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Transport Canada
• Table of Contents
• Acknowledgement
• Abbreviations and Term
• Definitions iii
• I Introduction 
• II Communications and Documentation in the PRMM
• 2 Risk Assessment Module
• 3 Action Module
• Bibliography 


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Transport Canada > Marine Safety Home Page > Transport Publications | Marine Safety > Pilotage Risk Management Methodology (2001) | TP 13741 | Marine Safety

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BIBLIOGRAPHY

Canadian Standards Association, Risk Management: Guideline for Decision-Makers, CAN/CSA-Q850-97.

Carnegie Mellon University, Continuous Risk Management Guidebook, 1996.

Standards Australia. Risk Management. AS/NZS 4360:1999

Transport Canada, Manual of Aeronautical Studies. TP13011E, 1998

Transport Canada, Regulatory Assessment Methodology, 1997.

Transport Canada, Fisheries and Oceans Canada. Risk-based Design Method for Aids to Navigation in the St. Lawrence River. TP13468E. 1999 Treasury Board Secretariat, Assessing Regulatory Alternatives.

Treasury Board Secretariat, RIAS Writer’s Guide. August 1992.

APPENDIX I - SAMPLE STAKEHOLDER LIST ^

GENERIC STAKEHOLDER LIST

INTERNAL STAKEHOLDER

EXTERNAL STAKEHOLDER
AUTHORITY PILOTS CANADIAN COAST GUARD - FISHERIES AND OCEANS
BOARD OF DIRECTORS

COASTAL ENTERPRISES
CHEF EXECUTIVE OFFICER

CORPORATIONS (PRIVATE)
DISPATCHING PERSONNEL ENVIRONMENTAL GROUPS
OPERATIONAL STAFF MINISTER OF TRANSPORT CANADA (REGULATORY)
PILOTAGE MANAGEMENT PASSENGER SHIP OWNERS - OPERATORS
  PILOTAGE UNIONS/ASSOCIATIONS
  PORT AND HARBOR AUTHORITIES
  PROVINCIAL GOVERNMENTS
 

SHIP OWNERS/ OPERATORS
 

TOWING COMPANIES
  US PILOTAGE AUTHORITIES/ORGANIZATIONS

 WORKSHEET CHECKLIST ^

WORKSHEET TITTLE

 WORKSHEET REFERENCE 
NUMBER		 STATUS
NATURE AND SCOPE OF DECISION 1.1  
IDENTIFY ISSUES 1.1.1  
DEFINE LIMITS AND PRIORITIES 1.1.4  
RISK MANAGEMENT TEAM 1.1.6  
STAKEHOLDER ANALYSIS 1.2  
STAKEHOLDER IDENTIFICATION 1.2.1  
PROFILES OF STAKEHOLDERS AND NICS 1.2.2  
RISK SCENARIOS 2.1  
HAZARD IDENTIFICATION 2.1.1  
DESCRIPTION OF RISK SCENARIOS 2.1.2  
RISK ESTIMATION 2.2  
RISK MATRIX 2.2.2  
RISK EVALUATION 2.3  
IDENTIFICATION OF DEFENCES 2.3.1  
DEFENCE EFFECTIVENESS 2.3.2  
ACCEPTABILITY TO STAKEHOLDERS 2.3.3  
RISK CONTROL STRATEGIES 2.4  
IDENTIFY FEASIBLE OPTIONS 2.4.1  
IMPACT ON IDENTIFIED NICS 2.4.3  
IMPLEMENTATION 3.1  
COMMUNICATION PLAN 3.1.2  

INITIATION MODULE ^
NATURE AND SCOPE OF DECISION WORKSHEET 1.1
PROJECT NUMBER: DATE:
NATURE OF DECISION: GO NO GO (EXPLAIN WHY)
OBJECTIVES TIME FRAME           TEAM  REQUIRED?

START      END            YES         NO
     
     
     
     
AUTHORITY:

 INITIATION MODULE ^
IDENTIFY ISSUES WORKSHEET 1.1.1

SITUATIONAL QUESTIONS

 HOW DO YOU KNOW THIS?
What is happening?  
What is the normal situation?  
Why is it a problem or a concern?  
Is this a concern for your organization?  
How did this situation develop?  
Where does it happen?  
When does it happen?  
What are the circumstances around the issues?  

With whom is it happening or who could be affected by this concern? (Stakeholder worksheet)

  
BASED ON ALL OF THE ABOVE, ARTICULATE A QUESTION THAT WILL CLEARLY IDENTIFY THE NATURE OF THE DECISION.
AUTHORITY:

 

INITIATION MODULE ^
DEFINE LIMITS AND PRIORITIES WORKSHEET 1.1.4
PROJECT NUMBER: DATE:
NATURE OF DECISION:
OBJECTIVES:
LIST THE TASK SEQUENCE CONSTRAINTS START END
     
     
     
     
     
     
     
     
AUTHORITY:

 

INITIATION MODULE ^

RISK MANAGEMENT TEAM

WORKSHEET 1.1.6
PROJECT NUMBER: DATE:
NATURE OF DECISION:
OBJECTIVES:
TASK REQUIRED? CAPABILITY REQUIRED? TEAM MEMBER
     
     
     
     
     
     
     
     
AUTHORITY:

 

INITIATION MODULE ^

STAKEHOLDER ANALYSIS

WORKSHEET 1.2
PROJECT NUMBER: DATE:
NATURE OF DECISION:
NAME NEEDS, ISSUES AND CONCERNS

AFFECTED

YES    NO

CONSULTED

YES  TO DO  NO
AUTHORITY:

 

 

INITIATION MODULE ^

STAKEHOLDER ANALYSIS

WORKSHEET 1.2.1
PROJECT NUMBER: DATE:
NATURE OF DECISION:
NAME

ORGANIZATION

AFFECTED

YES    NO

CONSULTED

YES  TO DO  NO
AUTHORITY:

 

INITIATION MODULE ^

PROFILE OF STAKEHOLDER AND NICs

 WORKSHEET 1.2.2
PROJECT NUMBER: DATE:
STAKEHOLDER:
Needs in relation to the decision to be taken?

 
Do they know, believe, or perceive that they will be affected?

 
How will this positively affect them?

 
How will this negatively affect them?

 
What is their current knowledge/understanding of the issues? Are there any gaps?

 
Do they have any impact on the decision? If so, explain.

 
Concerns in relation to the decision to be taken?

 
Any misperceptions regarding the decision to be taken?

 
Do you need to consult with this stakeholder? Explain.

 
AUTHORITY:

 

 

RISK ASSESSMENT MODULE ^

RISK SCENARIOS

WORKSHEET 2.1
NATURE OF DECISION:
NAME

SCENARIOS

(What if + So what + How often)

 

AFFECTED

 

 

 

Scenario

 

 

NUMBER

Consulted  

  

Keep
YES NO TO DO
YES NO
      YES NO
     
                           
               
   
                  
   
                  
   
                
   
             
   
               
   
               
   
               
AUTHORITY:

 

RISK ASSESSMENT MODULE ^
HAZARD IDENTIFICATION WORKSHEET 2.1.1
PROJECT NUMBER: DATE:
NATURE OF DECISION:
HAZARD DESCRIPTION NATURAL HUMAN ECONOMIC TECHNICAL
         
         
          
          
         
          
         
          
          
AUTHORITY:

 

RISK ASSESSMENT MODULE ^
DESCRIPTION OF RISK SCENARIOS WORKSHEET 2.1.2
PROJECT NUMBER: DATE:
NATURE OF DECISION:
HAZARD:
SCENARIOS:

WHAT IF
(CONDITION)

SO WHAT
(CONSEQUENCE/ SEVERITY)

HOW OFTEN
(FREQUENCY/PROBABILITY)
  

 

   

 

  

 

STAKEHOLDER AFFECTED 

NEED TO BE CONSULTED
              

NO 

TO DO  

 DONE
        
        
        
       
          
       
       
       
       
AUTHORITY: 

 

RISK ASSESSMENT MODULE ^
Risk Estimation WORKSHEET 2.2
Project Number: Date:
Nature OF DECISION:

 

 

Number

 

 Scenario Probability Severity

Risk Level
Extreme Hight Medium Low
                
                
               
               
                 
                
               
               
                
AUTHORITY:

 

RISK ASSESSMENT MODULE ^

RISK MATRIX

WORKSHEET 2.2.2
PROJECT NUMBER: DATE:
NATURE OF DECISION:
SCENARIO: SCENARIO NUMBER:
CATEGORY DESCRIPTION OF PROBABILITY OF ADVERSE CONSEQUENCES OVER TIME
Highly Probable  
Probable  
Unlikely  
Improbable  
CATEGORY DESCRIPTION OF SEVERITY OF ADVERSE CONSEQUENCES
Catastrophic  
Major  
Minor  
Negligible  

 

 


Severity of Adverse Consequences

 Probability of Adverse Consequence Over Time

Highly
Probable

 Unlikely Improbable Unlikely Improbable
CATASTROPHIC Extreme Hight Medium Medium
MAJOR Hight  Hight Medium Medium
MAJOR

Medium

 Medium Medium Low
NEGLIGIBLE

Low

 Low

 

 Low Low

AUTHORITY:

RISK ASSESSMENT MODULE ^
RISK EVALUATION WORKSHEET 2.3
PROJECT NUMBER: DATE:
NATURE OF DECISION:

Scenario

Number

 

 Risk Level Defences  % Effect

Acceptable

 

 

Action
Required

 
Yes  No
   
   
   
   
   
   
    
   
    
   
   
   
   
   
AUTHORITY:  

 

RISK ASSESSMENT MODULE ^
IDENTIFICATION OF DEFENCES WORKSHEET 2.3.1
PROJECT NUMBER: DATE:
NATURE OF DECISION:
HAZARD:
SCENARIO:

CURRENT PHYSICAL DEFENCES

On the source (of risk)
On the human or object (target)
Between unsafe condition and the target
System design & manufacture
Repair & overhaul

CURRENT ADMINISTRATIVE DEFENCES ^

Operational readiness 
(Risk assessment, system support
services, fitness of organization for mission)

Personal readiness (Qualifications, knowledge,
experience, fitness for duty)

Team readiness (Qualifications, knowledge,
experience, fitness for duty)

Information system (Technical information for
operation, information on safe operating
procedures, and practices)
Training and awareness
Inspection and preventive maintenance

Supervision, performance monitoring,
and corrective action
Company procedures
Company manning policies
Company management philosophy
Regulatory policies
Legislation
Regulations
Regulatory implementation
Regulatory surveillance, inspection, and audit
Regulatory enforcement
Codes, standards, guidelines
Incentives (positive incentives, negative incentives, etc.)
Emergency preparedness
AUTHORITY:

 

RISK ASSESSMENT MODULE ^
DEFENCE EFFECTIVENESS WORKSHEET 2.3.2
PROJECT NUMBER: DATE:
NATURE OF DECISION:
SCENARIO: SCENARIO NUMBER:
DEFENCES EFFECT ON FREQUENCY EFFECT ON SEVERITY

ESTIMATED%EFFECT

 
       
       
       
       
       
       
       
       
       
        
       
       
       
AUTHORITY: 

 

 

RISK ASSESSMENT MODULE ^
ACCEPTABILITY TO STAKEHOLDERS WORKSHEET 2.3.3
PROJECT NUMBER: DATE:
NATURE OF DECISION:
SCENARIO: SCENARIO NUMBER:
RISK LEVEL:__________
STAKEHOLDER ACCEPTABILITY OF RISK

ADDRESS IN COMMUNICATION PLAN
YES  NO
         
        
        
         
        
         
        
       
       
         
       
       
       
AUTHORITY:

 

 

RISK ASSESSMENT MODULE ^
RISK CONTROL STRATEGIES WORKSHEET 2.4
PROJECT NUMBER: DATE:
NATURE OF DECISION:

SCENARIO

NUMBER

 

SELECTED

DEFENCES

 

PREVIOUS
RISK LEVEL

 

NEW RISK
LEVEL

 

IMPACTON NICs

 

ACCEPTABLE
YES  NO
             
             
             
             
             
             
             
             
             
             
             
             
AUTHORITY:

 

 

RISK ASSESSMENT MODULE ^
IDENTIFY FEASABLE OPTIONS WORKSHEET 2.4.1
PROJECT NUMBER: DATE:
NATURE OF DECISION:
SCENARIO NUMBER: CURRENT RISK LEVEL:

PHYSICAL

DEFENCES

PROBABILITY

SEVERITY

RISK LEVEL

On the source (of risk)
On the human or object (target)
Between unsafe condition and the target
System design & manufacture
Repair & overhaul
ADMINISTRATION DEFENCES PROBABILITY SEVERITY RISK LEVEL

Operational readiness (Risk assessment, system support

services, fitness of organization for mission)

Personal readiness (Qualifications, knowledge,

experience, fitness for duty)

Team readiness (Qualifications, knowledge, experience,

fitness for duty)

Information system (Technical information for operation,

information on safe operating procedures, and practices)
Training and awareness
Inspection and preventive maintenance
Supervision, performance monitoring, and corrective action
Company procedures
Company manning policies
Company management philosophy
Regulatory policies
Legislation
Regulations
Regulatory implementation
Regulatory surveillance, inspection, and audit
Regulatory enforcement
Codes, standards, guidelines
Incentives (positive incentives, negative incentives, etc.)
Emergency preparedness
AUTHORITY:

 

RISK ASSESSMENT MODULE ^

IMPACT ON IDENTIFIED NICS

 WORKSHEET 2.4.3
PROJECT NUMBER: DATE:
NATURE OF DECISION:

 
SCENARIO: FEASIBLE OPTION:
STAKEHOLDERS

NEEDS, ISSUES AND CONCERNS
       
       
       
       
       
       
AUTHORITY:

 

ACTION MODULE ^
IMPLEMENTATION WORKSHEET 3.1
PROJECT NUMBER:

 

 DATE:
NATURE OF DECISION:

 
RISK CONTROL OPTION RESPONSIBILITY START END PERFORMANCE INDICATOR
         
         
         
         
         
         
         
         
         
AUTHORITY:

 

ACTION MODULE ^
PROJECT NUMBER: DATE:
NATURE OF DECISION:

 
TARGET GROUP COMMUNICATION OBJECTIVES MESSAGE TIMING
       
       
       
       
       
       
       
       
       
       
AUTHORITY:

 

INITIATION MODULE
THE PILOTAGE RISK MANAGEMENT METHODOLOGY
STEPS OF THE PROCESS

INITIATION MODULE ^

INITIATION MODULE

RISK ASSESSMENT MODULE ^

RISK ASSESSMENT MODULE

ACTION MODULE ^

ACTION MODULE

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