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Attachment 9 AOI Execution Policy 2009doc

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Attachment 9 AOI Execution Policy 2009doc

    Attachment 8

    DCMA AO Risk Assessment Tabs

    NOTICE: This document is available digitally on the DCMA website at:

    http://guidebook.dcma.mil/228/A8_AOI_Tabs_2010.doc

    ______________________________________________________________________

    OPR: HQ DCMA-AO Risk Assessment Pages: 8

______________________________________________________________________

    Tab 1 Risk Assessment Code Matrix

    PROBABILITY RISK ASSESSMENT

    Frequent Likely Occasional Seldom Unlikely CODE MATRIX

    A B C D E

    S Catastrophic I ORANGE ORANGE YELLOW

    E Critical II ORANGE ORANGE YELLOW GREEN

    V

    Moderate III ORANGE YELLOW YELLOW GREEN GREEN E

    R

    I Negligible IV YELLOW GREEN GREEN GREEN GREEN

    T

    Y

    Risk Matrix Color Codes. All elements and sub-elements (which are evaluated)

    receive a COLOR / RISK rating as shown in Figure 2. The element and sub-element

    inputs are then combined to provide an overall unit risk rating which also uses the same

    COLOR / RISK rating.

    The DCMA Aircraft Operations Risk Assessment Code (RAC) matrix is derived from

    Service Guidance, Operational Risk Management ( Navy and Air Force ORM, Army

    Composite Risk Management ( OPNAV INST 3500-39B, AFI 90-901, and DA PAM

    385-30). It is used to indicate the possibility of a risk event occurring and the potential

    impact to a program if a risk event occurs. AOI team members will assess the severity

    and probability of risk associated with each identified write-up, sub-element, element,

    and the overall unit. After determining the severity and probability of a potential risk

    event, a COLOR / RISK rating will be assigned.

PROBABILITY the likelihood that a risk event will occur during the planned length of

    the contract. The potential occurrence of a risk event could relate to an item, individual,

    or the unit.

    A. FREQUENT Likely to occur immediately or within a short period of time.

    Expected to occur frequently to an individual or continuously to a unit.

    B. LIKELY Probably will occur in time. Expected to occur several times to an

    individual or frequently to a unit.

    C. OCCASIONAL May occur in time. Can reasonably be expected to occur

    some time to an individual or several times to a unit.

    D. SELDOM Could occur. Might occur as an isolated incident to an

    individual or a unit.

    E. UNLIKELY Improbable chance of occurring. May assume it will not occur

    to an individual or very rarely to a unit.

    SEVERITY a qualitative measure of the most reasonable credible mishap resulting

    from personnel error, environmental conditions, design inadequacies, procedural

    deficiencies, or system, subsystem, or component failure or malfunction.

    I. CATASTROPHIC Could result in death, permanent total disability, loss

    exceeding $1M, loss of aircraft, irreversible severe environmental damage that

    violates law or regulation, or a mission critical security failure.

    II. CRITICAL Could result in permanent partial disability, injuries or

    occupational illness that may result in hospitalization of at least three personnel,

    loss exceeding $200K but less than $1M, reversible environmental damage

    causing a violation of law or regulation, or a security failure.

    III. MODERATE Could result in injury or occupational illness resulting in one

    or more lost work day(s), loss exceeding $10K but less than $200K, or mitigable

    environmental damage without violation of law or regulation where restoration

    activities can be accomplished.

    IV. NEGLIGIBLE Could result in injury or illness not resulting in a lost work

    day, loss exceeding $2K but less than $10K, or minimal environmental damage

    not violating law or regulation.

    Tab 2 COLOR / RISK Ratings

    GREEN / LOW RISK

    YELLOW / MEDIUM RISK

    ORANGE / HIGH RISK

     (MAY REQUIRE REINSPECTION)

    NOT EVALUATED USE ON DETAILED REPORT IF THE SUB-ELEMENT EXISTS AT LOCATION BUT INSPECTORS DID NOT HAVE AN OPPORTUNITY TO INSPECT

    NOT APPLICABLE USE ON DETAILED REPORT IF THE SUB-ELEMENT DOES NOT EXIST AT

    LOCATION The BLUE / BENCHMARK rating should only be given to those processes

    which are truly exceptional and set the standard for DCMA. The BLUE /

    BENCHMARK rating indicates that a process is so superior that it should be

    emulated throughout DCMA Aircraft Operations. More information on using

    Operational Risk Management (ORM) to assess Aircraft Operations can be

    found on the DCMA-AO website.

    RISK ASSESSMENT CODE a COLOR / RISK rating that indicates the potential

    impact a risk event would have on the unit being evaluated.

    1. BLUE / BENCHMARK Sets the standard for DCMA Aircraft Operations.

    This process should be emulated across DCMA Aircraft Operations.

    2. GREEN / LOW RISK If a risk event occurs, expected losses have little or

    no impact on accomplishing the mission. Injury, damage, or illness will be minor

    and have no long-term impact or effect. All requirements will be met.

    3. YELLOW / MEDIUM RISK If a risk event occurs, the ability to complete

    the mission will be slightly degraded in the event this hazard occurs. If a

    hazardous event occurs it will only slightly impact on the mission, result in only

    minor injury or loss, and not affect overall readiness.

    4. ORANGE / HIGH RISK If a risk event occurs, significant degradation of mission capabilities in terms of the required mission standard, inability to

    accomplish all parts of the mission, high potential for serious injury to personnel,

    or inability to complete the mission to standard if hazards occur during the

    mission. This implies that if a hazardous event occurs, serious consequences

    will occur. The decision to continue must be weighted carefully against the

    potential gain to be achieved by continuing this course of action. It must be

    approved at an appropriate level of command.

    5. RED / EXTREMELY HIGH RISK If a risk event occurs, loss of ability to

    accomplish the mission or the mission produces extremely severe outcomes.

    This implies that the risk associated with this mission, activity, or event may have

    severe consequences beyond those associated with this specific operation or

    event. The decision to continue must be weighted carefully against the potential

    gain to be achieved by continuing this course of action. It must be approved at

    an appropriate level of command. Re-inspection is required.

    6. NOT EVALUATED (NE) Utilize on detailed report if the sub-element exists at location but inspectors did not have an opportunity to inspect (indicate

    why the area was not evaluated, i.e. “no ground handling or servicing conducted

    during inspection week”).

    7. NOT APPLICABLE (NA) - Use on detailed report if the sub-element does not exist at location; use the following statement in the process comments

    section of detailed report: “Sub-element does not exist at this location” (i.e. no welding requirements, no battery shop requirements, etc.).

    Tab 3 Sample CMO Commander AOI Notification

    (This notification will be sent via e-mail as a text message, not as an attached MS ? document, so that it may be read on a Personal Digital Assistant (PDA).) Word

    [Rank and name of CMO commander, Chief of Standardization and Evaluation, Director of Risk Assessment, CFO/GFR, others as appropriate],

    1. This is notification of the upcoming Air Operations Inspection (AOI) for [name of site] which is scheduled to commence on [date]. I will be the AOI Team Lead along with [rank and name] who will be the Deputy Team Lead.

    2. An AOI is one combined team simultaneously looking at both a DCMA unit with aircraft contracts and contractor operations. The AOI is a structured process using aviation professionals and risk assessment tools to generate a subjective risk rating based on a frame of reference developed through inspecting similar aviation facilities. It is a predictive risk assessment which indicates where the government may be at risk and how well existing risks are managed. An AOI focuses on the observations made during the inspection; however, the AOI team also considers past performance and documentation in their overall evaluation. I will generate a report to the Contract Management Office (CMO) Commander on the risk level of the evaluated site and the effectiveness of the Aviation Program Team (APT) and the contractor at mitigating that risk.

    3. Aircraft Operations are inherently risky. The AOI evaluates how well the government and contractor mitigate existing risk. For example: A GREEN / LOW RISK rating does not indicate that risk does not exist, but rather that risk has been reasonably managed. During the inspection, for each element and sub-element, the AOI team members will be asking:

    Does a program exist?

    Does the program conform to existing guidance?

    Is the program adhered to?

    Is the program documented?

    What risks/issues are associated with how the program is executed?

    Are there overarching issues with the program?

    Are there any benchmarks with this program? While each of these questions is used to evaluate an element's risk, the overall determination of an element’s risk can be summed up in these three questions:

    Does it work?

    Does it make sense?

    What are the associated risks? 4. AOI team members use their subject matter expertise and experience to provide a rational and reasonable risk assessment of the each element and sub-element. To determine the appropriate risk level, a Risk Assessment Code Matrix is used. All

    elements and sub-elements (which are evaluated) receive a COLOR / RISK rating. The element and sub-element inputs are then combined to provide an overall unit risk assessment which also uses the same COLOR / RISK rating.

    5. Listed below are the five elements and 55 sub-elements which will be evaluated as appropriate for each inspected site:

    Command and Administration

    Commander/GFR Responsibilities

    Documentation

    Contract Issues

    Operational Risk Management

    Teaming

    Inspection/Survey

    Special Interest Items

    Site Specific Items Flight Operations

    Flight Procedures

    Flight Crew Information File (FCIF) Program

    Crew/Non-Crew Approval

    Crew/Non-Crew Qualification

    Crew/Non-Crew Evaluation

    Crew/Non-Crew Currency

    Crew/Non-Crew Training

    Flight Operational Risk Management

    Flight Plans and Approval

    Local Operating Procedures (LOP)

    Flight Safety Ground Operations

    AMM Responsibilities

    Ground Procedures

    Tool Control

    Foreign Object Damage/Debris (FOD) Program

    Aircraft Ground Handling

    Aircraft Servicing

Training and Certification

    Ground Support Equipment (GSE)

    Engines and Auxiliary Power Unit (APU)

    Support Shops, Other (i.e. fabrication, welding, avionics, hydraulic/pneumatic, fuels, etc.)

    Life Support

    Hydraulic Fluid Handling

    Weight and Balance

    Egress Training

    Calibration Procedures

    Wheel and Tire

    Corrosion Control/Cleaning/Aircraft Paint

    Battery Handling

    Non-Destructive Inspection (NDI)

    Aircraft Security

    Oil Analysis/Handling

    Technical Publications and Aircraft Records Management

    Quality

    Quality Safety of Flight (SOF) Plan

    Quality SOF Awareness Quality SOF Examination Documentation

    Quality SOF Corrective Action Measures

    Quality SOF Data Quality Training Corrective Action Request (CAR) Program

    Safety

    Ground Safety General

    Fire Protection/Aircraft Rescue and Fire Fighting (ARFF)

    Mishap Program

    Severe Weather Plan

    Fuels Storage/Delivery/Maintenance

    Facilities

    HAZMAT and Explosives

6. The objectives of an AOI are:

    a. To analyze AO processes as part of an overall Operational Risk Management

    program; providing a forum for open discussion between the APT, the contractor,

    and the customer on where the government’s risks lie and what methods can be

    employed to properly manage these risks.

    b. To ensure the government and contractor have pro-actively addressed risk in

    order to effectively and safely conduct ground and flight operations.

    c. To assist the CMO commander with flight operations to better understand how

    well and how effective the unit, the APT, and the contractor are teaming.

    d. To assist the DCMA-AO staff in assessing the organic health of a DCMA unit

    with aircraft contracts and their associated contractor.

    e. To assist the APT in conducting self assessments of their operations.

    f. To improve overall operations. In the short run, the goal of the AOI is to

    accurately analyze processes and then to take actions aimed at improving those

    processes or, if appropriate, passing on benchmark processes. In the long run, it is

    this process of analyzing operations and taking appropriate actions which will result

    in continuous process improvements which will be indicated by better mitigation of

    risk, reduced mishaps, and a better quality product delivered to customer. 7. Because programs evaluated by this AOI can serve as source material for the

    Government Flight Representative's (GFR) annual report to the contractor, the APT is

    highly encouraged to interact closely with the AOI team. Any write-ups found will be

    categorized as a) Contractor-Only, b) Government-Only, or c) Both Contractor and

    Government. Because write-ups are categorized in this way, the GFR can easily

    extract write-ups to be included in the annual contractor survey. While the AOI results

    are a snapshot in time, the APT is encouraged to collect and review the year-to-date

    surveys conducted of the contractor to provide a comprehensive report. As such, the

    following assistance is requested of the APT for the AOI.

    I request that the CMO/APT upload the following information to Risk Assessment AO

    Portal [project site hyperlink] NLT [date (45 days prior to AOI)]:

    a. Latest Annual Contractor Survey including a current Facility Data Sheet.

    b. Flight and Ground Procedures

    c. Summary of Corrective Action Request’s written (and associated resolutions)

    within the past 12 months.

    d. Summary of mishaps/incidents at site (regardless of monetary value or

    classification).

    e. Copy of the self-assessment of your site. (Due NLT 14 days prior to inspection)

    f. A one paragraph statement (Microsoft Word document) explaining the scope of

    operations at the facility which will be inspected. The paragraph should include but

    is not limited to the following information: Contractor, type aircraft, type work,

    number of aircraft produced or modified yearly, hours flow yearly, size of facility,

    number of hangars, number of government & contractor employees, approx number

    of tools boxes, number of DCMA quality assurance personnel employed, number of

    approved SOF plans, type of hangar fire suppression, type ARFF coverage and

    who is proving the coverage, number of hazmat lockers, number of paint lockers,

    number and type of ammunition storage and who and how fuel is provided at the

    facility.

    Additionally, I request that you take the following actions:

    a. GFR give the contractor a 30-day notice of this inspection.

    b. Acquire the necessary approvals for the AOI team to gain unescorted access to

    facilities. In situations where contractor cannot provide unescorted access, an

    appropriate number of escorts need to be made available for the AOI team.

    c. Review Chapter 7 of DCMA Instruction 8210.2, Aircraft Operations to be familiar

    with the inspection process. This instruction can be found on the DCMA-AO

    webpage and the Risk Assessment AO Portal.

    d. Provide copies of site contracts for reviewing by the AOI team upon arrival.

    Electronic versions are acceptable. Do not email copies of the contracts to the AOI

    team.

    8. I will construct and forward a schedule of events to include CMO commander in/out-

    brief times, daily wrap-up times, mishap exercise time, etc NLT [date]. At this time, I

    intend to conduct the CMO commander in-brief on [date]. [Use this paragraph to give

    brief plan when multiple sites are involved.]

    9. Again, the purpose of an AOI is to inform the CMO commander on where the

    government may be at risk and how well existing risks are managed. As such, the CMO

    commander out-brief and detailed report are for the CMO commander. Attendance at

    the CMO commander out-brief and internal distribution of the detailed report is at the

    discretion of the CMO commander.

    10. For any further questions or assistance in preparing for this inspection, you are

    invited to contact myself or [name of Deputy Lead]. Our contact information is below.

    v/r, [AOI Team Lead rank and name]

    [Duty title]

    [Contact info to include mobile phone]

    [Deputy Team Lead rank and name]

    [Duty title]

    [Contact info to include mobile phone]

    Tab 4 Sample AOI Team Notification

    (This notification will be sent via e-mail as a text message, not as an attached MS ? document, so that it may be read on a Personal Digital Assistant (PDA).) Word

    Team,

    1. I just sent out the notification to [rank and name of CMO commander] of our AOI for [name of site].

    2. Make sure your DTS orders reflect that your per diem destination is [per diem destination for orders]. [Link for DTS authorization/voucher procedures]. 3. I need us all to travel on [date and if other than a Monday travel day, provide justification]. Try to arrive between [time] and [time]. Do not plan on departing earlier than [date and time].

    4. Plan to fly into [airport and if other than the closest airport provide justification, e.g. cheaper, has rental cars, more convenient or flexible, etc.].

    5. I need each team member to provide the following information to [POC name] no later than [date]:

     Arrival/departure date.

     Arrival/departure time.

     Arrival/departure airline.

    6. Do not make lodging reservations, [POC name] will make the lodging reservations for the whole team. They will contact you shortly with information on lodging. 7. Do not make rental car reservations at this time. When [POC name] has received each individual's arrival information, they will develop a transportation plan and designate certain team members to make rental car reservations.

    8. DCMA Instruction 8210.2 (available on the DCMA-AO website) outlines specific duties for AOI team members and timelines that must be met for a successful AOI visit. I expect each team member to review this instruction and notify me immediately if they cannot complete a requirement or meet a timeline.

    9. [When the AOI visit is to an OCONUS location, discuss any unique uniform, protocol and driver’s license requirements. Require all team members to complete DLA Form 391and return form to Deputy Lead NLT 45 days prior to AOI. Ensure all personnel complete Survival, Evasion, Resistance and Escape (SERE) Code of Conduct Level B training (current within 6 month of arrival in AOR), Anti-Terrorism Level 1 (current within 12 months of departing), completed Isolated Personal Report (ISOPREP) and oversea classified security travel briefing.] I look forward to working with all of you. Watch your inbox for further planning guidance.

Thanks,

    [AOI Team Lead rank and name]

    [Contact info to include mobile phone]

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