Chapter 6: Conducting the Workshop

At this point, all preliminary administrative, logistics, and material
preparations should be completed. The purpose of this chapter and
appendices is to show Implementation Guide users how to conduct an
actual PAWSA workshop---from start to finish. Proper review and use of
this chapter and appendices is not only an absolute necessity for
conducting a PAWSA workshop, but will greatly enhance the facilitation
team's performance during the workshop. Specifically, the notes provided
throughout this documentation will enable the facilitator, as well as
the rest of the facilitation team, to gain a complete understanding of
the step-by-step actions required during each segment of the workshop.

1.  **[Pre-Workshop Meeting]{.underline}**

> Three to five days before the PAWSA begins, the sponsor, appropriate
> members of the sponsor's staff, the facilitation team, and any other
> personnel responsible for helping with the workshop should meet in
> person to review and discuss workshop details, including, but not
> limited to, the following (see *Appendix A: Pre-Workshop Meeting
> Agenda*):

-   Introduction of all team members, if they have not already met
    (e.g., if the sponsor is using other staff members in addition to
    the specific facilitation team, or private contractors are being
    used to provide workshop support).

-   Sponsor's opening remarks, which should include the overall workshop
    objectives (NOT a detailed review of the waterway risk assessment
    process, which will be discussed in detail by the facilitator early
    on the first morning), discussion of why the participants were
    selected, and the workshop products.

-   Issues specific to that waterway including significant safety risks
    from the sponsor's perspective, politically sensitive issues, and
    the recommended geographic boundaries of the waterway.

-   Participant details including a list of actual attendees (known at
    that point), homogenous team assignments, and any participant
    strengths and weaknesses.

-   Logistics details including final facility requirements (e.g.,
    providing final head count to facility as required in advance of the
    function, last-minute changes to times, etc.), completion and use of
    the waterway chart and workshop materials (e.g., participant
    folders, books, etc.).

-   Daily session review plans, including who should attend.

-   Waterway familiarization tour issues (e.g., time, etc.), if
    necessary.

2.  **[Workshop Design]{.underline}**

> A successful risk assessment workshop for any waterway requires the
> following, at a minimum: (1) sufficient time for proper instruction of
> the participants about the overall process and risk model concepts,
> (2) time for adequate guided discussion of each risk factor, (3)
> elicitation of considered responses from each expert for each risk
> factor in each book, (4) feedback, and (5) confirmation of results.
>
> Typically, 16 working hours, over a period of two full days, are
> required to accomplish the foregoing. The workshop usually starts at
> 8:00 a.m. and finishes at 5 p.m., with a 1-hour lunch, on both days.
> This schedule allows time for participants to complete all workshop
> activities plus confer privately with each other, with the observers,
> and with others, about key issues raised during each workshop stage,
> which could contribute new perspectives to the subsequent stage(s).
>
> *[Scope and Objective of Each Day]{.underline}*

-   Day One:

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-   The presentations that occur in the morning on the first day provide
    an overview of the entire PAWSA process, while hopefully motivating
    the participants. The information includes the sponsor's opening
    remarks, administrative items, review of the workshop agenda, the
    PAWSA background briefing, and an explanation of the risk assessment
    process. During this portion of the workshop the participants are
    introduced to the Waterway Risk Model and the associated risk
    categories and risk factors that will be the focus of the two-day
    session. Once the general information is provided, participants
    complete *Book 1: Team Expertise* [just for their team]{.underline}.
    That input is used to create [preliminary]{.underline} weights for
    subsequent inputs. Participants also complete *Book 2: Risk Factor
    Rating Scales*, and then proceed to lunch.

-   Following lunch, participants review the *Book 2* results, which
    leads into discussions pertaining to actual risk in the waterway for
    each risk factor. *Book 3: Baseline Risk Levels* is used to
    numerically evaluate risk levels based on the participants'
    discussions. This portion of the workshop does NOT consider risk
    mitigating measures that are already in place. During discussions,
    participants should be encouraged to identify, where appropriate,
    trends and changes under consideration, so that they are
    incorporated into the risk assessment process.

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-   Day Two:

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-   The second day begins with a review of the preliminary *Book 3*
    results and continues with an in-depth discussion and evaluation of
    *Book 4: Mitigation Effectiveness*. This portion of the workshop
    DOES consider current mitigation measures. Just before lunch, the
    *Book 1* evaluation forms are returned to the participants, who
    finish evaluating the relative expertise of [all]{.underline} teams.

-   Following lunch on the second day, the participants review the final
    *Book 3* and *Book 4* results, which leads to discussion and
    evaluation of *Book 5: Additional Mitigations*. Late during this
    session participants complete the workshop critique and review the
    final results from *Book 5*.

> *Appendix B: Facilitator Agenda* provides a precise breakdown of the
> workshop segments, timeframe references, and details specific to
> conducting the waterway risk assessment. *Appendix C: PAWSA Day One
> Brief* and *Appendix D: PAWSA Day Two Brief* are the Power Point™
> presentations that should be used during the workshop on Day One and
> Day Two, respectively. Each brief provides very detailed notes about
> each slide and should, therefore, be used by the facilitator while
> conducting the workshop. More importantly, *Appendices B -- D*,
> including the presentation notes, should be [thoroughly]{.underline}
> studied by the facilitator [before]{.underline} the workshop begins.
> *Appendix E: List of Slides* is another useful tool that can be used
> as a quick reference for locating each topic within the Day One and
> Day Two briefs.
>
> *[Comprehensive Methodology Explanation]{.underline}*

Throughout the remainder of this chapter, several references are made to
an electronic file used for entering all quantitative data gathered
during the workshop. This file, *Appendix F: All Books (waterway name)*,
is an Excel™ workbook containing spreadsheets for the data collected
from each Book, and is often referred to as the "PAWSA software". There
is an essential need for the facilitation team to review the Excel™ file
in its entirety prior to the workshop to gain a full understanding of
how the data is collected and processed during the workshop. This file,
including the complete implementation guide and appendices, can be found
online at
<http://www.navcen.uscg.gov/mwv/projects/pawsa/pawsa_home.htm>.

**Book 1: Team Expertise**

The results from *Book 1*, which captures the expertise level of each
team relative to one another, are used to weight each team's inputs for
all of the other books. This is done as a five-step process:

-   First, participants are assigned to teams, with every effort made to
    put two people with the same basic general background on each team.
    For example, if there are two harbor pilots in the group, then they
    would be put together into one team; likewise, if there are two
    environmentalists in the group, they would become one team. The
    intent is that each team has two people with a similar perspective
    on waterway safety issues. Teams of three do NOT work well because
    of the social dynamic that is created! If an odd number of
    participants are present, consider having one of the observers
    become a participant. Use a "team" of one or three people only as a
    [last]{.underline} resort.

-   In the second step, the two teammates introduce themselves, if
    necessary, and discuss their knowledge of the concepts underlying
    the Waterway Risk Model. Then a representative from each team is
    asked to tell the entire panel about his/her team's strengths and
    weaknesses with respect to the six risk categories in the Waterway
    Risk Model.

-   After each team is heard, part of *Book 1* is completed as the third
    step. In that evaluation, the teams place themselves into the top
    1/3, middle 1/3, or lower 1/3 of the teams comprising the panel with
    respect to knowledge about each of the six risk categories. The
    teams evaluate only themselves at this point.

-   The data entry person enters the scores from each team into the gray
    shaded cells of the *Bk 1 Input* spreadsheet in the *All Books
    (waterway name)* Excel™ workbook. The *Book 1* results appear in the
    *Bk1 Rslts* spreadsheet. Those results are NOT shown to the
    participants.

-   In the final step, immediately after the participants finish filling
    out *Book 4: Mitigation Effectiveness* at the end of the second
    morning, the facilitator discusses the overall *Book 1* results with
    the participants, gives them back their original *Book 1* forms, and
    then asks the teams to reevaluate their initial inputs in light of
    those results and their greater understanding (at that point) of
    each team's true expertise. Additionally, the teams are asked to
    evaluate the expertise level for all of the other teams at this
    time. Participants should be encouraged to assign the same number of
    1's, 2's, and 3's [on each line]{.underline} (i.e., for each risk
    category) of the evaluation form. The scores are entered in the *Bk
    1 Input* spreadsheet by the data entry person. These changes
    automatically update the calculations in all the other spreadsheets
    in the *All Books (waterway name)* workbook, thereby producing the
    final PAWSA quantitative results. Expect that some slight changes in
    the *Book 2* and *Book 3* preliminary results will occur when these
    updates occur.

**Book 2: Risk Factor Rating Scales**

The qualitative descriptions in *Book 2* characterize the range of
possible conditions that affect risk in a waterway for that factor. As
explained previously in Chapter 2, there are four levels of risk
described for each of the 24 risk factors. The lowest level of risk
describes the best case situation, becomes the "A" value on the risk
measurement scales, and always has a numerical value of 1.0. The highest
level of risk describes the worst case situation, becomes the "D" value
on the risk measurement scales, and always has a numerical value of 9.0.
Two intermediate risk level descriptions also are given -- the "B" and
"C" values. Participants are asked to compare, in turn, the "A" and "B"
risk level descriptions, then the "B" and "C" descriptions, and finally
the "C" and "D" descriptions. This is done by the participants circling
a number on a 1 to 9 scale that shows how much riskier they judge the
right hand description to be compared to the left hand description for
each pair. The greater the difference between the values assigned to two
descriptors, the greater the difference in their perceived effects on
risk. As seen on the next page, that 1 to 9 scale is loosely correlated
with a qualitative risk increase progression, where:

  ----------- -------------------------------------------------------------
  **Score**   **Risk Progression**

  1 =         The two descriptors are [equally]{.underline} risky

  ≈ 4 =       The right hand descriptor is [somewhat more]{.underline}
              risky than the left hand descriptor

  ≈ 6 =       The right hand descriptor is [much more]{.underline} risky
              than the left hand descriptor

  9 =         The right hand descriptor is [extremely more]{.underline}
              risky than the left hand descriptor
  ----------- -------------------------------------------------------------

The three inputs from each team for each risk factor are entered into
cells B4:P75 of the *Bk 2 Input* spreadsheet by the data entry person.
Those inputs are multiplied by the team's expertise score from *Book 1*,
then mathematically manipulated as described in Chapter 2 to produce the
aggregate rating scales for each risk factor. The results appear in the
*Bk 2 Disp* spreadsheet. Those results are copied and pasted into the
PAWSA Day One PowerPoint™ presentation as explained in section 4 of this
chapter. Those *Book 2* results are shown to and discussed with the
participants.

**Book 3: Baseline Risk Levels**

*Book 3*, which is used to determine a risk level value for every factor
in the Waterway Risk Model, uses the same four qualitative descriptors
for each risk factor as were used in *Book 2*. As far as possible, those
qualitative descriptors are written in absolute terms; that is, the risk
level values that are produced by *Book 3* are intended to NOT take into
account any actions already implemented to reduce risk in that waterway.
After discussing the risks associated with the four factors in a
particular category, the participants check the box next to the
qualitative descriptor that best describes the risk level in this
waterway for each of the four factors being discussed. Once all six
categories have been discussed and the corresponding risk factors
evaluated, the data entry person enters the scores into cells B4:P27 of
the *Bk 3 Input* spreadsheet. If a team checks the first box (describing
the best case), then the computer algorithm assigns a value of 1.0 to
that input. If a team checks the second box, then the "B" value from the
aggregate risk measuring scale for that factor is assigned to that
input. In like manner, the third box is assigned the "C" value and the
fourth box (describing the worst case) is assigned a value of 9.0. The
inputs for each team for each factor are weighted by their team
expertise and then added together to produce the baseline risk value for
that factor. Similar to *Book 2*, the results appear in the *Bk 3 Disp*
spreadsheet and are copied to the PAWSA Day Two PowerPoint™ presentation
as described in section 4 of this chapter. Early on the second morning
of the workshop those results are presented to and discussed with the
participants.

**Book 4: Mitigation Effectiveness**

*Book 4* is used to evaluate the effectiveness of existing mitigation
strategies in reducing the risk level for each factor in the model. The
facilitation team (normally the data entry person) prepares the workbook
using an orange highlighter to roughly mark the results from *Book 3* on
the blank copies of *Book 4*. The participants then discuss the actions
taken / strategies already in place that help to reduce risk for each
factor. For example, under the Deep Draft Vessel Quality risk factor you
would expect the participants to mention vessel inspections by
government agencies as an existing risk mitigating strategy. You also
would expect them to mention that this strategy only applies to certain
vessel classes. The facilitator should encourage the participants to
describe, in qualitative terms, the effectiveness of that particular
strategy.

Once all existing strategies have been discussed for the four factors in
each risk category, the participants are asked to circle a number on the
1 to 9 scale that shows where they think the risk level really is based
on those existing mitigation discussions. In other words, how effective
are those mitigations in reducing risk below the absolute levels
determined via *Book 3*. Though unusual, participants might state (and
then evaluate) that existing mitigations actually INCREASE the risk for
some factor(s). For example, if while discussing the Dimensions risk
factor, participants cite as an existing risk mitigation strategy that a
range light has been established to help waterway users avoid running
aground in a narrow channel, but the range is out of alignment with the
channel, they could evaluate the effect of that mitigation by circling a
higher number (i.e., to the right) of the *Book 3* result.

As the final step in filling out *Book 4*, participants make a
subjective evaluation of whether they think risks are adequately
balanced with existing mitigations for each factor. They do this by
circling Yes (they ARE well balanced) or No (they are NOT well balanced)
on the *Book 4* line for each factor.

> The data entry person enters the inputs from the circles on the 1 to 9
> scales into cells B4:P27 of the *Bk 4 Scores* spreadsheet. The
> computer algorithms weight each team's input by their team expertise
> score and then add the results together to produce the present risk
> level, taking into account those existing mitigations. The Yes / No
> inputs are entered into cells B4:P27 of the *Bk4 Y-N* spreadsheet. The
> results for both components of *Book 4* appear in the *Bk 4 Disp*
> spreadsheet, are copied to the PAWSA Day Two PowerPoint™ presentation
> as described section 5 of this chapter, and then are discussed with
> the participants. Because the updates to the *Book 1* inputs are done
> just before the results are displayed, the participants see FINAL
> results for *Book 4*.

**Book 5: Additional Mitigations**

*Book 5* is used to focus discussion on those risk factors where the
present risk level is NOT well balanced with existing mitigations. For
each risk factor displaying a NO, RISING, or Maybe flag, the
facilitation team (normally done by the data entry person) again uses an
orange highlighter to mark the *Book 4* results on the blank copies of
the *Book 5* evaluation form before those forms are handed to the
participants. Workshop participants then are asked to offer ideas about
what should be done to reduce the risk level for each risk factor so
marked. At this point in the proceedings, the facilitator often needs to
guide the participants through an on-the-fly root cause analysis. In
other words, the facilitator reminds the participants about the specific
nature of the risks that they described for a given risk factor
(referring back to the *Book 3* discussions). Then the facilitator asks
what is causing those risks, i.e., WHY do they exist? By the facilitator
repeatedly asking why, eventually the participants should uncover the
root cause of the high risk situation. Usually the root cause, when
finally identified, points directly to the intervention needed to reduce
the risk. The facilitator writes down the risk mitigation ideas offered
by the participants on a flipchart in 3 to 5 word "bullet" form.

Analysis of ideas offered in the first 28 PAWSA workshops showed that
risk mitigation ideas usually fall into about nine major categories.
Those categories are presented in a later section of this chapter and
also are defined on the first page of *Book 5: Additional Mitigations*.

> Once the participants have offered / discussed their ideas for
> reducing risk, they are asked to write short phrases (3 to 5 word
> bullets) describing ideas with merit on the lines after the categories
> into which the ideas best fit. For example, if the risk factor being
> discussed is Small Craft Quality and the idea being considered is
> "Mandatory boat operator licensing", then the participants would write
> those words on the line next to the Rules & Procedures category under
> that risk factor. After recording each of their ideas, the
> participants evaluate what risk level would result from implementing
> that idea. This is done by circling a number to the left of the *Book
> 4* risk level mark on the 1 to 9 scale next to the implementation
> category where the idea was written. The closer that circle is to 1,
> the more effective the participant team feels the idea to be.
> Participants should be asked to reconsider their input if they circle
> the highlighter mark as that indicates they do not expect any
> improvement from implementing their idea. The data entry person enters
> those numeric evaluations into cells C4:Q219 of the *Bk 5 Input*
> spreadsheet, being VERY careful to put the inputs into the correct
> cells. Those inputs again are multiplied by the team's expertise
> scores and then those scores are added together to get the average
> risk level if the ideas written down for a particular category were
> implemented.
>
> The algorithms for the *Book 5* display determine which category most
> teams have chosen and then how much risk improvement would result from
> the ideas written down for that category. Those *Book 5* display
> algorithms also determine which category was judged to be most
> effective. A yellow Caution flag is displayed if the most chosen
> category is NOT the same as the most effective category AND either
> fewer than 50% of the teams chose the most chosen category OR more
> than 50% of the teams chose the most effective category. The presence
> of the yellow Caution flag for any risk factor indicates lack of
> consensus about the best way to achieve further risk reduction for
> that factor. The *Book 5* results appear in the *Bk 5 Disp*
> spreadsheet, are copied to the PAWSA Day Two PowerPoint™ presentation
> as described in section 5 of this chapter, then are shown / discussed
> with the participants. Because the updates to the *Book 1* inputs are
> done just before this stage in the process, the participants see FINAL
> results for *Book 5*.
>
> After the workshop is complete, a member of the facilitation team
> reviews all of the *Book 5* written inputs (i.e., the short phrases)
> and does an analysis to be incorporated into the *PAWSA Workshop
> Report*. That analysis should determine if any ideas NOT discussed
> during the workshop were written down and how many teams offered the
> same approach to further mitigating risk for a particular factor. See
> Chapter 7 for details about the format and content for the *PAWSA
> Workshop Report*.

3.  **[Facility Setup]{.underline}**

> If all preliminary logistics are properly completed, setting up the
> workshop room is fairly straightforward. If possible, the facilitation
> team should access the workshop room the day / evening before the
> start of the workshop and set up the materials then; this may depend
> on the location of the workshop (i.e., commercial facility or locally
> hosted facility). Setting up the workshop materials the day before may
> disclose problems that, if found early, can be resolved without
> becoming a crisis. In the event that early access is not possible,
> prepare to arrive in the workshop room at least one hour prior to the
> published start to allow sufficient setup time. The following is a
> general list of setup items that should not be overlooked:

+-----+-------+--------------------------------------------------------+
| -   | ###   | **Action**                                             |
|     |  Step |                                                        |
+-----+-------+--------------------------------------------------------+
| -   | 1     | Ensure workshop room table / chair setup provides      |
|     |       | adequate space for the facilitation team and the       |
|     |       | confirmed number of participants and observers (refer  |
|     |       | to Chapter 3, *Appendix C: Workshop Floor Plan*).      |
+-----+-------+--------------------------------------------------------+
| -   | 2     | Set up and test all electrical equipment including the |
|     |       | projector, printer, and all computers.                 |
|     |       |                                                        |
|     |       | **NOTE:** Three computers are typically needed to      |
|     |       | conduct an efficient workshop; however, if only two    |
|     |       | computers are used, extra time will be needed for      |
|     |       | transferring a computer from the notetaker to the data |
|     |       | entry person during the data collection segments of    |
|     |       | the workshop.                                          |
+-----+-------+--------------------------------------------------------+
| -   | 3     | Open the appropriate PowerPoint™ presentation file,    |
|     |       | and verify that all slides are in their proper order   |
|     |       | and appropriate slides are hidden as described in      |
|     |       | *Appendix B: Facilitator Agenda*.                      |
+-----+-------+--------------------------------------------------------+
| -   | 4     | Verify the *All Books (waterway name)* file is up to   |
|     |       | date and includes all previous PAWSA results,          |
|     |       | including those from a previously held PAWSA at the    |
|     |       | same location, if applicable (see Chapter 2, *Appendix |
|     |       | A: Converting Risk Model Scores*.)                     |
+-----+-------+--------------------------------------------------------+

+-----+-------+--------------------------------------------------------+
| -   | 5     | Place all participant nametags in alphabetical order   |
|     |       | on a registration table near the entryway to the       |
|     |       | workshop room.                                         |
+-----+-------+--------------------------------------------------------+
| -   | 6     | Place all participant name tents on the workshop       |
|     |       | tables in the seating order previously determined      |
|     |       | (i.e., with homogenous teammates sitting next to each  |
|     |       | other). Angle the name tents so that both the          |
|     |       | participants [and]{.underline} the facilitator can     |
|     |       | read them easily.                                      |
+-----+-------+--------------------------------------------------------+
| -   | 7     | Place an assembled participant folder, a pad of paper, |
|     |       | and a pencil at each seat.                             |
+-----+-------+--------------------------------------------------------+
| -   | 8     | Mount the waterway chart(s) on easels at the front of  |
|     |       | the room.                                              |
+-----+-------+--------------------------------------------------------+
| -   | 9     | Ensure the lighting/temperature is adequate, and know  |
|     |       | how to make adjustments if necessary.                  |
+-----+-------+--------------------------------------------------------+

> With the exception of setting up the electrical equipment, which needs
> to be completed each morning, the rest of the material (e.g.,
> participant folders, name tents, etc.) will typically remain in place
> overnight; therefore, with the exception of Steps 2 and 3, the
> majority of the workshop room setup should only be necessary prior to
> the start of the first day.

4.  **[Day One Activities]{.underline}**

> On the first morning, the sponsor's primary point of contact
> (preferably) or a member of the facilitation team (recommend this be
> the notetaker), should stand near the entry way at the nametag /
> registration table to welcome all participants and observers, taking
> note of any unexpected substitutions. Corrections and additional
> nametags and name tents should be made as soon as possible, without
> disrupting the session in progress. Should substitutions be made, the
> sponsor and the primary point of contact must adjust team assignments
> accordingly, which may include reseating some participants.
>
> A great deal of information is provided to the participants on the
> morning of the first day of the workshop. Very often, the first few
> minutes set the tone for the rest of the workshop. Without a proper
> start and thorough knowledge of the session details, these first few
> minutes can set a poor, rather than a positive, tone for the entire
> process. Therefore, the facilitation team [must]{.underline} ensure
> that everyone knows their role(s) and most importantly, keeps the
> workshop on schedule to avoid having to rush things later in the day.
>
> Unless otherwise noted, during the remainder of this chapter all steps
> should be completed by the facilitator.
>
> *[Morning Procedures]{.underline}*
>
> The morning portion of the workshop focuses on why the workshop is
> necessary, the reasoning behind the specific participant selection,
> the background of the PAWSA process, and a thorough explanation of the
> Waterway Risk Model and its components, along with completion of the
> first two books.

The first and critically important step of the entire workshop is the
sponsor's welcoming remarks. The sponsor should be thoroughly prepared
to deliver the welcoming remarks information in such a way that the
participants feel like their time commitment will be well worthwhile.
The basic topics that the sponsor should cover include the workshop
objectives, the reasoning behind selecting the individuals who are
present, and the products that result from the workshop. In general, the
sponsor should try to reinforce the idea that cooperative
federal/state/local effort is the best approach to accurately
identifying risks and selecting appropriate countermeasures.

> Once the sponsor has welcomed the group, the facilitator should
> introduce the facilitation team and then ask the participants to
> introduce themselves. While this is occurring, the facilitator should
> pass around the Attendee Contact List to all participants and
> observers (refer to Chapter 5, *Appendix R: Attendee Contact List*).
> After the list has circulated, the facilitator should make an
> announcement ensuring that each attendee has had the opportunity to
> review the list and make changes as necessary. Once completed, the
> data entry person should review / correct the document as needed,
> making note of which individuals are observers.
>
> Upon completing the introductions, the following administrative items
> should be covered, addressed to the observers as well as to the
> participants:

-   Provide the location of telephones / restrooms.

-   Address room temperature / lighting issues, if any.

-   Inform attendees that breaks will occur approximately every 90
    minutes and that refreshments will be available.

-   Address parking details, if any (e.g., parking locations, parking
    validation---to avoid unnecessary parking expenses, the
    recommendation is that parking be validated at the end of the day).

-   Cellular / mobile telephones and personal pagers can become
    disruptive, unless the facilitator exercises discretionary control
    during the workshop. Inform all attendees of the rules regarding
    cellular telephones and personal pagers. The facilitator should
    request the cooperation of the participants in limiting distraction
    by turning them off / to the vibrate mode. Should a participant
    receive a call, he/she should leave the room to respond.

-   Describe the participant folder contents: Workshop Agenda /
    Facilitation Team Contact List / Waterway Risk Model / Waterway Risk
    Model Explanation / Risk Factor Mitigations / Waterway Profile
    Material / Glossary of Terms / Workshop Critiques. The facilitator
    should remind the participants to remove and review each document
    during the particular segment of the workshop where the document is
    first addressed.

-   Before the actual risk assessment process can begin, the Workshop
    Agenda should be reviewed in detail to give all participants a
    comprehensive understanding of the next two days.

-   After reviewing the agenda, briefly explain what the participants
    will be expected to do during the workshop and give a brief
    explanation of each book.

-   Also explain the quality assurance process, i.e., that the
    quantitative inputs for each team are double-checked in the PAWSA
    software at the end of the day and corrected, if necessary.

-   Finally, explain in a very direct, but tactful way, the role of the
    observers (i.e., observers are there only to observe---not to
    provide direct input into the process).

> After covering all necessary administrative items, the PAWSA
> background brief should be conducted using the appropriate portion of
> *Appendix C: PAWSA Day One Brief* (slides 12 through 18).
>
> After reconvening from the first break, one hour is allotted to
> provide an overview of the Waterway Risk Model to explain the concepts
> underlying each risk factor in the model. This necessitates a very
> brisk pace and requires in depth knowledge by the facilitator about
> nuances in the concepts underlying the model. Encourage the
> participants to take notes and ask questions. Once this explanation is
> done, make sure all teammates are seated next to each other, either
> based on original team assignments or on necessary adjustments due to
> additional participants and/or substitutions.
>
> Instruct the participants to discuss with their teammate(s) the team's
> strengths and weaknesses with respect to the Waterway Risk Model
> categories. Then have a spokesperson from each team brief the other
> workshop participants on their discussion. Following those short
> presentations from each team, explain how to fill out *Book 1*, and
> ask them do so. Remind the participants to complete only their team's
> column. Once all teams are finished, collect all copies and give them
> to the data entry person for entry into the PAWSA software (see
> *Appendix F: All Books (waterway name)*).

Similarly, describe how to fill out *Book 2*, and have the teams
complete *Book 2* accordingly. As with the previous book, as the teams
complete their evaluations collect the books and give them to the data
entry person for entry into the PAWSA software.

> The explanation and completion of each of these two books will require
> approximately 30 minutes. Upon completion of the second book, the
> morning portion of the process is finished; therefore, tell the
> participants where to get lunch (i.e., stay in/near workshop room for
> a catered lunch or use nearby local dining facilities) and when the
> workshop will reconvene.

During lunch complete the following steps to ensure a prompt and
accurate start to the afternoon portion of the workshop:

  ---------- ----------------------------------------------------------------
  **Step**   **Action**

  1          Using the data entry person's computer, enter inputs from *Book
             1: Team Expertise* into *All Books (waterway name)* / *Bk 1
             Input*.

  2          Using the data entry person's computer, enter inputs from *Book
             2: Risk Factor Rating Scales* into *All Books (waterway name)* /
             *Bk 2 Input*.

  3          Copy cells A2:F10 from *All Books (waterway name)* / *Bk 2 Disp*
             (data entry person's computer) to PAWSA Day One Brief
             presentation slide 21 (facilitator's computer).

  4          Hand out *Book 3: Baseline Risk Levels*.

  5          Unhide PAWSA Day One Brief presentation slides 21, 22, 23, and
             29.

  6          Hide PAWSA Day One Brief presentation slides 51, 52, 53, 54, and
             55.

  7          Restart the afternoon session at PAWSA Day One Brief
             presentation slide 21.
  ---------- ----------------------------------------------------------------

> *[Afternoon Procedures]{.underline}*
>
> Immediately after lunch, display the *Book 2* results and review them
> with the participants. Make sure the participants are clear on how
> those *Book 2* rating scales are used. The rest of the afternoon
> session focuses on assessing the current risk levels in the waterway,
> without taking into account the mitigating measures already in place;
> that is, the [baseline]{.underline} risk for each factor in the
> Waterway Risk Model.
>
> Begin this discussion by having the participants define the geographic
> area to be discussed; the notetaker should record this information in
> the appropriate place in the *PAWSA Workshop Report* (see Chapter 7,
> *Appendix C: PAWSA Workshop Report* for the recommended format /
> template). While *Book 3* discussions are occurring, the notetaker
> also should record a general sense of the discussion in short sentence
> form in the portion of the same *PAWSA Workshop Report* template.
> Participants should be reassured that all notes will be recorded
> anonymously, i.e., there will be [no]{.underline} individual or
> organizational identification of who made a particular comment.

Explain that the waterway chart presented at the front of the room is
used to visually identify risk areas during the *Book 3* discussion. As
noted in Chapter 5, this can be accomplished by placing adhesive markers
on specific risk areas mentioned, color-coded to match the Waterway Risk
Model category being discussed.

Due to the length of the discussions and evaluations, the *Book 3*
discussion can be broken down into three logical sections between
scheduled break periods as follows:

-   Vessel Conditions and Traffic Conditions: Initiate a discussion of
    waterway risks for the Vessel Conditions risk factors. Once that
    discussion is done, explain how to fill in *Book 3*, then ask
    participants to check the blocks on page 1 of *Book 3* that best
    describe the waterway being discussed. Once all teams are finished
    evaluating the Vessel Conditions category, continue the discussion
    for the Traffic Conditions risk factors. Finally, ask participants
    to complete page 2 of *Book 3* before taking a break.

-   Navigational Conditions and Waterway Conditions: Initiate a
    discussion of waterway risks for the Navigational Conditions risk
    factors, then ask participants to fill out page 3 of *Book 3*. Once
    all teams are finished with the Navigational Conditions category,
    continue the discussion for the Waterway Conditions risk factors and
    ask participants to complete page 4 before taking a second break.

-   Immediate Consequences and Subsequent Consequences: Remember to
    shift the focus to the impact side of the risk equation when
    discussing these two risk categories. Initiate a discussion of
    waterway risks for the Immediate Consequences risk factors, then ask
    participants to complete page 5 of *Book 3*. Once all teams are
    finished with the Immediate Consequences category, continue the
    discussion for the Subsequent Consequences risk factors and ask
    participants to complete page 6 of *Book 3*.

Once all teams have finished their *Book 3* evaluations, collect all
copies and provide them to the data entry person for entry into the
PAWSA software.

To wrap up the participant-portion of the first day of the workshop,
provide a quick review of what they did today and what they can expect
to do tomorrow. After any and all questions are answered, the
participants may be excused.

> *[Session Review]{.underline}*

After the participants have left the workshop room, a session review is
conducted (i.e., a discussion of how the first day went). During the
session review the sponsor and all members of the facilitation team, as
well as any supporting sponsor personnel deemed appropriate, are given
the opportunity to provide feedback on how the workshop is going. That
feedback should cover overall impressions, presentations, facilities,
participant mix and level of involvement. During this discussion,
constructive criticism is necessary, focused on any changes needed
before the second day of the workshop.

> *[Post-Day One Immediate Action Items]{.underline}*

After everyone has had an opportunity to comment in the session review,
the discussion turns to the action items that must be completed before
the second day of the workshop. Once the following items are completed,
the facilitation team is excused until the following morning.

  ---------- ------------------------------------------------------------
  **Step**   **Action**

  1          Using the data entry person's computer, enter inputs from
             *Book 3: Baseline Risk Levels* into *All Books (waterway
             name)* / *Bk 3 Input*.

  2          Perform a complete quality assurance check of data entry for
             *Books 1*, *2*, and *3* (normally completed by the notetaker
             and the data entry person).

  3          Copy cells A2:F10 from *All Books (waterway name)* / *Bk 3
             Disp* (data entry person's computer) to PAWSA Day Two Brief
             presentation slides 5 and 8 (facilitator's computer).

  4          Mark *Book 3* results on all copies of *Book 4: Mitigation
             Effectiveness* using orange highlighter (normally completed
             by the data entry person).
  ---------- ------------------------------------------------------------

5.  **[Day Two Activities]{.underline}**

> Prior to beginning the second day of the workshop, ensure that the
> setup and testing of all electrical equipment has been completed. Also
> open *Appendix D: PAWSA Day Two Brief* to use for the second day's
> presentations and hand out the *Book 4: Mitigation Effectiveness*
> evaluation forms to each team.

The process used for the second day is very much like what was done for
the first day, but with a much different focus. The second day focuses
on mitigating the risks that were brought up during the first day's
discussion and evaluation. After the *Book 3: Baseline Risk Levels*
results are reviewed, participants discuss the mitigating measures that
are currently in place for each factor, which are then quantitatively
measured using *Book 4*. During the afternoon session, other suggestions
are offered for further reducing risk in the waterway. The potential
effectiveness of those additional actions are then evaluated using *Book
5: Additional Mitigations*.

> *[Morning Procedures]{.underline}*

At the start of the day, take approximately 15 minutes to review the
agenda for Day Two to refocus all participants and observers as
necessary, and display, review and discuss the results from *Book 3*.

> The rest of the morning focuses primarily on [existing]{.underline}
> risk mitigations. There are sure to be many mitigating measures
> already in place. Consequently, the discussion needs to be about both
> the extent to which they are used [and]{.underline} their
> effectiveness. These concepts must be fully understood before moving
> on to the afternoon portion of the workshop.
>
> As was done on Day One, the notetaker should record a general sense of
> the *Book 4* discussions in short sentence form into the appropriate
> portion of the *PAWSA Workshop Report* using the template provided in
> Chapter 7, *Appendix C: PAWSA Workshop Report*.

As was done with *Book 3*, the *Book 4* discussion can be broken down
into three logical sections between scheduled break periods, as follows:

-   Vessel Conditions and Traffic Conditions: Initiate a discussion of
    existing risk mitigations for the Vessel Conditions risk factors.
    Once complete, explain how to fill out *Book 4* and ask participants
    to complete the Vessel Conditions section of *Book 4*. Once all
    teams are finished evaluating the Vessel Conditions category,
    continue the discussion of existing risk mitigations for Traffic
    Conditions risk factors; ask participants to complete the Traffic
    Conditions section of *Book 4*.

-   Navigational Conditions and Waterway Conditions: Initiate a
    discussion of existing risk mitigations for the Navigational
    Conditions risk factors; ask participants to complete the
    Navigational Conditions section of *Book 4*. Once all teams are
    finished with the Navigational Conditions category, continue the
    discussion of existing risk mitigations for Waterway Conditions risk
    factors; ask participants to complete the Waterway Conditions
    section of *Book 4*.

-   Immediate Consequences and Subsequent Consequences: Remember to
    shift the focus to the impact side of the risk equation when
    discussing these two risk categories. Initiate a discussion of
    existing risk mitigations for the Immediate Consequences risk
    factors; ask participants to complete the Immediate Consequences
    section of *Book 4*. Once all teams are finished with the Immediate
    Consequences category, continue the discussion of existing risk
    mitigations for Subsequent Consequences risk factors; ask
    participants to complete the remainder of *Book 4*.

Once all teams have completed their *Book 4* evaluations, collect all
copies and give them to the data entry person for entry into the PAWSA
software.

Give each team their copy of *Book 1: Team Expertise* and tell the teams
in general terms about the *Book 1* results. Typically at least 50% of
the teams will have put themselves into the Upper Third division, and
very few will have put themselves in the Lower Third division. Have the
teams completely fill out *Book 1*, evaluating where all of the teams
relate to each other with respect to their expertise in each risk
category. Encourage participants to place equal numbers of 1's, 2's, and
3's on each [line]{.underline} of the form, which will achieve the
desired expertise distribution. Remind teams that if they choose to
change the input previously provided about their own expertise, they
should X out the previous entry and circle the new number. As teams
finish *Book 1*, collect the forms and give them to the data entry
person for entry into the PAWSA software. This completes the morning
portion of the workshop; therefore, tell the participants where to get
lunch and when the workshop will reconvene.

During lunch, complete the following steps to ensure a prompt and
accurate start to the afternoon portion of the workshop:

  ---------- ------------------------------------------------------------
  **Step**   **Action**

  1          Using the data entry person's computer, enter inputs from
             *Book 4* into *All Books (waterway name)* / *Bk 4 Scores*
             and\
             *Bk 4 Y-N*.

  2          Using the data entry person's computer, enter inputs from
             *Book 1* into *All Books (waterway name)* / *Bk 1 Inputs.*

  3          Mark results from *Book 4* on all copies of *Book 5* using
             orange highlighter (normally completed by the data entry
             person).

  4          Copy cells A2:L14 from *All Books (waterway name)* /\
             *Bk 4 Disp* (data entry person's computer) to PAWSA Day Two
             Brief presentation slides 12 and 15 (facilitator's
             computer).

  5          Hand out *Book 5: Additional Mitigations*.
  ---------- ------------------------------------------------------------

> *[Afternoon Procedures]{.underline}*
>
> On the second day, the afternoon focuses on interventions that might
> provide additional risk reduction for the waterway. Before beginning
> those discussions, first review the *Book 4* results with the
> participants. Next, explain in detail the concepts underlying the
> mitigation intervention categories. Analysis of past PAWSA workshop
> results has shown that mitigation strategies seem to fall into the
> following nine categories:
>
> **Coordination / Planning** Improve long-range and/or contingency
> planning and better coordinate activities / improve dialogue between
> waterway stakeholders
>
> **Voluntary Training** Establish / use voluntary programs (Coast Guard
> Auxiliary, Power Squadron, other state/local programs) to educate
> waterway users in topics related to waterway safety (Rules of the
> Road, ship / boat handling, etc.)
>
> **Rules & Procedures** Establish / refine rules, regulations,
> policies, or procedures (navigation rules, pilot rules, standard
> operating procedures, licensing, required training and education,
> Regulated Navigation Areas, etc.)
>
> **Enforcement** More actively enforce existing rules / policies
> (navigation rules, vessel inspection regulations, standards of care,
> etc.)
>
> **Nav / Hydro Info** Improve navigation and hydrographic information
> (the Physical Oceanographic Real-Time System (PORTS), Broadcast
> Notices To Mariners, charts, coast pilots, Automatic Identification
> System (AIS), tides and current tables, etc.)
>
> **Radio Communications** Improve the ability to communicate
> bridge-to-bridge or ship-to-shore (radio reception coverage, signal
> strength, reduce interference and congestion, etc.)
>
> **Active Traffic Mgmt** Establish / improve a Vessel Traffic Service
> (information, advice and control) or Vessel Traffic Information
> Service (information and advice only)
>
> **Waterway Changes** Widen / deepen / straighten the channel and/or
> improve the aids to navigation (buoys, ranges, lights, LORAN C,
> Differential Global Positioning System (DGPS), etc.).
>
> **Other Actions** Risk mitigation measures needed that do NOT fall
> under any of the above intervention strategy categories

The *Book 4* results are used to stimulate discussion relating to what
additional interventions are needed to further mitigate risks in the
waterway. The only risk factors discussed during this portion of the
workshop are those that the *Book 4* evaluation showed are NOT well
balanced with [existing]{.underline} mitigations (i.e., those risk
factors with either a red flag (NO or RISING) or a yellow flag (Maybe)
as the result). After being properly instructed, participants consider
what else needs to be done for a particular risk factor, and indicate
their opinions in *Book 5*.

As with earlier portions of the workshop, while *Book 5* discussions are
occurring, the notetaker should record a general sense of the discussion
in short sentence form in the appropriate portion of the same *PAWSA
Workshop Report* template. The facilitator also may use a flipchart at
the front of the room to write down brief phrases (e.g., three-to-five
word bullets) that capture the essence of the new mitigation ideas being
discussed for each risk factor. If this is done the teams will have
something to refer back to when filling out *Book 5*.

Again, due to the length of the discussions and evaluations, the *Book
5* discussion can be broken down into three logical sections between
scheduled break periods, just as was done for *Book 3* and *Book 4*.
Remember, [only]{.underline} discuss and have the participants evaluate
risk factors displaying a red or yellow flag; there is no need to
discuss / evaluate mitigation interventions for those risk factors
displaying a green flag.

-   Vessel Conditions and Traffic Conditions: Initiate a discussion of
    additional risk mitigations for the Vessel Conditions risk factors
    only. Then explain how to fill out *Book 5* and ask participants to
    complete page 2 of *Book 5*. Once all teams are finished with the
    Vessel Conditions section, continue the discussion of additional
    risk mitigations for Traffic Conditions risk factors; ask
    participants to complete page 3 of *Book 5*.

-   Navigational Conditions and Waterway Conditions: Initiate a
    discussion of additional risk mitigations for the Navigational
    Conditions risk factors; ask participants to complete page 4 of
    *Book 5*. Once all teams are finished with the Navigational
    Conditions section, continue the discussion of additional risk
    mitigations for Waterway Conditions risk factors; ask participants
    to complete page 5 of *Book 5*.

-   Immediate Consequences and Subsequent Consequences: Initiate a
    discussion of additional risk mitigations for the Immediate
    Consequences risk factors; ask participants to complete page 6 of
    *Book 5*. Once all teams are finished with the Immediate
    Consequences section, continue the discussion of additional risk
    mitigations for Subsequent Consequences risk factors; ask
    participants to complete page 7 of *Book 5*.

Due to the amount of time needed for *Book 5* data entry, each page
should be collected by the facilitator upon completion and given to the
data entry person for immediate entry into the PAWSA software, allowing
the results display to be completed prior to the participants' review.

At this point there is only one hour remaining in the workshop. While
the data entry person continues to enter the *Book 5* inputs, ask all
participants and observers to [individually]{.underline} complete the
Workshop Critique. When collecting the critiques, remember to do so in a
manner that preserves anonymity. Once all critiques are collected,
display, review, and discuss *Book 5* results with the participants.
Upon conclusion of the discussion, wrap up the workshop by thanking the
participants and the observers on behalf of the facilitation team. Then
turn the floor over to the sponsor for final remarks.

> *[Session Review]{.underline}*
>
> As was done on Day One, a session review should be conducted once the
> participants have left the room following the last workshop session.
> Aside from discussing overall impressions of Day Two, the basis for
> this meeting is to ensure that the sponsor, sponsor's primary point of
> contact, and each member of the facilitation team are aware of the
> post-workshop action items, and the agreed upon order and timeline for
> completing those items. See *Chapter 7: Post-Workshop Action Items*
> for details.
>
> If contractor support is used to conduct the workshop, a meeting
> should be held with the sponsor and his/her staff on the second day
> after the workshop as required by section 3.4 in the Statement of Work
> to discuss the final results of the workshop (see Chapter 3, *Appendix
> A: Statement of Work*).