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15.6 ACCEPTABILITY OF RISK........................................................................................... 7
15.7 GENERAL RISK MANAGEMENT GUIDELINES....................................................... 8
15.8 RISK MANAGEMENT RESPONSIBILITIES............................................................... 9
15.9 SYSTEMATIC RISK MANAGEMENT: THE 5-M MODEL........................................ 9
15.10 LEVELS OF RISK MANAGEMENT...........................................................................12
15.11 ORM PROCESS EXPANSION.....................................................................................12
15.12 CONCLUSION ..............................................................................................................23
FAA System Safety Handbook, Chapter 15: Operational Risk Management
December 30, 2000
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15.0 Operational Risk Management (ORM)
15.1 Defining Risk and Risk Management
ORM is a decision-making tool to systematically help identify operational risks and benefits and
determine the best courses of action for any given situation. In contrast to an Operational and
Support Hazard Analysis (O&SHA), which is performed during development, ORM is performed
during operational use. For example, an ORM might be performed before each flight. This risk
management process, as other safety risk management processes is designed to minimize risks in
order to reduce mishaps, preserve assets, and safeguard the health and welfare.
Risk management, as discussed throughout this handbook is pre-emptive, rather than reactive.
The approach is based on the philosophy that it is irresponsible and wasteful to wait for an
accident to happen, then figuring out how to prevent it from happening again. We manage risk
whenever we modify the way we do something to make our chances of success as great as
possible, while making our chances of failure, injury or loss as small as possible. It’s a commonsense
approach to balancing the risks against the benefits to be gained in a situation and then
choosing the most effective course of action.
Often, the approach to risk management is highly dependent on individual methods and
experience levels and is usually highly reactive. It is natural to focus on those hazards that have
caused problems in the past. In the FAA's operational environment where there is a continual
chance of something going wrong, it helps to have a well-defined process for looking at tasks to
prevent problems. Operational Risk Management, or ORM, is a decision-making tool that helps
to systematically identify risks and benefits and determine the best courses of action for any given
situation. ORM is designed to minimize risks in order to reduce mishaps, preserve assets, and
safeguard the health and welfare.
Risk is defined as the probability and severity of accident or loss from exposure to various
hazards, including injury to people and loss of resources. All FAA operations in the United
States, and indeed even our personal daily activities involve risk, and require decisions that
include risk assessment and risk management. Operational Risk Management (ORM) is simply a
formalized way of thinking about these things. ORM is a simple six-step process, which
identifies operational hazards and takes reasonable measures to reduce risk to personnel,
equipment and the mission.
In FAA operations, decisions need to take into account the significance of the operation, the
timeliness of the decision required, and what level of management is empowered to make the
decision. Risk should be identified and managed using the same disciplined process that governs
other aspects of the Agency’s endeavors, with the aim of reducing risk to personnel and resources
to the lowest practical level.
Risk management must be a fully integrated part of planning and executing any operation,
routinely applied by management, not a way of reacting when some unforeseen problem occurs.
Careful determination of risks, along with analysis and control of the hazards they create results
in a plan of action that anticipates difficulties that might arise under varying conditions, and preFAA
System Safety Handbook, Chapter 15: Operational Risk Management
December 30, 2000
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determines ways of dealing with these difficulties. Managers are responsible for the routine use of
risk management at every level of activity, starting with the planning of that activity and
continuing through its completion.
Figure 15-1 illustrates the objectives of the ORM process: protecting people, equipment and other
resources, while making the most effective use of them. Preventing accidents, and in turn
reducing losses, is an important aspect of meeting this objective. In turn, by minimizing the risk
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