# Presentation: 513496

##  WATERWAY RISK ASSESSMENT

**WATERWAYS MANAGEMENT PLANNING TODAY**** TO BE READY FOR TOMORROW**

- PAWSA

- [WATERWAY NAME]

**Notes:**

PAWSA DAY TWO BRIEF

## DAY TWO – MORNING

-   8:00 –   8:30 a.m.	Coffee & Pastries
-   8:30 –   8:45 a.m.	Baseline Risk Levels Results
-   8:45 –   9:50 a.m.	Existing Risk Mitigations			Discussion / Evaluation
- 10:00 – 10:50 a.m.	Existing Risk Mitigations			Discussion / Evaluation
- 11:00 – 12:00 p.m.	Existing Risk Mitigations			Discussion / Evaluation
- 12:00 –   1:00 p.m. 	Lunch

**Notes:**
Welcome back!  Here is the schedule for this morning.  Remember to turn off your beepers and cell phones or put them into vibrate mode. In just a moment I will pass out the Attendee Contact List again.  Please take a moment to review and validate your information.  If something is incorrect, please make the correction as needed before passing it on.
Yesterday we defined, discussed and evaluated the absolute level of risk in [waterway name].  In a few moments we’ll look at the final, QA’d results.

We will spend the balance of the morning discussing and evaluating existing risk mitigations -- those safety improvement strategies that you already have in place to reduce the probability of accidents occurring and to ensure that you are prepared to deal with the impacts if a marine casualty should occur. 

## DAY TWO – AFTERNOON

-   1:00 –   1:15 p.m.	Mitigation Effectiveness 		    	     Results
-   1:15 –   1:30 p.m.	Risk Categories Explanation
-   1:30 –   3:45 p.m. 	Mitigation Interventions			Discussion / Evaluation
-   3:45 –   4:00 p.m. 	Break
-   4:00 –   4:15 p.m.	Team Expertise Re-evaluation
-   4:15 –   4:30 p.m.	Workshop Critique
-   4:30 –   4:45 p.m.	Additional Mitigations Results
-   4:45 –   5:00 p.m.	Workshop Wrap-up

**Notes:**
First thing this afternoon we will review the evaluation results from this morning.  That evaluation will tell us that either the safety risks in this waterway ARE or ARE NOT well balanced by mitigation strategies already in place.  If your evaluation is that risks and existing mitigations ARE well balanced for one or more risk factors, then we are done with those risk factors.  If your evaluation is that the present risk level is NOT balanced by existing mitigations -- in other words, additional actions are needed -- then we will move on to discuss what those additional actions should be -- and how effective you think they might be.  Just as YOU know best how severe the risks are in this waterway, so too do YOU know how best to address the risks in this area.

As final steps in the workshop, you’ll be ask to reevaluate your team expertise and evaluate (for the first time) the other team’s expertise since at that point you’ll have a much clearer idea of how your strengths match up against the other participant teams.  Then we’ll ask you to give feedback on how the workshop has gone, and particularly how you think this perfect process could be made even better.  Finally   (sponsor / sponsor’s representative) will close the session and talk about the next steps in the overall PAWSA process.

## PAWSA PROCESS

**PAWSA PROCESS**

**Notes:**
Again, just to give you a visual of where we stand in the process, here’s where we are today.  Yesterday we completed the first three steps – Books 1, 2, and 3; today we will tackle the last two steps – Book 4 and Book 5.  

Are there any questions about what we did yesterday, where we are in the process, or where we think we’re headed?

## RISK ASSESSMENT

**Notes:**
[Copy / paste cells A2:F10 from All Books (waterway name) / Bk 3 Disp onto this slide AND onto slide 8]
[Hand out Book 4: Mitigation Effectiveness to each team]

[Perform an ad hoc analysis of the results from Book 3: Baseline Risk Levels.]

As you worked through Book 3 you undoubtedly noticed that the risk descriptions are written in absolute terms.  In other words, these results give the risk picture WITHOUT considering any of the many mitigation actions that you have already put in place.  We’re going to spend the rest of this morning thinking about what is already being done to reduce the risks in (waterway name) and how effective those actions are.
[For each risk factor in the Vessel Conditions category:
	(1)  remind the participants about the general concepts comprising the risk factor
	(2)  remind the participants about the nature of the risks for each risk factor (giving examples from the discussion and evaluation on the afternoon of Day One).  Use the notetaker’s notes as needed.
	(3)  ask participants about what is already being done to mitigate those risks; i.e., reduce the risk level.]

[After discussing the four risk factors in this category, go to next slide.]

## Book 4: MITIGATION EFFECTIVENESS

_**Risk Category**_
- Factor One	1	2	3	4		5	6	7	8		9		Yes	No
- Factor Two	1	2	3	4		5	6	7	8		9		Yes	No
- Factor Three	1	2	3	4		5	6	7	8		9		Yes	No
- Factor Four	1	2	3	4		5	6	7	8		9		Yes	No

**Book 4: MITIGATION EFFECTIVENESS**

- =  Baseline risk level value from Book 3

- =  Risk level accounting for existing mitigation strategies

- Risks / MitigationsBalanced?

**Notes:**
From the last 30 minutes discussion we have a good feel about what is already being done to reduce the risks associated with the condition of vessels and mariner / operator proficiency in this waterway.  Now you are going to evaluate just how effective you think those existing measures really are.  Take a look at Book 4, which we just handed out.

Referring to the results from Book 3 (orange marks which denote the absolute level of risk in this waterway), circle the number on each risk factor scale which best describes the likely future level of risk for that factor, taking into consideration existing risk mitigation strategies.

For each risk factor, do the risk mitigation strategies already in place adequately balance the present level of risk?  Are you comfortable with the present level of risk, i.e., do NOT think anything significant needs to be done to further reduce that risk?  (Yes or No)

## Book 4: MITIGATION EFFECTIVENESS

_**Risk Category**_
- Factor One	1	2	3	4		5	6	7	8		9		Yes	No
- Factor Two	1	2	3	4		5	6	7	8		9		Yes	No
- Factor Three	1	2	3	4		5	6	7	8		9		Yes	No
- Factor Four	1	2	3	4		5	6	7	8		9		Yes	No

**Book 4: MITIGATION EFFECTIVENESS**

- =  Baseline risk level value from Book 3

- =  Risk level accounting for existing mitigation strategies

- Risks / MitigationsBalanced?

**x**

**Notes:**
The PAWSA software uses only whole numbers for the initial data, so if your team believes the level of risk falls between two numbers, such as our example above (between 3 and 4), you will be asked by one of the facilitation team members to reevaluate that risk factor and to circle either yes or no.
Working with your teammate, fill out Book 4 ONLY for the Vessel Conditions category.

## RISK ASSESSMENT

**Notes:**
[Copy / paste cells A2:F10 from All Books (waterway name) / Bk 3 Disp onto this slide]

[Continue with discussion / evaluation of remaining categories]

[Take a break after every two categories have been discussed / evaluated]

8:45 to 9:45 – Discuss Vessel Conditions and Traffic Conditions categories (and their risk factors)
9:45 to 10:00 – BREAK
10:00 to 10:45 – Discuss Navigational Conditions and Waterway Conditions categories (and their risk factors)
10:45 to 11:00 – BREAK
11:00 to 11:45 – Discuss Immediate Consequences and Subsequent Consequences categories (and their risk factors)

## Waterway User
Stakeholder
Regulator

**Stakeholder**
**Regulator**

**Team Expertise**

**Notes:**
[Review in general terms the results the Book 1 inputs done on the first day.  Typically at least 50% of the teams will have placed themselves in the Top 1/3 division and very few teams will have placed themselves in the Lower 1/3 division.  Explain that usually when you divide a group into thirds, only 1/3 are in each division.]

At this point, everybody in the room has a MUCH better understanding about which teams are the most knowledgeable about the concepts included within each risk category in the PAWSA Risk Model.  So now is the time to finish filling out Book 1.  In doing this, if you need to change the score that you put down yesterday for your team’s expertise, that’s okay. If you think you may have scored yourselves too high or too low, please change your score by putting a big X through the old mark and circling a new number. Please DON’T feel any pressure to make changes.  But please DO make changes if YOU feel that is appropriate.

After you have reevaluated your team’s scores, please take a few minutes to evaluate the other teams’ level of expertise in each category as well. We know that in the room here today is a broad sample of waterway users, stakeholders, and regulators from this community.  This means that the group has differing levels of expertise in the various aspects of the Waterway Risk Model.  So, as you are filling out Book 1, please make every effort to use the same number of 1’s, 2’s, and 3’s on each LINE of the form.  In other words, about [number equal to one third] of the teams should fall into the top one third of expertise for each risk category, [number equal to one third of the teams] into the middle, and [number equal to one third of the teams] into the lower third compared to the expertise of the other teams that are here.

When done with Book 1, please place your form on the front edge of the table so that I can collect them. 

[Announce where lunch will be served and when the session will reconvene.]

## LUNCH!

**LUNCH!**

**Notes:**
[During lunch:
	ENTER inputs from Book 4: Mitigation Effectiveness into	 	All Books (waterway name) / Bk 4 Scores and 		Bk 4 Y/N
	ENTER inputs from Book 1: Team Expertise into	 	All Books (waterway name) / Bk 1 Inputs
	MARK results from Book 4 onto all copies of Book 5:		Additional Mitigations using orange highlighter
	COPY cells A2:F10 from All Books (waterway name) / Bk 4		Disp to slide 13 and 16
	HAND OUT Book 5: Additional Mitigations]

## ACTION PLANNING

**	****RISKS **
**	****	****	****GOALS **
**	****	****	****	****	****STRATEGIES**
**	****	****	****	****	****	****	**** ****ACTIONS**

**Notes:**
Action planning normally follows this progression:  define risks, develop goals that will mitigate the affects of those risks, consider strategies that will help to achieve the goals, and implement actions that are in alignment with the strategies.

For example:
If the Risk is: ice conditions require that many of the buoys marking the channel be removed during cold weather months.
Then the Goal might be: reduce risk of groundings by vessels using the waterway during those months.
And the Strategy might be: convoys.
And an Action to take might be: issue a COTP order requiring vessels to be escorted by a government icebreaker when transiting the waterway.

[Recap the generic explanation.]

[Tell Parable of the Big Rocks]

## MITIGATION CATEGORIES

**Coordination / Planning**
**Voluntary Training**
**Rules & Procedures **
**Enforcement**
**Navigation / Hydrographic Info**
**Radio Communications**
**Active Traffic Management**
**Waterway Changes**
**Other Actions**

**Notes:**
Analysis of past PAWSA results showed that mitigation strategies seem to fall into nine general categories:
[Refer participants to the last page of the Glossary of Terms document in their folders.]
Coordination / Planning:  Improve long-range and/or contingency planning and better coordinate activities / improve dialogue between waterway stakeholders
Voluntary Training: Establish / use voluntary programs (USCG Auxiliary, Power Squadron, other state / local programs) to educate waterway users in waterway safety (Rules of the Road, ship / boat handling, etc.) 
Rules & Procedures:  Improve rules, regulations, policies, or procedures (NAVRULES, pilotage rules, standard operating procedures, licensing, RNAs, etc.) 
Enforcement:  More actively enforce existing rules / policies (navigation rules, vessel inspection regulations, standards of care, etc.) 
Nav / Hydro Info:  Update / improve navigation and hydrographic info (PORTS, BNTM, charts, coast pilots, AIS, tides & current tables, etc.) 
Radio Communications:  Improve physical ability to communicate master to master / pilot to pilot (radio reception coverage, signal strength, reduce interference & congestion, etc.) 
Active Traffic Management:  Establish/improve a Vessel Traffic Service (info, advice & Coast Guard presence) or Vessel Traffic Information Service (information & advice only)
Waterway Changes:  Widen / deepen / straighten the channel and/or improve aids to navigation (buoys, ranges, lights, LORAN C, DGPS, etc.) 
Other Actions:  Risk mitigation measures needed that do NOT fall under any of the above strategy categories 

## MITIGATION EFFECTIVENESS LEVELS

**Notes:**
[Copy and paste cells A2:L14 from All Books (waterway name) / Bk 4 Disp onto this slide during the lunch break.  REMEMBER TO DO THE SAME TO SLIDE 16!!!!]
Here are the results from your evaluations this morning. The upper left hand block under each risk factor name shows the results from Book 3: Baseline Risk Levels (i.e., the ABSOLUTE levels of risk in the waterway).  The upper right hand block under each risk factor name shows the Book 4: Mitigation Effectiveness results (i.e., the risk level taking into account mitigations that are already in place).  The lower block under each risk level name says either “Balanced” (meaning that at least 2/3 of participant teams judged risk levels to be well balanced by existing mitigations) or “NO” (meaning that at least 2/3 of participant teams judged risk levels to NOT be well balanced by existing mitigations) or “Maybe” (meaning that there is not at least 2/3 agreement about whether or not risk levels are balanced by existing mitigations).  [Perform ad hoc interpretation. ]
This afternoon we will discuss what else needs to be done to reduce risk for ONLY those risk factors where there was clear consensus that something else needs to be done [denoted by a red NO] or there was NOT clear consensus that risks are already well balanced by existing mitigations [denoted by a yellow MAYBE].  We are done with those risk factors showing the green Balanced.
[Ask the participants for their ideas about what should be done to further reduce risk for all NO and MAYBE risk factors in the Vessel Conditions category (if any, else in the leftmost category that needs to be discussed).  Point out the before / after numbers as you start the discussion for each risk factor.  Jot down mitigation ideas on the flipchart at the front of the room in 3-5 word bullets to be referred back to by the teams as they complete Book 5. After all factors have been discussed in the first category to be discussed, go on to the next slide.]

## Book 5: ADDITIONAL MITIGATIONS

_**RISK CATEGORY**_** **
**Risk Factor**
**	****Coordination / Planning****	****____________________****	****1    2    3    4    5    6    7    8    9**** **
**	****Voluntary Training****	****____________________****	****1    2    3    4    5    6    7    8    9**** **
**	****Rules & Procedures****	****____________________****	****1    2    3    4    5    6    7    8    9**** **
**	****Enforcement****	****____________________****	****1    2    3    4    5    6    7    8    9**** **
**	****Nav / Hydro Info****	****____________________****	****1    2    3    4    5    6    7    8    9**** **
**	****Radio Communications****	****____________________****	****1    2    3    4    5    6    7    8    9**** **
**	****Active Traffic Management****	****____________________****	****1    2    3    4    5    6    7    8    9**** **
**	****Waterway Changes****	****____________________****	****1    2    3    4    5    6    7    8    9**** **
**	****Other Actions****	****____________________****	****1    2    3    4    5    6    7    8    9**

- =  Existing risk level value from Book 4

- =  Risk level if this mitigation strategy were implemented

***Specific action needed***

**Another action needed**

**Notes:**
We’ve just heard several different ideas about how to further reduce the risks associated with the [category name] category.  You’re probably thinking that some of those ideas sound pretty good and some of them sound pretty far fetched.  Now we’re going to capture (in the privacy of your own team) what you think the BEST answers are and how effective those mitigation strategies would be, if implemented.
Evaluate ONLY those risk factors highlighted in orange in the [category name] section.  Those are the factors where risk is NOT already at an acceptable level, based on the group’s earlier assessment from Book 4.  Also marked in orange on the 1 to 9 scales are the evaluations from Book 4 denoting the current risk level, taking into account existing mitigations). Under each risk factor are abbreviations (and definitions) for the nine categories of possible risk mitigation interventions.
Based on the discussion you just heard, think about what really should be done to further reduce the risks associated with each of the risk factors marked in orange. In the space provided next to the appropriate mitigation intervention category, write a brief phrase (3 to 5 words) to indicate the substance of the idea about what specific action should be taken.  PLEASE WRITE LEGIBLY!  You don’t have to fill in every line.  For example, improvements to the communications system won’t do anything to improve the quality of vessels using this waterway.
For each intervention category where you write down an action, circle the number on the adjacent 1 to 9 scale which indicates where you think the risk level would be if that mitigation intervention were implemented.

## MITIGATION CATEGORIES

**Coordination / Planning**	Improve long-range and/or contingency planning and better coordinate activities / improve dialogue between port stakeholders
**Voluntary Training**	Establish / use voluntary programs to educate mariners / boaters in topics related to waterway safety (Rules of the Road, ship/boat handling, etc.)
**Rules & Procedures**	Establish / refine rules, regulations, policies, or procedures (nav rules, pilot rules, standard operating procedures, RNAs, licensing, _require_ training and education, 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 (PORTS, BNTM, charts, coast pilots, AIS, tides & current tables, etc.)
**Radio Communications**	Improve the ability to communicate bridge-to-bridge or ship-to-shore (radio reception coverage, signal strength, reduce interference & congestion, etc.)
**Active Traffic Mgmt**	Establish/improve a Vessel Traffic Service (info, advice & control) or Vessel Traffic Information Service (information & advice only)
**Waterway Changes**	Widen / deepen / straighten the channel and/or improve the aids to navigation (buoys, ranges, lights, LORAN C, DGPS, etc.)
**Other Actions**	Risk mitigation measures needed do NOT fall under any of the above strategy categories

**Notes:**
As you complete Book 5, use this slide to remind yourselves what each mitigation category specifically includes (and, equally as important, what each mitigation category does NOT include).

## ADDITIONAL MITIGATIONSLEVELS

**Notes:**
[Copy and paste cells A2:L14 from All Books (waterway name) / Bk 4 Disp onto this slide during the break]

[Continue with the discussion / evaluation of all other risk categories where there are NO and MAYBE results from Book 4.]

[Take a 10 minute break after the Traffic Conditions category has been discussed / evaluated, again after the Waterway Conditions category, and again when finished with Book 5. 

To stay on schedule, come back from:

	 the first break at 1415,

	the second break at 1515, 

	and the third break at 1615.]

## CRITIQUE

**Notes:**
We have done many, many PAWSA workshops over the past four and a half years.  As with any quality organization, we have sought to constantly improve our presentations, the methodology being used, and the overall benefit of the process to the port community participants.  The PAWSA workshop you just experienced is RADICALLY different, and we believe, SUBSTANTIALLY better than what we subjected the Port of Mobile to back in August 1999.  The way we continue to improve the PAWSA process is by asking every participant to constructively critique the workshop.  We take those critiques VERY seriously.  But don’t just tell us that we screwed up, tell us how we can make things better for the next group.

You’ll find the critique form in your participant folder.  Take a few moments to finish filling it out.  We will collect the critiques in such a way that complete anonymity is assured.  This is the one time in the workshop that we’ll ask you to work individually -- NOT in teams.  The observers are welcome to fill out a critique as well.  Once again -- PLEASE WRITE LEGIBLY!

## ADDITIONAL MITIGATIONS

**Notes:**
[While the participants are filling out the workshop critique, copy cells A2:L14 from All Books (waterway name) / Bk 5 Disp to this slide.]
Here are the results from your Book 5: Additional Mitigations evaluation.  The upper block under each risk factor name says either “Balanced” (meaning that risks were judged to be well balanced with existing mitigations during the Book 4 evaluation) or shows the name of the intervention category which most teams selected.
The lower left hand block under each risk factor name shows how much improvement would be achieved if actions within the intervention category shown were implemented.  Obviously, that lower left cell is blank if “Balanced” is displayed for that risk factor.
Where the lower right hand block under a risk factor name says “Caution”, that means that an intervention category other than the one displayed was judged to provide MORE risk reduction than the one displayed.  This is an indicator that the you are divided in your opinion about what actions should be taken to further reduce risk for that factor.
[Perform an ad hoc analysis of the results from Book 5: Additional Mitigations.  Look for the most improvement -- biggest bang for the buck.]
These numbers along with a detailed analysis of your recommended specific actions will be delivered to [sponsor name] in the form of a PAWSA Workshop Report [and will be disseminated at his/her discretion].

##  WATERWAY RISK ASSESSMENT

**Thanks!**

- PAWSA

- [WATERWAY NAME]

## POST-WORKSHOP ACTION

**PAWSA Workshop Report**
**Actions within COTP authority**
**Interagency liaison / partnerships**
**Seek federal level resources**

**Notes:**
PAWSA Workshop Report captures essence of discussions and conclusions
Document identified risk(s)
Serves as minutes of the workshop
Initial draft generally given to [sponsor] within 1 week 
Makes recommendations about other risk mitigation strategies to consider and who should take action on each recommendation
[Sponsor] reviews for completeness and accuracy then provides comments and recommendations.
[Sponsor] refers recommendations falling in other agency areas of responsibility to those agencies at local level and initiates those actions within his cognizance.
Other levels review for appropriateness, conformity with standards and policy.  Provide comments and recommendations as appropriate, and initiate those actions within their cognizance.
COMDT (G-MWV) review:
Assume responsibility for PPBS actions and partnership implementation
Provide interagency coordination as required
Advise field of actions undertaken / planned
[Sponsor] keeps local port community informed. 
As determined by [sponsor], PAWSA Workshop Report may be distributed to participants via email attachment by [date].