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control measure is achieving the intended purpose.
Common Problems in Implementing Risk Controls
A review of the historical record of risk controls indicates that many never achieve their full
potential. The primary reason for shortfalls is failure to effectively involve the personnel who are
actually impacted by a risk control. Note that virtually all these factors are driven by the failure to
properly involve personnel impacted by risk controls in the development and implementation of
the risk controls. Shortfalls include:
· The control is inappropriate for the problem.
· Operators dislike it.
· Managers dislike it.
· It turns out to be too costly (unsustainable).
· It is overmatched by other priorities.
· It is misunderstood.
FAA System Safety Handbook, Chapter 15: Operational Risk Management
December 30, 2000
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· Nobody measures progress until it is too late.
Procedures for Implementing Risk Controls within an Organizational Culture
The following procedures provide useful guidance for shaping a risk control within an
organizational culture. Followed carefully they will significantly improve the impact and duration
of the effectiveness of risk controls.
Develop the risk control within the organization’s culture. Every organization has a style or a
culture. While the culture changes over time due to the impact of managers and other
modifications, the personnel in the organization know the culture at any given time. It is
important to develop risk controls, which are consistent with this culture. For example, a rigid,
centrally directed risk control would be incompatible with an organizational culture that
emphasizes decentralized flexibility. Conversely, a decentralized risk control may not be effective
in an organization accustomed to top down direction and control. If you have any doubts about
the compatibility of a risk control within your organization, ask some personnel in the
organization what they think. People are the culture and their reactions will tell you what you
need to know.
Generate maximum possible involvement of personnel impacted by a risk control in the
implementation of the risk control. Figure 15-7 provides a tool to assist in assessing this
“involvement factor.” The key to making ORM a fully integrated part of the organization culture,
is to achieve user ownership in a significant percentage of all risk controls that are developed and
implemented by the personnel directly impacted by the risk..
Figure 15-7: Levels of User Involvement in Risk Controls
STRONGER
WEAKER
User Ownership: Operators are empowered to develop the risk control
Co-Ownership: Operators share leadership of the risk control development team
Team Member: Operators are active members of the team that developed the risk control
Input: Operators are allowed to comment and have input before the risk control is developed
Coordination: Operators are allowed to coordinate on an already developed idea
Comment and Feedback: Operators are given the opportunity to express ideas
Robot: Operators are ordered to apply the risk control
Develop the best possible supporting tools and guides (infrastructure) to aid operating personnel
in implementing the risk control. Examples include standard operating procedures (SOPs), model
applications, job aids, checklists, training materials, decision guides, help lines, and similar items.
The more support that is provided, the easier the task for the affected personnel. The easier the
task, the greater the chances for success.
Develop a time line for implementing the risk control. Identify major milestones, being careful to
allow reasonable timeframes and assuring that plans are compatible with the realities of
organizational resource constraints.
Procedures for Generating Management Involvement in Implementing Risk Controls
FAA System Safety Handbook, Chapter 15: Operational Risk Management
December 30, 2000
15 -
20
Manager and supervisor’s influence behind a risk control can greatly increase its chances of
success. It is usually a good idea to signal clearly to an organization that there is interest in a risk
control if the manager in fact has some interest. Figure 15-8 illustrates actions in order of priority
that can be taken to signal leader support. Most managers are interested in risk control and are
willing to do anything reasonable to support the process. Take the time as you develop a risk
control to visualize a role for organization leaders.
STRONGER
WEAKER
Sustained consistent behavior
On-going personal participation
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