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1. INITIATION MODULE

Figure 2 - Initiation Module - Enlarge table Image

Issues involving risk may arise for any number of reasons. Clearly and adequately describing them and the nature and scope of the decision to be taken with respect to them is the first and most crucial step within the PRMM. Doing so will save time and resources by focusing efforts.

This component requires:

1.  identification of the issues and assessment of the context;
2.  articulation of the question;
3.  decision if the project is a go or no-go ;
4.  identification of relevant objectives;
5.  definition of limits and priorities;
6.  definition of the time schedules; and
7.  establishment of a risk management team if required for more complex issues such as double pilotage or establishing compulsory pilotage.

•  A clear statement that outlines the nature and scope of the decision to be made;

•  Decision to go or not;

•  Clear set of prioritized objectives; and

•  Time schedule.

Always keep in mind that during the completion of the various modules in the PRMM,new elements will emerge that may greatly affect the decision-making process.

1.1.1 IDENTIFY ISSUES ^

The first step in the initiation module is to identify the issues that have created the need to make

a decision. In some cases, this may be triggered by proposed regulatory changes (e.g., designation

of compulsory pilotage areas), in others, they may arise from a variety of sources, e.g.:

•   an accident or occurrence;
•   new technology;
•   proposed new usage of coastal property; or
•   a complaint by a stakeholder or the general public.

Once the issues have been identified, a brief background or history of the circumstances in which they arose needs to be provided in order to assess the context. This will help establish the nature and scope of the decision to be made. For example, explain the series of events that led the decider to believe that a regulatory change could be required. Describe, as well, associated factors that influenced the evolution of the situation.

In order to focus efforts, one must attempt to articulate a question that will clearly express the nature of the decision in one sentence (e.g., due to increased tanker traffic in environmentally sensitive waters, should pilotage become compulsory?). This now becomes the point of reference for the process.

 

Worksheet

1.1.2 INITIAL DETERMINATION (GO OR NO-GO) ^

After the issue has been identified and the context defined, it must be determined if the decision to be made is within the mandate and responsibility the PA. For example, the decision-maker has to determine if the PA has the authority/responsibility of the Pilotage Act to pursue the issue. If the resolution of an issue requires a decision by another PA, then responsibility for the decision may need to be transferred or shared. In the case where the identified issue is not within the authority/responsibility of the PA, the decision will be to terminate the process. In any case, documentation must be provided to support the decision.

In light of the context and the decision requirement that have been identified, objectives must be identified in order to guide actions and solutions and set the scope of the project. They will help define limits, establish priorities, and establish time schedules. Overall, they will make the resolution process more efficient. Objectives become the criteria against which the results of the actions taken throughout the PRMM can be assessed. In addition, once enunciated, the objectives anchor the course of the process.

Once the objectives have been identified, clear statements will be required setting out what will be done, what does not need to be done, and the priorities. This will provide a clear list of the work to be performed. Often, for complex issues, this is best accomplished by completing a Task Plan and following sound project management procedures.

A task plan is the framework for the accomplishment of work. Few complex issues can be managed successfully without clearly listing the steps to be followed and the timeframes which they must be completed in order to achieve the desired outcomes.

Worksheet

For decisions requiring many tasks to be completed, such as the proposed designation of compulsory pilotage areas, it is often easier to control the progress of the work by using some type of flowchart that contains an estimated completion schedule for each distinct phase and for the project as a whole. There are several "off the shelf " software packages available to assist in preparing these charts.

For decisions requiring many tasks, successful completion can depend on having the right knowledge, skills and experience for the individual tasks. This can frequently only be achieved by use of a team. Where possible, tasks should be assigned to an appropriately qualified team member and appropriate resources should be made available.

Worksheet

Stakeholders are defined as being any individual, group, or organization able to affect, be affected by, or believing it might be affected by a PA decision.

Purpose: To identify stakeholders and their needs, issues and concerns (NICs).

This component requires:

1.  identification of potential stakeholders and assessment of the need for their involvement; and

2.  development of profiles of stakeholders and their NICs.

•  list of stakeholders; and

•  stakeholder profiles.

During the process, stakeholders will change and new stakeholders may be identified while others may be dropped. This is normal, and to assist in keeping the stakeholders list up date, the list should be revised regularly.

1.2.1 STAKEHOLDER IDENTIFICATION ^

Stakeholders may include a variety of individuals or organizations. Some may be internal and others external to the PA. Appendix I provides a general list of potential stakeholders for all the PAs. In order to complete the list of possible stakeholders, reference must be made to the context and possible consequences of the decision to further identify stakeholders that could be involved. For example, perhaps the requirements of a steel company in Hamilton, Ontario may be seriously affected by changes to pilotage services under Laurentian Pilotage Authority’s jurisdiction.

A preliminary list of stakeholders should be drafted that includes all of those persons and/or organizations who:

•  are affected, or might believe they could be affected, by the decision and/or activity;
•  have the right, or might believe they have the right, to participate in the process;
•  can affect the decisions; or
•  could influence those who are affected or might perceive themselves to be affected by the decision and/or activity.

At the beginning of the creation of the list of stakeholders, it is critical to think as broadly as possible.

Dialogue with identified stakeholders can aid in identifying new ones. However, the initial list can eventually be reduced on the basis of a subsequent evaluation of stakeholder NICs.

Worksheet

Stakeholder profiles can help to thoroughly inventory stakeholders needs, issues and concerns and should be developed whenever a good understanding of stakeholder motivations may be critical to the successful resolution of an issue. Completing the worksheet will fulfill the documentation requirements for this part of the process. However, if profiles are not considered necessary, this should be stated in the process documentation and, if appropriate, this decision should be explained.

Stakeholder profiles are also an important starting point for the development of communication and consultation plans and strategies, both in the course of the PRMM process and for the implementation of any decisions.

Key Expectations:

•  Identification of benefits and, if necessary, costs associated with the activity;
•  Identification of relevant internal considerations;
•  Identification of external stakeholder’s needs, issues and concerns;
•  Analysis of stakeholders and their NICs so as to categorize them in a manner that will provide insight to the decision-maker.

Worksheet

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