4. Integrate NRM into operations and planning at all
levels.
NOAA SECO 10-23-2005 11
NOAA RISK MANAGEMENT6-STEP PROCESS
1. Identifythe Hazards
2. Assessthe Risks
3. Analyze Risk Control
Measures
4. MakeControl
Decisions
5. ImplementRisk Controls
6. Superviseand Review
NOAA SECO 10-23-2005 12
NOAA RISK MANAGEMENTStep 1. IDENTIFY THE HAZARDSThe purpose is to identify as many hazards
as possible. A hazard can be defined as any real or potential condition that can
cause mission degradation, injury, illness, death or damage to property.
NOAA SECO 10-23-2005 13
NOAA RISK MANAGEMENTHAZARD IDENTIFICATION TOOLS
Tool Purpose MethodOperation Analysis
To understand the flow of events.
List events in sequence. May use time checks.
Preliminary Hazard Analysis
To get a quick survey of all phases of an operation.
Tie it to the OA. Quickly assess hazards using scenario thinking, brainstorming and SMEs.
“What If” To capture the input of operational personnel in a brainstorming-like environment.
Choose an area (not an entire operation), get a group and generate as many as what ifs as possible.
NOAA SECO 10-23-2005 14
NOAA RISK MANAGEMENTHAZARD IDENTIFICATION TOOLS
Tool Purpose Method
Scenario Process Tool
To use imagination and visualization to capture unusual hazards.
Using the OA as a guide, visualize the flow of events.
Logic Diagram To add detail and rigor to the process through the use of graphic trees.
Three types of diagrams- positive, negative and risk event.
Change Analysis To detect the hazard implications of both planned and unplanned change.
Compare the current situation to a previous situation.
NOAA SECO 10-23-2005 15
NOAA RISK MANAGEMENTStep 2. ASSESS THE RISKS
Risk is the probability and severity of loss from exposure to the hazards. The assessment step is the application of quantitative or qualitative measures to determine the level of risk associated with a specific hazard. Use the Risk Assessment Code Matrix to help you prioritize the risks.
NOAA SECO 10-23-2005 16
NOAA RISK MANAGEMENTRISK ASSESSMENT CODE
MATRIX
Frequent Likely Occasional Seldom Unlikely
Catastrophic 1 1 2 3 3
Critical 1 1 2 3 4
Major 1 2 3 4 4
Minor 2 3 4 4 5
SEVER ITY
EVENT PROBABILITY
Negligible 2 3 4 4 5
NOAA SECO 10-23-2005 17
NOAA RISK MANAGEMENTRISKS ASSESSMENT CODE
SeverityCatastrophic - Complete mission failure, death or loss of a
system.
Critical - Chief mission degradation, severe injury, occupational
illness or major system damage.Major - Key mission degradation, injury, minor occupational
illness, or minor system damage.
Minor - Trivial mission degradation, injury, occupational illness,
or minor system damage. Negligible - Less than minor mission degradation, injury,
occupational illness, or minor system damage.
NOAA SECO 10-23-2005 18
NOAA RISK MANAGEMENTRISKS ASSESSMENT CODE
ProbabilityFrequent – Occurs often career/equipment service life
(Continuously)Likely – Occurs several times in career/equipment life
(Occurs frequently)Occasional – Occurs sometime in career/equipment life
(Occurs sporadically)Seldom – Possible to occur in career/equipment life
(Remote chance of occurrence)Unlikely – Can assume will not occur in career/equipment
life (possible, but improbable)
NOAA SECO 10-23-2005 19
NOAA RISK MANAGEMENTStep 3. ANALYZE RISK CONTROL
MEASURES
Investigate specific strategies and tools that reduce, mitigate, or eliminate the risk.
Effective risk control measures reduce or eliminate one of the three components (probability, severity or exposure) of risk.
NOAA SECO 10-23-2005 20
NOAA RISK MANAGEMENTStep 3. ANALYZE RISK CONTROL
MEASURES (cont’d)Reject – We can and should refuse to take a risk if the overall
costs exceeds its mission benefits.
Avoid – Avoiding the risk altogether requires canceling or delaying the job, mission, or operation, but is an option that is rarely exercised.
Delay – It may be possible to delay a risk if there is no time deadline or other operational benefit for a quick accomplishment of a risky task.
Spread – Risk is commonly spread out by either increasing the exposure distance or by lengthening the time between exposure events.
NOAA SECO 10-23-2005 21
NOAA RISK MANAGEMENTStep 3. ANALYZE RISK CONTROL
MEASURES (cont’d)Compensate – We can create redundant capability in certain
circumstances (back-up plans)
Reduce – The overall goal of NRM is to plan missions or design systems that do not contain hazards. A proven order of precedence for dealing with hazards and reducing the resulting risks is:
1. Plan or design for minimum risk
2. Incorporate safety devices
3. Provide Warning devices
4. Develop procedures and training
NOAA SECO 10-23-2005 22
NOAA RISK MANAGEMENTStep 3. ANALYZE RISK CONTROL
MEASURES (cont’d)
The following options assist in identifying potential controls:
Engineer Train and Educate
Guard Warn
Improve Task Design Motivate
Limit Exposure Reduce Effects
Selection of PersonnelRehabilitate
NOAA SECO 10-23-2005 23
NOAA RISK MANAGEMENTStep 4. MAKE CONTROL
DECISIONS
After controls have been selected to eliminate hazards or reduce their risk, determine the level of residual risk for the selected tasking, mission and/or course of action.
NOAA SECO 10-23-2005 24
NOAA RISK MANAGEMENTStep 4. MAKE CONTROL
DECISIONS (cont’d)• Accept the plan as is. - Benefits outweigh risks (costs), and total
risk is low enough to justify the proposed action if something goes wrong. The decision maker must allocate resources to control risk. Available resources are time, money, personnel, and/or equipment.
• 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.
• 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.
• 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 or task is worth it, and accept the risk.
NOAA SECO 10-23-2005 25
NOAA RISK MANAGEMENTStep 4. MAKE CONTROL
DECISIONS (cont’d)• Make Risk Decisions at the Appropriate Level –
Factors below become the basis of a decision-making system to guide leaders:
• Who will answer in the event of a mishap?• Who is the senior person at the scene?• Who possesses best insight into the full benefits and costs of a risk.• Who has the resources to mitigate the risk?• What level makes the most operational sense?• What level makes these types of decisions in other activities?• Who will have to make this decision in/during field operations?
NOAA SECO 10-23-2005 26
NOAA RISK MANAGEMENTStep 5. IMPLEMENT RISK
CONTROLS Once the risk control decision is made, assets must be
made available to implement specific controls. Part of implementing control measures is informing the personnel in the system of the risk management process results and subsequent decisions. Careful documentation of each step in the risk management process facilitates risk communication and the rational processes behind risk management decisions.
• Make Implementation Clear• Establish Accountability• Provide Support
NOAA SECO 10-23-2005 27
NOAA RISK MANAGEMENTStep 6. SUPERVISE AND REVIEW
Risk Management is a process that continues throughout the life cycle of the system, mission or activity. Leaders at every level must fulfill their respective roles in assuring controls are sustained over time. Once controls are in place, the process must be periodically reevaluated to ensure their effectiveness.
NOAA SECO 10-23-2005 28
NOAA RISK MANAGEMENTStep 6. SUPERVISE AND REVIEW
(cont’d) Supervise – Monitor the operation to ensure:• Controls are effective and remain in place.• Changes which require further risk management are
identified.• Action is taken when necessary to correct ineffective risk
controls and reinitiate the risk management steps in response to new hazards.
• Anytime the personnel, equipment or mission taskings change or new operations are anticipated in an environment not covered in the initial request management analysis, the risks and control measures should be re-evaluated.
• Successful mission performance is achieved by shifting the cost versus benefit balance more in favor of benefit through controlling risks.
NOAA SECO 10-23-2005 29
NOAA RISK MANAGEMENTStep 6. SUPERVISE AND REVIEW
(cont’d)Review – After assets are expended to control risks, then
a cost benefit review must be accomplished to determine if risk and cost are in balance.
• Is the actual cost in line with expectations?• What effect did control measures have on performance?• Was a mission feedback system established to ensure that
the corrective or preventative action taken was effective?• Was documentation available to allow a review of the risk
decision process?• What measurements were in place to ensure accurate
evaluations of how effectively controls eliminated hazards or reduced risks.
NOAA SECO 10-23-2005 30
NOAA RISK MANAGEMENTStep 6. SUPERVISE AND REVIEW
(cont’d)
Feedback – Feedback informs all involved as to how the implementation process is working and whether or not the controls were effective. Feedback can be in the form of briefings, lessons learned, cross-tell reports, benchmarking, database reports, accident illness reports, etc.
NOAA SECO 10-23-2005 31
NOAA RISK MANAGEMENTTHE 5M CONCEPT
The 5M concept is a commonly used tool to graphically illustrate the relationship that exists in
any typical process. In this case, the dynamic
interaction of the man, the machine and the media
(environment) converge to produce either a successful mission or if unsuccessful, a
mishap. Management provides guidance, policy
and standards.
NOAA SECO 10-23-2005 32
NOAA RISK MANAGEMENTTHE 5M CONCEPT (cont’d)
Man – category encompasses all NOAA employees. It includes training, selection, proficiency, habit patterns, performance and personal factors. In risk assessment, the operator is always an essential element, i.e., and the human who operates the machine within a media under management criteria. Some of these human elements are:
• Selection: right person emotionally/physically trained in event proficiency, procedural guidance and habit pattern.
NOAA SECO 10-23-2005 33
NOAA RISK MANAGEMENTTHE 5M CONCEPT (cont’d)
• Performance: awareness, perceptions, saturation, distraction, channelized attention, stress, peer pressure, confidence, insight, adaptive skills, pressure/workload, fatigue (physical, motivational, sleep deprivation, circadian rhythm, klutz).
• Personal Factors: Expectancies, job satisfaction, values, families/friends, command control, discipline (internal and external), modeling, pressure (over tasking) and communication skills.
NOAA SECO 10-23-2005 34
NOAA RISK MANAGEMENTTHE 5M CONCEPT (cont'd)
Media – is the environment with which employees operate. This includes climate, terrain and noise/distractions. These external, largely environmental forces vary and must be considered when assessing risk:
• Climatic: Temperature, seasons, precipitation, aridity and wind.
• Operational: Routes, surfaces, terrain, vegetation, obstructions and constrictions.
• Hygienic: Vent, noise, toxicity, corrosives, dust and contaminants.
• Vehicular/Pedestrian: paved, gravel, dirt, ice, mud, dust, snow, sand, hilly, curvy.
NOAA SECO 10-23-2005 35
NOAA RISK MANAGEMENTTHE 5M CONCEPT (cont'd)
Machine – the Machine category encompasses any tool and/or equipment an employee may use or operate. The machine category includes it’s design, it’s maintenance, technical orders and its user perception. This can be as simple as a necropsy knife to a multi-million dollar aircraft and consist of:
• Design: engineering and user friendly (ergonomics).• Maintenance: Training, time, tools and parts.• Logistics: supply, upkeep and repairs.• Tech Data: clear, adequate, useable and available.
NOAA SECO 10-23-2005 36
NOAA RISK MANAGEMENTTHE 5M CONCEPT (cont'd)
Management – is the final coordinating category. Management provides the enforcement and establishment of standards, procedures and controls. It drives the interaction between MAN, MEDIA, MACHINE and MISSION. Management dictates the process by defining Standards, Procedures and Controls.
There is significant overlap between Man, Machine, Mission and Media because these elements interrelate directly, but the critical element is Management. Any breakdown within the man, machine, mission or media must viewed as an effect of management performance. When outcome fails to meet anticipated goals, these
NOAA SECO 10-23-2005 37
NOAA RISK MANAGEMENTTHE 5M CONCEPT (cont'd)
5 M’s must be thoroughly reassessed. Management is the controlling factor in defining the process of either production success or failure.
Mission – The desired outcome. Successful missions, or mishaps do not just happen, they are indicators of how well a system is functioning. The basic cause factors for mishaps fall into the same categories as the contributors to successful missions - Man, Media, Machine and Management.
NOAA SECO 10-23-2005 38
Objective:
Step 1.Identify Hazards
Step 2.Assess Hazards
Step 3.Make Risk Decisions
Step 4.Implement Controls
Step 5.Supervise
OperationPhases
Hazards Causes InitialRAC
DevelopControls
ResidualRAC
How to Implement How to Supervise
Risk Assessment Code: RAC
Catastrophic=1 Critical=2 Major=3 Minor=4 Negligible=5Accept Risks: Yes NoComo with higher: Yes No
Lessons Learned:
Date Worksheet Prepared: _________________
NOAA SECO 10-23-2005 39
Risk Management WorksheetPAGE ______ OF ______
1. OBJECTIVE/TASK: 2. DATE/TIME BEGIN: 3. DATE PREPARED:
4. PREPARED BY: (Rank, Name, Duty Title)
5. HAZARDS Step 1
6. RISK LEVEL Step 2
7. CONTROL(S) Step 3
10. HOW TO IMPLEMENT Step 4
11. WHOIMPLEMENTS Step 5
12..STATUS (Y/N) Step 6
8. OVERALL RISK LEVEL AFTER CONTROLS ARE IMPLEMENTED (Circle one)
Step 39. RISK DECISION AUTHORITY
1=Catastrophic 2=Critical 3=Major 4=Minor 5=Negligible
RISK MANAGEMENT WORKSHEET
NOAA SECO 10-23-2005 40
WORKSHEET INSTRUCTIONSBlock1-4 Self-explanatory5. Identify Hazard: Objective is to ID those things most likely to have a negative impact
on the mission.6. Assess Risk: Determine risk of each hazard using the Risk Assessment Matrix. In
Block 6, enter the risk level for each hazard, i.e., 5-Negligible, 4-Critical, 3-Minor, 2-Major, or 1-Catastrophic.
7. Develop Controls: Develop one or more controls for each hazard to reduce its risk. As needed, specify who, what, where, when, and how for each control.
8. Determine Mission/Task Risk: From Block 8, identify hazard with highest residual risk. This is the overall risk for the task/mission. Circle the appropriate risk level in Block 9.
9. Make Risk Decision: Decide to accept or not accept the residual risk for this mission/task. Unit commander will determine authority and level for risk acceptance. Decisions for high and extremely high risk levels should be elevated up the chain of command.
10. Implement Controls: Decide how each control will be put into effect/communicated to the personnel who will make it happen (written instructions, operating instructions, checklists, dry-runs). Enter in Block 10.
11. Supervise: Show how each control will be monitored to ensure proper implementation (i.e., continuous supervision, spot checks, etc.). Enter in Block 11.
12. Evaluate: After mission/task is complete, determine effectiveness of each control in reducing the risk of the targeted hazard. Indicate in Block 12 Y (yes) if the control was effective or N (no) if the control was ineffective. For those controls which were not effective, determine why and what to do the next time this hazard is identified. For example change the control or change how the control will be implemented/supervised.
NOAA SECO 10-23-2005 41
Action 1:Mission/task
analysis
Action 2:List
Hazards
Action 3:List
Causes
STEP 1 IDENTIFY THE HAZARD
STEP 2 ASSESS THE RISK
Action 1:Assess hazard
exposure
Action 2:Assess hazard
severity
Action 3:Assess mishap
probability
Action 4:Complete
assessment
STEP 3 ANALYZE RISK CONTROL MEASURES
Action 1:Identify control
options
Action 2:Determine control
effects
Action 3:Prioritize risk
control measures
STEP 4 MAKE CONTROL DECISIONS
Action 1:Select Risk Controls
Action 2:Make Risk Decisions
STEP 5 IMPLEMENT RISK CONTROLS
Action 1:Make implemen-
tation clear
Action 2:Establish
accountability
Action 3:Providesupport
STEP 6 SUPERVISE AND REVIEW
Action 1:Supervise
Action 2:Review
Action 3:Feedback
NRM Cheat Sheet HAZARD SEVERITY CATEGORIESI Catastrophic - Complete mission failure, death, or system loss.II Critical – Chief mission impact, severe injury, or major system damage.
III Major - Key mission impact, minor injury, or minor system damage.IV Minor – Trivial mission impact, minor injury, or minor system damage.
V Negligible - Little mission impact, injury, or damage. HAZARD PROBABILITY CATEGORIESA Frequent - Item: occurs often. Fleet: continuous. Individual: occurs often. All: continuous.B Likely - Item: occurs several times. Fleet: frequently. Individual: occurs several times. All: frequently.C Occasional - Item: will occur. Fleet: several times. Individual: will occur. All: sporadic.D Seldom - Item: could occur. Fleet: will occur. Individual: could occur. All: seldom.E Unlikely - Item: will not occur. Fleet: could occur. Individual: will not occur. All: very rarely.
12
34
5
6Event Probability
Frequent Likely Occasional Seldom Unlikely
A B C D E
Catastrophic I 1 1 2 3 3
Critical II 1 1 2 3 4
Major III 1 2 3 4 4
Minor IV 2 3 4 4 5
Negligible V 2 3 4 4 5NRM Cheat Sheet
NOAA SECO 10-23-2005 42
7 PRIMARY HAZARD
IDENTIFICATION TOOLS
Operations Analysis - a block diagram, flow chart, or timeline that describes the operation.
Preliminary Hazard Analysis - an examination for sources of hazards, usually related to energy.
What If Analysis - a group brainstorming technique. “What if this happens?”
Scenario Process - stories describing conceivable mishaps and consequences.
Logic Diagrams - “tree” shaped diagrams examining hazards in detail: positive, negative, and risk event diagrams.
Change Analysis - compares changes to a baseline to determine significance.
Cause and Effect Diagrams - fishbone diagram to examine many causes of a mishap.
HAZARDS ARE CAUSED BY ENERGY
Force Acceleration Chemical Vibration Electrical Environmental Kinetic Pressure Potential Thermal Radiation Humans
NRM Cheat SheetThe 5 M Model
Mission
Man Machine
Media
Management
ORDER OF PRECEDENCE
1. Design for Minimum Risk2. Incorporate Safety Devices3. Provide Warning Devices4. Procedures & Training
RISK CONTROLOPTIONS MATRIX
Engineer Guard
Improve Task DesignLimit Exposure
Selection of PersonnelTrain and Educate
WarnMotivate
Reduce EffectsRehabilitate
MACRO CONTROL
OPTIONS LISTRejectAvoidDelay
TransferSpread
CompensateReduce
THE POWER OF COMMAND
Sustained consistent behavior STRONGEROn-going personal behaviorAccountability actions and follow upFollow up inquiries by phone and visitsVerbal support in staff meetingsSign directives WEAKER
THE INVOLVEMENT CONTINUUM
User OwnershipCo-ownership STRONGERTeam MemberInputCoordinationComment And FeedbackRobot WEAKER
NRM Cheat Sheet2
NOAA SECO 10-23-2005 43
Training is the key to success in managing safety in the work environment. Attitude is also a key factor in maintaining a safe workplace. Safety is, and always will be, a team effort. Safety starts with each individual employee and concludes with everyone leaving at the end of the day to rejoin their families, for additional information on Risk Management contact:
Ben Bond, PA, CSPOccupational Safety & Health ManagerSECO 301-713-2870 x [email protected]
WORK AT WORKING SAFELY
NOAA SECO 10-23-2005 44
Introduction
NOAA SECO 10-23-2005 45
NRM INTEGRATION WORKSHEET
• Introduction
This worksheet is designed to support and enhance the application of the various tools and job aids developed to support the NOAA Risk Management (NRM) integration process. It serves as a checklist, worksheet, and record of the various steps involved in the process. Each of the various steps is optional and the user decides which elements to use or not use.
NOAA SECO 10-23-2005 46
STEP 1 - IDENTIFY INTEGRATION OBJECTIVES
• Conduct an assessment to detect organizational changes that may influence selection of integration objectives (i.e. new SUPERVISOR, MANAGER, increased in number of personnel, budget constraints, etc.). List potential change issues below and briefly assess their potential positive or negative impact.
NOAA SECO 10-23-2005 47
STEP 1 - IDENTIFY INTEGRATION OBJECTIVES
Change Impact
a.
b.
c.
d.
e.
NOAA SECO 10-23-2005 48
2. Identify possible integration objectives
a. Horizontal objectives (those designed to impact across the entire organization or major parts of it. Examples are generalized job aids or generic training programs.) Attempt to develop at least five horizontal objectives.
1. __________________________________2. __________________________________ 3. __________________________________ 4. __________________________________ 5. __________________________________
NOAA SECO 10-23-2005 49
2. Identify possible integration objectives cont’d.
b. Vertical objectives (those designed to impact entirely or predominately on a single process or functional area. Examples are process redesign or specialized NRM training for a specific group in a single operating area.). Attempt to develop at least five vertical
objectives. 1. _______________________________________
2. _______________________________________
3. _______________________________________
4. _______________________________________
5. _______________________________________
NOAA SECO 10-23-2005 50
STEP 2 - ANALYZE INTEGRATION OBJECTIVES
Consider using the decision matrix to assist in evaluating the various integration objectives.
Step 1. Tailor the matrix (see below) by entering the integration objectives in the space at the top. If necessary, use two
or more matrix forms to accommodate all objectives.
Step 2. Select the assessment criteria from those suggested and/or add any other criteria
you consider important. Enter these criteria down the left side of the matrix.
NOAA SECO 10-23-2005 51
STEP 2 - ANALYZE INTEGRATION OBJECTIVES cont’d.
Step 3. Add a weighting factor if desired. Simply consider the relative importance of the various assessment criteria and if one is about twice as important as another, award it twice the points.
Step 4. Evaluate the various objectives you have identified against the assessment criteria you have selected and award the appropriate points. A ten is awarded to a target that is (1) stronger than any other target in a given assessment criteria, and (2) nearly as strong as can be envisioned in that criteria.
NOAA SECO 10-23-2005 52
STEP 2 - ANALYZE INTEGRATION OBJECTIVES cont’d.
Step 5. When all objectives have been evaluated against all assessment criteria, total the points down each column. Generally, the objectives that score the highest are the most attractive integration objectives. However, REMEMBER, that the matrix is only a job aid and the decision-maker should evaluate the output of the matrix as one (albeit a very important one) factor in the overall decision.
NOAA SECO 10-23-2005 53
EVALUATING THE OBJECTIVESRATE FROM 1 (LOW) TO 10 (HIGH)
Assessment Criteria Weight (Optional)
(Enter Integration Objectives Here)
Easy to Integrate
Hot Topic
Strong Opportunity Potential
Short-term Benefits
Proven Examples to Model
Easy to Find Resources
Broad Application
Involves both Military & Civilian
Involves the total Team
Good Knowledge Base
Good Potential Leader Interest
TOTAL
NOAA SECO 10-23-2005 54
THE STRONGEST FIVE OBJECTIVES ARE:
a. _____________________________________
b. _____________________________________
c. _____________________________________
d. _____________________________________
e. _____________________________________
NOAA SECO 10-23-2005 55
STEP 3 - DEVELOP INTEGRATION STRATEGIES
AND OBJECTIVES• Evaluate Integration Strategies. Become familiar
with the list of 12 integration strategies. Consider the potential role of these strategies in connection with each of the stronger integration objectives developed in step 2. A suggested way of doing this is to list the strategies that seem best suited to each target. Then consider which strategy or possible combination of strategies will be most effective in implementing NRM in a given target.
NOAA SECO 10-23-2005 56
STEP 3 - DEVELOP INTEGRATION STRATEGIES AND OBJECTIVES CONT’D
‘
INTERGRATION OBJECTIVIES STRATEGIES
OBJECTIVE #1
OBJECTIVE #2
OBJECTIVE #3
OBJECTIVE #4
OBJECTIVE #5
NOAA SECO 10-23-2005 57
STEP 4 – SELECT THE BEST OBJECTIVES
After carefully evaluating the best objectives and the various strategies that might be applied to each, and taking into consideration your assessment of the current status of the organization, potential future issues, resource issues, etc., either make a decision regarding which objectives and associated strategies to use or prepare a recommendation to the appropriate decision-maker and obtain a decision.
NOAA SECO 10-23-2005 58
STEP 5 - IMPLEMENT SELECTED INTEGRATION OBJECTIVES
Develop an integration plan. Based on the objectives selected in section four above and on the strategies and associated key actions, you can develop an actual implementation plan using the template provided below. Use those elements of the template you find relevant and feel free to add other elements that you feel will be useful.
NOAA SECO 10-23-2005 59
INTEGRATION PLAN TEMPLATE
1 PREPARATORY ACTIONS1. Objective Areas: 2. Composition of the planning team (offices, individuals,
chief, approving authority):3. Scope of application (consider the application scope -
wide, narrow, etc.):4. Timing considerations (how fast to proceed):5. Power considerations (the degree of emphasis, degree
of “voluntariness”):6. Marketing plan (procedures to build support from all
relevant parties involved):7. The role of commander (consider using the 12
leadership techniques from Module 2):
NOAA SECO 10-23-2005 60
QUESTIONS, COMMENTS, DISCUSSIONS
RiskBenefit
NOAA SECO 10-23-2005 61
THE ENDTHE END
THE ENDTHE END