Chapter 5: Workshop Preparation

1.  **[Workshop Equipment and Material Requirements]{.underline}**

The purpose of this section of the Implementation Guide is to provide
the user with a detailed understanding of the materials and equipment
required for a PAWSA workshop. These resources are the responsibility of
the sponsor; however, in the spirit of partnering with industry, the
sponsor may consider obtaining assistance from the private sector.

> *Appendix A: Workshop Preparation Schedule Checklist* provides a
> schedule and checklist for workshop material and equipment
> preparations. The checklist should be photocopied and used by the
> facilitation team as a reminder for action item deadlines.
>
> Producing some of the materials requires several weeks of advance
> planning. Other materials, which are more administrative in nature,
> can be prepared a few days before the workshop, as long as the
> necessary resources are obtained in advance.
>
> *Appendix B: Workshop Equipment Checklist* provides a list of
> materials and equipment generally required for a PAWSA workshop. Keep
> in mind that this checklist is not all-inclusive and may vary based on
> the needs of the facility and size of the workshop. Detailed
> explanations of the workshop materials are provided in subsequent
> sections of this chapter.

2.  **[Waterway Chart(s)]{.underline}**

## Selecting Charts

> Chart(s) of the waterways are required to facilitate in-depth
> discussions of navigation issues. The chart(s) must cover the entire
> waterway area that is expected to be defined by workshop participants.
> Charts must cover the main waterway, its navigation channels, and any
> adjacent or converging waterways that impact vessel traffic.
>
> For example, the PAWSA for Port Arthur, TX, covered waterways within
> the following geographic bounds:
>
> The area between Sabine Bank Lighted Whistle Buoy "SB", marking the
> entrance to Sabine Bank Channel, the Sabine River to a point
> approximately 7 miles (11.3 kilometers) north of Orange, TX, and the
> Neches River to Beaumont, TX. Between Texaco Island and Orange, a
> reach of approximately 17 miles (27.4 kilometers), the deep-water
> channel is shared with Intercoastal Waterway (ICW) traffic.
>
> Charts should be the latest edition, but do NOT need to be corrected
> to bring them up to date with notices to mariners. Chart(s) must be of
> adequate scale to provide details relevant to navigation such as
> waterway infrastructure (e.g., bridges, pipelines, etc.), commercial
> cargo and passenger facilities, and marinas, etc. The ideal scale will
> vary depending on the size of the waterway.
>
> Sometimes, multiple charts are required to present the waterway at an
> appropriate scale. The Port Arthur, TX, waterway described on the
> previous page required the use of three NOAA charts: 11341, 11342, and
> 11343.
>
> Ideally, all charts selected should be close to the same scale to
> minimize confusion during the discussion periods.

## Displaying Charts

> Because the charts will be referred to throughout the workshop, they
> should be placed at the front of the room. Generally, they should be
> slightly off to one side to allow for the simultaneous presentation of
> the PowerPoint™ slideshow on the projection screen, and at a slight
> angle so as not to obstruct the view of the participants on that side
> (refer to *Appendix C: Workshop Floor Plan* in Chapter 3).
>
> If multiple charts are used, they should be arranged so that they
> depict the entire waterway as if they were one continuous chart (i.e.,
> pieced together side-by-side, like a puzzle), if possible.
>
> There are two methods of displaying the charts that traditionally have
> worked well. One method requires firmly mounting charts to a rigid
> backboard such as foam core, wood, Plexiglas, or heavy-duty cardboard.
> Charts are then placed on easels or other appropriately elevated
> stands and fixed together with tape or thumbtacks (from the back).
> Another method entails posting charts on a conference-size display
> board. An example waterway chart used in a previous PAWSA workshop is
> provided below:
>
> Chart of Narragansett Bay
>
> ![](media/image1.png){width="2.740972222222222in"
> height="4.010416666666667in"}
>
> *[Color Coding Charts]{.underline}*
>
> The facilitator will use the charts throughout the workshop, first to
> define the waterway and later to discuss specific areas of risk. As
> the participants identify areas where risks exist, the facilitator
> places colored adhesive dots (e.g., Avery #05463 colored coding
> labels) on the chart to mark those areas. The adhesive dots are
> color-coded to match the colors of the risk categories on the Waterway
> Risk Model. This provides a visual display of the waterway risks and
> helps participants stay focused on the risk category that is currently
> being discussed. Notice that the chart pictured on the preceding page
> has been marked in this fashion. Since the adhesive dots are difficult
> to remove, the chart(s) used for the workshop should not be the
> primary charts used by the sponsor's personnel, but chart(s) that can
> be discarded, if desired.

3.  **[Participant Folders]{.underline}**

A folder containing general information should be prepared for each
participant and observer. This information, often referred to as session
handouts, assists participants in understanding the PAWSA process and
schedule, clarifies key points for completing *Books 1 -- 5*, and
provides space for notetaking throughout the workshop.

As a general rule, 30 participant folders (plus the expected number of
observer folders) should be assembled; however, depending on the size of
the waterway and/or the workshop, making additional copies to
accommodate unexpected observers and last-minute participant
substitutions is prudent.

A folder should be placed at each participant's seat prior to his/her
arrival at the workshop so he/she can review the material before the
workshop begins. The following items are recommended for inclusion in
the folders (see *Appendices C -- G* for the first five items, the
following section of this chapter for the waterway profile material,
*Appendix H* for the Glossary of Terms, and *Appendix I* for the
Workshop Critique):

-   Workshop Agenda

-   Facilitation Team Contact List

-   Waterway Risk Model

-   Waterway Risk Model Explanation

-   Risk Factor Mitigations

-   Waterway Profile Material

-   Glossary of Terms

-   Workshop Critique

If desired, create Ports and Waterways Risk Assessment Workshop labels
for the front of each folder using *Appendix J: Participant Folder
Labels*. Each label should include the PAWSA title, workshop dates, and
waterway name. The electronic format for the labels is already prepared,
with the exception of the waterway-specific information. After entering
the correct information, prepare a color printer with proper label paper
(i.e., Avery #5204 label paper) and print that page of the electronic
file only.

4.  **[Waterway Profile Material]{.underline}**

The waterway-specific data should be factual[^1] and presented in both
graphic and text format. Ideally, five years of data depicts a good
representation of the information requested in factual terms. In some
locations, however, five years worth of statistical data may not be
available for various reasons, while in other locations more than five
years of statistical data may be available. Therefore, provide as much
specific data as possible based on the amount of existing information.

The sponsor should provide the participants with enough data to
understand the nature of the risks in the waterway. Explanations and
examples provided on the following pages identify the different types of
data that are typically used during a PAWSA workshop. They should be
used as a general guide for format when presenting the data. An
alternate format may be used, as long as the same information is
provided. More or less data can be used based on the extent of
operations in the waterway under discussion.

The primary point of contact should collect data from a variety of
public and private organizations to ensure comprehensive and accurate
waterway profile data. Good data sources include local USCG files and
databases, pilots' associations, port authorities, and recreational
boating associations. The U.S. Army Corps of Engineers Navigation Data
Center in New Orleans, LA, also collects waterborne commerce statistics
that can be helpful for a PAWSA. Some organizations provide general data
on their Internet websites; however, organizations typically can provide
more current and waterway-specific data if given several weeks advance
notice.

> *[Distributions of Vessel Transits by Vessel Type]{.underline}*

Workshop participants will need data showing which types of vessels,
proportionately, are transiting the waterways. Typically, this
information is relied upon heavily during a PAWSA workshop.

Ideally, data should reflect the categories identified below. Sponsors,
however, should identify vessel types that are most critical to
understanding the navigation risk and potential consequences of a marine
casualty in the waterway that is being considered.

-   Passenger Vessels

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-   Cruise Ships

-   Shallow Draft Vessels (Subchapter T & K vessels)

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-   Tank Vessels

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-   Tankships

-   Tank Barges

-   Integrated Tank Barges

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-   Freight Vessels

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-   Container Ships

-   Bulk Freighters

-   Barges

The waterway-specific data is best presented in the form of a pie chart
(in percentages) using the latest year's transit data as show in Example
#1 on the next page.

**Example #1**

![](media/image2.wmf)

*[Waterway Navigational Attributes]{.underline}*

Many of the waterway's characteristics can be represented in a simple
bulleted or narrative form. List the specifications pertaining to the
following topics regarding the waterway's navigational characteristics:

-   **Traffic:** Briefly describe the amount of traffic using the
    waterway. Traffic includes deep draft vessels (e.g., ocean-going
    cargo vessels, passenger vessels, oil rigs), shallow draft vessels
    (e.g., tugs and tows, offshore supply vessels), commercial fishing
    vessels, and pleasure craft. Include information regarding traffic
    mix (i.e., is the waterway single use or multi-use (e.g., commercial
    / recreational) and, if the latter, do conflicts occur), and
    congestion issues (e.g., heavy volume at certain dates / times or
    areas of waterway).

-   **Wind**: Briefly describe the prevailing wind conditions in the
    area. Estimate the percentage of time that the wind blows greater
    than 20 knots sustained. Note any difficulties being encountered by
    waterway users due to wind effects.

-   **Visibility Restrictions:** Briefly describe how often restricted
    visibility conditions occur within the waterway. These conditions
    include all phenomena that prevent the waterway user from being able
    to see other traffic and aids to navigation (e.g., fog, rain
    squalls, snowstorms, smoke, etc.). Estimate the percentage of time
    that fog closes the waterway or that snowstorms hinder operations in
    winter.

-   **Visibility Impediments:** Briefly describe visibility impediments
    within the waterway area. These include all obstacles, other than
    previously listed, and naturally occurring features that prevent the
    waterway user from being able to see other traffic and aids to
    navigation (e.g., moored vessels, structures, background lighting,
    vegetation, etc.).

-   **Water Movement:** Describe current flow in the waterway. Be
    specific about the type and speed of current (e.g., flow with or
    across the channel at varying speeds). Also include information
    about predominant seasonal currents (e.g., fast currents in spring
    with slower movement in the fall).

-   **Obstructions:** Briefly describe obstructions (e.g., ice, floating
    debris, fishing nets, etc.) in the waterway that affect safe vessel
    navigation. Estimate the percentage of time obstructions occur and
    note any difficulties encountered by waterway users due to
    obstructions.

-   **Dimensions:** Describe the width and depth of the channel and how
    much room there is for two vessels to pass each another. Identify
    areas where the width and depth changes and areas that are
    considered problem areas for vessel movement.

-   **Bottom Type:** Briefly describe the type of bottom in the waterway
    and any areas that concern waterway users. Bottom types include mud,
    silt, rock, sand, etc.

-   **Waterway Configuration:** Briefly describe any major bends in the
    waterway and their location. Describe the locations where traffic
    merges from converging waterways, and any locations where traffic
    regularly crosses the main ship channel (e.g., ferry operators,
    Intercoastal Waterway, etc.).

-   **Number of Passengers:** Describe how many passengers transit the
    waterway on an annual basis, and describe how well prepared the
    waterway community is to deal with personnel injuries in the event
    passenger vessels are involved in a marine incident. Describe how
    well the waterway community is prepared to treat and/or evacuate
    passengers if the situation arises (e.g., incorporate data
    pertaining to the number of mass casualty drills held in the area).
    Types of passenger vessels that carry large numbers of passengers
    and should be considered include cruise ships, charter fishing
    boats, dinner cruises, military craft, ferries, etc.

-   **Volume of Petroleum:** Describe the volume of petroleum products
    coming in and out of the waterway in terms of the number of vessel /
    barge movements and the total volume being transported by water.

-   **Volume of Chemicals:** Describe the volume and type of chemicals
    being transported on the waterway. Specifically state whether any
    chemical cargoes are moving in bulk.

-   **Mobility:** Describe how vulnerable the waterway is to impacts
    resulting from marine incidents involving critical infrastructure in
    or alongside the waterway; that is, those shoreside things critical
    to moving marine cargo throughout the waterway (e.g., terminals,
    pipelines, bridges, etc.). Describe the impacts if the channel
    cannot be used (e.g., waterway / channel closure resulting from a
    sunken ship, oil or hazardous material spill, etc.).

See Example #2 on the next page for example data pertaining to the
Waterway Navigational Attributes section.

**Example #2**

*[Distribution of Cargo Tonnage]{.underline}*

Compile a graphic representation in the form of a pie chart (in
percentages) to proportionately show the amount and types of cargo
carried throughout the waterway for the most recent year for which data
is available.

**Example #3**

![](media/image3.wmf)

*[Cargo Tonnage History]{.underline}*

Compile a graphic representation in the form of a bar chart using the
total cargo tonnage statistics, by year, beginning with the earliest
data available.

> **Example #4**
>
> ![](media/image4.wmf)

*[Waterway Casualty History]{.underline}*

Providing waterway casualty statistics proves useful when discussing the
consequences side of the Waterway Risk Model equation. Compile a graphic
representation in the form of a bar chart using the number of casualties
by type and year. The following types of casualties should be
considered:

-   Collisions

-   Allisions

-   Groundings

-   Loss of Vessel Control

-   Flooding / Sinking

-   Capsize

-   Structural Failure

-   Fire / Explosion

Historical casualty data should, at a minimum, focus on incidents that
resulted in significant damage, pollution, or loss of life, or that
affected vessel movement. Accident investigations conducted by the USCG
and the U.S. National Transportation Safety Board should be cited
together with resulting recommendations and actions.

See Example #5 on the next page for example data pertaining to the
Waterway Casualty History.

> **Example #5**
>
> ![](media/image10.wmf)

*[Pollution Spill History]{.underline}*

In an effort to provide participants with a comprehensive perspective of
the waterway's pollution spill statistics, create a graphic
representation in the form of a bar chart. Present the number of spills,
by year, from the following sources:

-   Commercial Vessels

-   Recreational Craft

-   Shore Facilities

**Example #6**

> ![](media/image11.wmf)
>
> *[Current Vessel Traffic Management Measures]{.underline}*
>
> In a simple bulleted or narrative form, provide a comprehensive list
> of the current VTM measures. Include not only federal or other
> governmental regulations and specific in-place measures such as a
> Vessel Traffic Service (VTS) or Vessel Traffic Information Service
> (VTIS), but also operating practices followed by pilots or segments of
> the industry that may not otherwise be documented. The list assists in
> identifying measures that are (1) not common knowledge, (2) are
> inadequate or in need of revision, or (3) are not consistently
> complied with by all waterway users. The discussion may also identify
> practices by various segments of the industry that are not generally
> known, and should be added for future reference.

-   **Aids to Navigation (USCG & Private):** Describe known ATON
    problems.

-   **Vessel Traffic Systems:** Describe the VTS / VTIS coverage area,
    if one exists.

-   **Situation Awareness for Each Ship:** Describe how vessels are made
    aware of the following:

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-   Other vessel movements and intentions

-   Problems in the waterway

-   Existing / forecasted environmental conditions

See Example #7 on the next page for example data pertaining to the
Current VTM Measures section.

> **Example #7**

## Planned and Anticipated Changes 

In a simple bulleted or narrative form, list the known changes that may
affect waterways management. Examples include things such as alterations
to channel configuration due to bridge construction or repair, dredging,
changes in shoreside facilities, changes in levels and/or nature of
waterway activities, and forecasted traffic levels. The list should also
highlight anticipated changes that may be under consideration, but have
no firm commitment as of yet. The following items are recommended for
inclusion:

-   Planned Infrastructure Developments

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-   Active USACE permits

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-   Changes in Levels and/or Nature of Waterway Activities

-   Forecast Traffic Levels

-   USCG Regulations to Be Implemented

-   Changes Under Consideration (Not Committed) []{.mark}

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-   USACE permits being considered

> **Example #8**

5.  **[Books 1 -- 5]{.underline}**

> As described in the first chapter, a standard set of books is used to
> guide the participants' self-evaluation and pair-wise choices
> throughout the workshop.
>
> Prepare one copy of *Books 1 -- 5* for each two-person team, plus one
> copy for each observer. Each book is handed out and completed
> separately during the workshop; therefore, prepare *Books 1 -- 5*
> separately (i.e., do not bind the books together into full sets).
> *Books 1 -- 4* should be stapled; however, *Book 5* is completed one
> page at a time and should NOT be stapled.
>
> Write each team's number on the first page of each book. Also write
> the team number in the space provided on the top-right corner of EACH
> page of Book 5. This will be important during the workshop in the
> event there are any questions about a particular team's data for which
> the facilitation team needs clarification. For easy distribution
> during the workshop, organize books in stacks by the book number and
> chronologically by team number (e.g., one stack of Book 1, another
> stack of Book 2, etc.).

*Appendices K* -- *O* contain *Books 1 -- 5*, respectively, and are
designed to be printed and photocopied as needed directly from the
Implementation Guide, once the waterway name and date have been changed
accordingly.

6.  **[Critiques]{.underline}**

Upon completion of the two-day assessment, participants, and observers
if interested, are asked to provide feedback on various aspects of the
PAWSA process, facilities, and the presentation of material. The
Workshop Critique is an invaluable tool used to enhance the process by
incorporating beneficial comments, as well as provide the facilitation
staff with an understanding of how they performed their duties
associated with the workshop. The second benefit is especially helpful
to the facilitation staff where an additional workshop is warranted.
Using *Appendix I: Workshop Critique*, which provides the recommended
format and content, make at least 40 copies for the workshop; this
should be enough to provide each person, including the observers, with a
tool to evaluate the workshop and the PAWSA process.

7.  **[Participant / Observer Nametags / Name Tents]{.underline}**

Generate nametags and name tents for the participants and observers to
create a professional image. The files used to create these items are
standardized with the exception of individualized information (i.e.,
first and last names, and represented organizations or associations).

All attendees, including participants, as well as observers and
facilitation staff members, should have a clip-on style name badge for
two reasons: (1) others are provided the opportunity to know who they
are working with and what segment of industry that person represents,
and (2) social intermingling between all persons is encouraged
throughout the workshop. The second factor is very important, as a
strongly bonded workshop group is more likely to actively implement
recommended changes after the fact. Create all nametags for the workshop
after receiving confirmation from the attending participants and
observers. We recommend using Clip Style Name Badges (2¼ x 3½ inches),
Avery model #CC10-0C, and the template in *Appendix P: Workshop*
*Nametags*. If following this recommendation, pay particular attention
to the type of Avery nametags that are used; the correct model number is
CC10-0C, rather than CC10-10C.

After completing the nametags, create name tents for each participant.
Observers and the facilitation team do not require name tents because
the name tents are placed at the workshop table to indicate each
participant's seating position and team designation. Name tents, in
addition to serving the same purposes as the nametags, also assist the
facilitator (and other participants) in personally referring to each
participant by name during workshop discussions. Using Large Tent Cards
from Avery (model #5309) and *Appendix Q: Workshop Name Tents* complete
all participant name tents. Each name tent requires two separate
printings to obtain the required information on each side of the tent
(i.e., print the information one time; after ink dries, turn and reload
the printed paper; print the information again). To enhance printing
efficiency, the electronic file has been created to allow five names to
be entered and printed at one time. Depending on the speed and capacity
of the printer, a working file may be modified (i.e., some pages deleted
or added) as needed.

The most imperative aspect of this task is to check (and
[double-check]{.underline}, preferably by another person) the proper
spelling of all names, titles, and organizations. Attention to detail
during this task is critical to avoiding embarrassment and unnecessary
reprinting at the start of the workshop. A simple misspelling can ([and
has]{.underline}) unintentionally set the wrong tone for the course of
the entire workshop!

8.  **[Attendee Contact List]{.underline}**

While introductions are being made on the first morning, the facilitator
should pass around the Attendee Contact List, which provides / captures
each person's name, represented organization, address, telephone number,
fax number, and email address.

Before the workshop begins, fill in *Appendix R: Attendee Contact List*
as much as possible with information obtained during the initial
selection and/or invitation phases of the PAWSA process. Completing this
information prior to the workshop allows each attendee to simply confirm
contact information already obtained by the sponsor and primary point of
contact, making changes only if necessary. To make reviewing the list
more efficient, alphabetize the list by last name. However, quite often
participant and/or observer substitutions are made at the last minute;
therefore, provide an additional page of blank spaces so those
individuals can insert their information when the list is circulated.

With the exception of the Attendee Contact List, which ultimately is
used as a means of providing contact information for all participants
and observers, names and organizations are NOT captured as part of the
workshop data. As in every brainstorming session, all participant verbal
inputs are considered equally important to the PAWSA process, so are
recorded in an unbiased manner and without source attribution.

[^1]: Actual historical statistics characterizing the operation of the
    port are NOT incorporated into the calculations of the waterway risk
    assessment process. Rather, they are used to focus attention on the
    major port attributes during deliberations throughout the process.
    However, in an effort to facilitate future risk assessments at the
    local level, a member of the facilitation team should record any
    changes to the information identified by workshop participants and
    update the port profile as needed.