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In the world of operational planning and execution within the military and various federal agencies, assessing and managing risks is a critical process. The DD Form 2977, known as the Deliberate Risk Assessment Worksheet, serves as a foundational tool in this process. It systematically guides users through identifying and assessing hazards associated with a mission or task, developing and implementing controls to mitigate those hazards, and supervising and evaluating the effectiveness of the controls in reducing risk. The form consists of sections designed to detail the mission or task, the preparation details by the individual conducting the assessment, and the steps for managing identified risks. This includes outlining the subtasks or steps of the mission, specifying hazards, determining initial and residual risk levels before and after controls are implemented, and an overall supervision plan and recommended courses of action. Its structured approach ensures that all aspects of risk management, from identifying hazards to implementing controls and supervising their effectiveness, are thoroughly considered. This deliberate risk assessment process is capped off with sections for approval or disapproval of the mission based on assessed risks, a review process to ensure ongoing relevance, and areas for feedback and additional comments to support continuous improvement in risk management practices.

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DELIBERATE RISK ASSESSMENT WORKSHEET

1. MISSION/TASK DESCRIPTION

2. DATE (YYYYMMDD)

3. PREPARED BY

a. Name (Last, First Middle Initial)

b. Rank/Grade

c. Duty Title/Position

d. Unit

e. Work Email

 

 

f. Telephone (DSN/Commercial (Include Area Code))

 

 

 

 

g. UIC/CIN (as required)

h. Training Support/Lesson Plan or OPORD (as required)

 

i. Signature of Preparer

 

 

 

 

 

Five steps of Risk Management: (1) Identify the hazards

(2) Assess the hazards

(3) Develop controls & make decisions

 

(4) Implement controls

(5) Supervise and evaluate (Step numbers not equal to numbered items on form)

 

 

 

 

 

4. SUBTASK/SUBSTEP OF 5. HAZARD MISSION/TASK

6.INITIAL RISK LEVEL

7. CONTROL

8.HOW TO IMPLEMENT/ WHO WILL IMPLEMENT

9.RESIDUAL RISK LEVEL

10.OVERALL RESIDUAL RISK LEVEL (All controls implemented):

11.OVERALL SUPERVISION PLAN AND RECOMMENDED COURSE OF ACTION

12. APPROVAL OR DISAPPROVAL OF MISSION OR TASK

a. Name (Last, First, Middle Initial)

b. Rank/Grade

c. Duty Title/Position

d. Signature of Approval Authority

 

 

 

 

e. Additional Guidance:

DD FORM 2977, SEP 2014

Page 1 of 3

 

 

Probability (expected frequency)

 

 

 

 

 

 

 

 

 

 

 

 

Frequent:

Likely:

Occasional:

Seldom:

Unlikely:

Risk Assessment Matrix

 

Continuous,

Several or

Sporadic or

Infrequent

Possible

 

regular, or

numerous

intermittent

occurrences

occurrences

 

 

inevitable

occurrences

occurrences

 

but improbable

 

 

occurrences

 

 

 

 

Severity (expected consequence)

 

A

B

C

D

E

 

 

 

 

 

 

 

Catastrophic: Mission failure, unit readiness eliminated;

I

EH

EH

H

H

M

death, unacceptable loss or damage

 

 

 

 

 

 

 

 

 

 

 

 

 

Critical: Significantly degraded unit readiness or mission

II

EH

H

H

M

L

capability; severe injury, illness, loss or damage

 

 

 

 

 

 

 

 

 

 

 

 

 

Moderate: Somewhat degraded unit readiness or mission

III

H

M

M

L

L

capability; minor injury, illness, loss, or damage

 

 

 

 

 

 

 

 

 

 

 

 

 

Negligible: Little or no impact to unit readiness or mission

IV

M

L

L

L

L

capability; minimal injury, loss, or damage

 

 

 

 

 

 

 

 

 

 

 

 

 

Legend: EH - Extremely High Risk H - High Risk M - Medium Risk

L - Low Risk

 

 

 

 

 

 

 

 

 

 

13.RISK ASSESSMENT REVIEW (Required when assessment applies to ongoing operations or activities)

a. Date

b. Last Name

c. Rank/Grade

d. Duty Title/Position

e. Signature of Reviewer

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

14. FEEDBACK AND LESSONS LEARNED

15. ADDITIONAL COMMENTS OR REMARKS

DD FORM 2977, SEP 2014

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Instructions for Completing DD Form 2977, "Deliberate Risk Assessment Worksheet"

1.Mission/Task Description: Briefly describe the overall Mission or Task for which the deliberate risk assessment is being conducted.

2.Date (DD/MM/YYY): Self Explanatory.

3.Prepared By: Information provided by the individual conducting the deliberate risk assessment for the operation or training. Legend: UIC = Unit Identification Code; CIN = Course ID Number; OPORD = operation order; DSN = defense switched network; COMM = commercial

4.Sub-task/Sub-Step of Mission/Task: Briefly describe all subtasks or substeps that warrant risk management.

5.Hazard: Specify hazards related to the subtask in block 4.

6.Initial Risk Level: Determine probability and severity. Using the risk assessment matrix (page 3), determine level of risk for each hazard specified. probability, severity and associated Risk Level; enter level into column.

7.Control: Enter risk mitigation resources/ controls identified to abate or reduce risk relevant to the hazard identified in block 5.

8.How to Implement / Who Will Implement: Briefly describe the means of employment for each control (i.e., OPORD, briefing, rehearsal) and the name of the individual unit or office that has primary responsibility for control implementation.

9.Residual Risk Level: After controls are

implemented, determine resulting probability, severity, and residual risk level.

10.Overall Risk After Controls are Implemented: Assign an overall residual risk level. This is equal to or greater than the highest residual risk level (from block 9).

11.Supervision Plan and Recommended Course of Action: Completed by preparer. Identify specific tasks and levels of responsibility for supervisory personnel and provide the decision authority with a recommend course of action for approval or disapproval based upon the overall risk assessment.

12.Approval/Disapproval of Mission/Task: Risk approval authority approves or disapproves the mission or task based on the overall risk assessment, including controls, residual risk level, and supervision plan.

13.Risk Assessment Review: Should be conducted on a regular basis. Reviewers should have sufficient oversight of the mission or activity and controls to provide valid input on changes or adjustments needed. If the residual risk rises above the level already approved, operations should cease until the appropriate approval authority is contacted and approves continued operations.

14.Feedback and Lessons Learned: Provide specific input on the effectiveness of risk controls and their contribution to mission success or failure. Include recommendations for new or revised controls, practicable solutions, or alternate actions. Submit and brief valid lessons learned as necessary to persons affected.

15.Additional Comments or Remarks: Preparer or approval authority provides any additional comments, remarks, or information to support the integration of risk management.

Additional Guidance: Blocks 4-9 may be reproduced as necessary for processing of all subtasks/ substeps of the mission/task. The addition and subtraction buttons are designed to enable users to accomplish this task.

DD FORM 2977, SEP 2014

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File Characteristics

Fact Name Detail
Form Title DELIBERATE RISK ASSESSMENT WORKSHEET
Form Number and Revision Date DD FORM 2977, SEP 2014
Primary Purpose To conduct a deliberate risk assessment for operations or training.
Five Steps of Risk Management Identify hazards, Assess hazards, Develop controls & make decisions, Implement controls, Supervise and evaluate.
Risk Levels Includes Probability (Frequent, Likely, Occasional, Seldom, Unlikely) and Severity (Catastrophic, Critical, Moderate, Negligible).
Risk Assessment Matrix Used to determine the initial and residual risk levels based on probability and severity.
Approval Process Requires approval or disapproval of the mission or task based on the overall risk assessment.
Review and Feedback Mechanism Risk assessment review for ongoing operations and feedback and lessons learned for continuous improvement.

Steps to Writing Dd 2977

Filling out the DD Form 2977, or the Deliberate Risk Assessment Worksheet, is a meticulous task that requires attention to detail. This form is used to evaluate the risks associated with specific missions or tasks by identifying hazards, assessing their potential impacts, and implementing controls to mitigate these risks. The process not only helps in documenting the analysis but also aids in making informed decisions to enhance safety. The steps below guide you through completing the form accurately.

  1. Mission/Task Description: Clearly describe the mission or task for which the risk assessment is being conducted, focusing on the objectives and expected outcomes.
  2. Date (YYYYMMDD): Enter the date on which the risk assessment is being prepared.
  3. Prepared By: Provide the preparer’s details, including:
    • Name (Last, First Middle Initial)
    • Rank/Grade
    • Duty Title/Position
    • Unit
    • Work Email
    • Telephone (DSN/Commercial)
    • UIC/CIN (if required)
    • Training Support/Lesson Plan or OPORD (if required)
    • Signature of Preparer
  4. Subtask/Substep of Mission/Task: Detail all subtasks or substeps that require risk management.
  5. Hazard: Identify hazards associated with each subtask or substep noted previously.
  6. Initial Risk Level: Assess the initial risk level of each hazard using the risk assessment matrix, considering both the likelihood of occurrence and the potential severity of consequences.
  7. Control: List the controls or mitigations that will be put in place to reduce or eliminate the identified hazards.
  8. How to Implement/Who Will Implement: Describe how the controls will be implemented and specify the individual or unit responsible for each control.
  9. Residual Risk Level: Determine the risk level remaining after implementing the controls.
  10. Overall Risk After Controls are Implemented: Assign an overall residual risk level, which should not be lower than the highest residual risk level identified in the previous step.
  11. Supervision Plan and Recommended Course of Action: Outline supervision responsibilities and recommend a course of action for the decision-making authority, based on the overall risk assessment.
  12. Approval/Disapproval of Mission/Task: The risk approval authority will indicate approval or disapproval based on the comprehensive risk assessment, documented controls, and proposed actions.
  13. Risk Assessment Review: Regularly review the risk assessment to ensure it remains valid and adjust as necessary based on changes to the mission, task, or environment.
  14. Feedback and Lessons Learned: Document feedback on the effectiveness of risk controls and any lessons learned during the mission or task, including suggestions for improvement.
  15. Additional Comments or Remarks: Provide any further observations or information that supports the risk management process.

Completing the DD Form 2977 is essential for documenting the risk assessment process. It provides a structured approach to identifying and mitigating risks, ensuring missions or tasks are conducted as safely as possible. Carefully follow each step to provide a comprehensive overview of the risks and controls associated with your specific mission or task.

Important Details about Dd 2977

What is a DD Form 2977?

The DD Form 2977, also known as the Deliberate Risk Assessment Worksheet, is a document used by the Department of Defense (DoD) for conducting a thorough risk management assessment. This form assists military planners in identifying and assessing hazards, developing and implementing controls to mitigate risks, and making informed decisions about military operations or training exercises to ensure safety and mission success.

Who needs to complete the DD Form 2977?

This form must be completed by any individual conducting a deliberate risk assessment for military operations or training exercises. This includes but is not limited to commanders, leaders, and planning staff involved in the preparation and execution of military tasks that may pose risks.

What are the steps of the risk management process included in the DD Form 2977?

The DD Form 2977 outlines a five-step process for risk management: (1) Identify the hazards, (2) Assess the hazards, (3) Develop controls and make decisions, (4) Implement controls, and (5) Supervise and evaluate. These steps are crucial for systematically addressing risks associated with military operations and tasks.

How do you determine the initial risk level on the DD Form 2977?

To determine the initial risk level, the form requires an assessment of both the probability and the severity of potential hazards associated with a task or operation. Utilizing the risk assessment matrix provided in the form, the assessor selects a risk level (Extremely High, High, Medium, or Low) based on the expected frequency (probability) and the expected consequence (severity) of the hazard occurring.

What is meant by "residual risk" on the DD Form 2977?

Residual risk refers to the level of risk that remains after controls have been implemented to mitigate initial risks. After applying the planned controls, the assessor must reevaluate the probability and severity of the hazard occurring. The resulting risk level, which may be lower than the initial risk but still present, is considered the residual risk. This helps decision-makers understand the effectiveness of the controls and any remaining risk before proceeding with the mission or task.

How is the DD Form 2977 approved?

The approval process for the DD Form 2977 involves submitting the completed risk assessment to the appropriate risk approval authority. This authority reviews the overall risk assessment, including the identified hazards, initial and residual risk levels, and the supervision plan. Based on this review, the mission or task is either approved or disapproved. Approval is contingent upon the authority's assessment that the risks are adequately managed and that the mission's benefits justify those risks.

Common mistakes

When filling out the DD Form 2977, or the Deliberate Risk Assessment Worksheet, there are common mistakes that can hinder its effectiveness and accuracy. Recognizing these errors ensures risk assessments are both thorough and valuable for mission planning and execution.

One significant mistake is not providing a detailed mission or task description in block 1. This section forms the foundation of the assessment, and a vague description can lead to incomplete hazard identification. The mission or task must be described with enough detail to allow for a comprehensive understanding of what is to be accomplished.

In block 2, inaccurately recording the date with the wrong format or leaving it blank is a frequent oversight. The date should follow the YYYYMMDD format, a detail vital for record-keeping and reviewing purposes.

Often, individuals filling out block 3 neglect to provide complete contact information, including both DSN and commercial telephone numbers. This oversight can impede communication, especially in instances where immediate risk mitigation discussions are necessary.

A critical step missed in block 4 involves not sufficiently breaking down the mission or task into specific subtasks or substeps. This granular view is crucial for identifying unique hazards associated with each phase of the operation or task.

Failing to accurately assess and assign the initial risk levels in block 6 is another common mistake. Utilizing the risk assessment matrix requires a thorough analysis of probability and severity for each identified hazard. Incorrectly assigning these levels can either exaggerate or underestimate the actual risk.

In the control measures section (block 7), individuals sometimes list generic or ineffective controls without considering the specific requirements of the identified hazards. Controls should be actionable and directly address the risks identified.

Block 8, detailing how to implement controls and the responsible parties, is often overlooked or filled out with insufficient detail. Assigning clear responsibility and providing specific implementation instructions are vital for effective risk management.

Finally, there is a tendency to underestimate the residual risk levels in block 9, after controls have been implemented. This optimism bias can result in complacency, underestimating the necessity for supervision, and ongoing risk assessment to adapt to changing conditions.

By avoiding these common errors, individuals can ensure the DD Form 2977 serves as an effective tool in the deliberate risk assessment process, leading to safer and more successful missions and tasks.

Documents used along the form

When dealing with the DD Form 2977, "Deliberate Risk Assessment Worksheet," completing this document often requires additional forms and documents to ensure comprehensive risk management. These supporting documents aid in providing a more detailed picture of the operational or training environment, enhancing the risk assessment process, and ensuring all factors are considered.

  • OPORD (Operations Order): Outlines the mission, execution plan, and specific tasks designated to units or individuals. It is essential for understanding the scope and details of the operation or task at hand.
  • ATP 5-19 (Risk Management): Provides guidelines and procedures for conducting risk management across all Army operations. This document helps in identifying and controlling risks effectively.
  • DD Form 1610 (Request and Authorization for TDY Travel of DoD Personnel): Used for authorizing temporary duty travel, this form can highlight potential travel-related risks not initially considered in the mission planning.
  • DD Form 1750 (Packing List): Useful in tracking equipment and ensuring all necessary safety equipment is accounted for, thus mitigating equipment-related risks.
  • AAR (After Action Review): Though not a form, AARs from previous similar operations or tasks can offer insights into potential hazards and effective control measures, enhancing the current risk assessment.
  • DD Form 1348 (Issue Release/Receipt Document): This document records the issue and receipt of equipment or supplies, ensuring that all necessary materials, including safety gear, are available.
  • DD Form 2795 (Pre-Deployment Health Assessment): Helps in identifying any health-related risks to the personnel involved in the mission or task, allowing for necessary precautions.
  • LOTO (Lockout/Tagout) Procedures: Not a form, but critical documentation of procedures to ensure that machines are properly shut off and not started up again prior to the completion of maintenance or repair work, mitigating equipment-related risks.
  • Emergency Action Plans (EAP): Documents outlining actions to be taken in case of an emergency. Having an EAP can significantly reduce the risk by ensuring preparedness for unexpected events.

Together with the DD Form 2977, these documents form a robust framework for managing risks associated with military operations and training. Ensuring that all relevant forms and documents are correctly completed and readily available can significantly enhance the effectiveness of the risk management process.

Similar forms

The DD Form 2977, "Deliberate Risk Assessment Worksheet," closely aligns with the DA Form 7566, "Composite Risk Management Worksheet," in purpose and structure. Both forms are utilized to systematically identify risks associated with specific tasks or missions and to develop, implement, and evaluate control measures. They share similar sections for detailing the mission or task, identifying hazards, assessing and controlling risks, and proposing supervisory plans. The primary difference lies in their traditional areas of application, with DD forms typically used within the Department of Defense and DA forms within the Army. However, their core function of facilitating a methodical approach to risk management remains the same.

Similar in intent to the DD Form 2977, the Operational Risk Management (ORM) Worksheet used in various branches of the military also focuses on identifying and mitigating risks. ORM Worksheets are employed to ensure that operations proceed with the lowest possible risk. They require users to identify hazards, assess risks, and decide on controls, much like the DD Form 2977. Although not identical in format across all branches, ORM worksheets embody the same fundamental principles of risk management, emphasizing ongoing assessment and control of hazards to maintain operational effectiveness and safety.

The Job Safety Analysis (JSA) or Job Hazard Analysis (JHA) forms bear resemblances to the DD Form 2977 in their methodology for hazard identification and risk management. These forms are widely used in various industries to analyze specific job tasks in steps, identify potential hazards at each step, and implement measures to mitigate these risks. Like the DD Form 2977, JSA or JHA forms are proactive tools used to prevent workplace accidents and injuries by addressing risks before they lead to incidents. Although the context and applications differ, the underlying concept of systematic risk assessment and control connects these documents.

Finally, the Environmental Assessment Form, used to evaluate the potential environmental impacts of proposed projects or activities, shares a conceptual similarity with the DD Form 2977. While focusing on environmental rather than operational risks, it requires the identification of potential negative effects, assessment of their magnitude, and the development of mitigation strategies. This form, like the DD 2977, is structured to guide users through a thorough examination of possible risks associated with certain actions and to articulate ways to manage those risks effectively. The main difference lies in their specific focus areas — environmental health versus operational safety.

Dos and Don'ts

Filling out the DD Form 2977, "Deliberate Risk Assessment Worksheet," is a critical process that requires attention to detail and an understanding of the task at hand. Below are some important dos and don'ts to consider when completing this form:

  • Do clearly describe the mission or task in the Mission/Task Description section to provide a comprehensive overview.
  • Do ensure the date is correctly entered in the format YYYYMMDD to avoid any confusion.
  • Do include detailed information about the person preparing the form, including name, rank/grade, duty title/position, and contact information to ensure accountability and ease of follow-up.
  • Do accurately identify all hazards associated with the mission or task in the designated section to ensure that all potential risks are assessed.
  • Do use the risk assessment matrix provided to determine the initial risk levels accurately, based on probability and severity.
  • Don't skip over the Controls section; identifying risk mitigation strategies is essential for reducing risks to an acceptable level.
  • Don't overlook the importance of detailing how controls will be implemented and who is responsible for their implementation.
  • Don't forget to assign and review the overall residual risk level after controls have been implemented, as this determines the mission's viability.
  • Don't ignore the supervision plan and recommended course of action section, as this guides the authority's approval or disapproval decision based on the overall risk assessment.

By following these guidelines, individuals can more effectively and accurately complete the DD Form 2977, ensuring that risks are appropriately managed and that the mission or task can proceed safely and efficiently.

Misconceptions

There are several misconceptions surrounding the DD 2977, Deliberate Risk Assessment Worksheet, that can lead to confusion about its purpose and how it's supposed to be filled out. Let's address some of these misunderstandings.

  • It's only for military operations: While the DD 2977 is widely used within the military for planning operations and training, its application is not limited to just these scenarios. It's a versatile tool that can be adapted for any situation requiring a formal assessment of risks and controls to mitigate those risks. This includes civilian applications within the Department of Defense and by contractors working with the military.

  • Every section must be completed for every task: The DD 2977 is designed to be flexible to the needs of the task or mission being assessed. Not every block must be filled out for each subtask or step of an operation. The form should be completed as thoroughly as necessary to provide a clear risk assessment and management plan. The emphasis should be on the relevance and thoroughness of the information provided rather than on filling in every block for the sake of it.

  • The form is static once it’s filled out: Another common misunderstanding is that once the DD 2977 is completed, it's set in stone. The form is actually a dynamic document meant to evolve as the situation changes. Regular risk assessment reviews (as noted in Section 13 of the form) are required for ongoing operations or activities, ensuring that the risk management plan remains relevant and effective over time.

  • Risk levels are subjective and not standardized: The DD 2977 includes a risk assessment matrix, providing a standardized method to evaluate and communicate the level of risk. This matrix helps to remove subjectivity by categorizing risk levels based on the severity and probability of potential consequences. This ensures a more consistent and objective approach to evaluating hazards.

  • Approval is the final step: While obtaining approval (as detailed in Section 12 of the form) is a critical step in the risk management process, it is not the final action to be taken. Implementing controls, supervising the operation or activity, and evaluating the effectiveness of risk management actions are continuous steps. The form even includes sections for feedback and lessons learned (Section 14) and additional comments or remarks (Section 15), encouraging ongoing communication and adjustment of risk management practices.

Understanding these misconceptions and the actual functionalities of the DD 2977 can help organizations and individuals better prepare and manage risks, resulting in safer and more effective operations.

Key takeaways

When dealing with the DD Form 2977, Deliberate Risk Assessment Worksheet, understanding its structure and the methodical approach to risk management is crucial. Here are four key takeaways for filling out and effectively using this form:

  • Clear Identification and Description of Mission or Task: The form requires a concise yet comprehensive description of the mission or task at hand in the initial section. This foundational step ensures that the risk assessment is aligned with the specific objectives and activities planned, setting the tone for a focused risk assessment process.
  • Systematic Risk Management Steps: The DD Form 2977 is structured around the five steps of risk management: identifying hazards, assessing hazards, developing controls, implementing controls, and supervising and evaluating. Each step is pivotal and requires thorough analysis and documentation within the form. This structured approach facilitates a systematic assessment and management of risks, promoting higher levels of safety and readiness.
  • Comprehensive Assessment and Control of Risks: A crucial aspect of the form is the detailed assessment of each identified hazard, including the initial risk level determination using a risk assessment matrix. Following this, the form guides the preparer to specify controls to mitigate these risks and assess the residual risk post-control implementation. This rigorous process ensures that all aspects of risk are considered and managed proactively.
  • Approval, Supervision, and Continuous Review: The form culminates in requiring an approval/disapproval decision regarding the mission or task based on the risk assessment conducted. It also mandates the establishment of a supervision plan and outlines the need for continuous review of the risk assessment, especially for ongoing operations. This underscores the dynamic nature of risk management, necessitating ongoing supervision and the ability to adapt to changes or new information.

Understanding and utilizing the DD Form 2977 correctly empowers military leaders and planners to conduct deliberate risk assessments effectively, ensuring missions are accomplished with a clear, comprehensive understanding and management of all associated risks.

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