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Table of Contents 3
Guideline on Risk Management 8
Guideline on Risk Management 8
1INTRODUCTION 8
1INTRODUCTION 8
2The risk management process 9
2The risk management process 9
2.1Step 1 - Identify Hazards 10
2.1Step 1 - Identify Hazards 10
2.1.1Scope 10
2.1.2Define Problem/Trigger 10
2.1.3Consult stakeholders 10
2.1.4Hazard Identification Methodology 11
2.1.5Results 13
2.2Step 2 – Assess Risks 13
2.2Step 2 – Assess Risks 13
2.2.1Step 2a – Risk Estimation 13
Acceptable level of risk 16
Acceptable level of risk with caution 16
Unacceptable level of risk 16
2.2.2Step 2b - Risk Evaluation 17
failure mode and effects analysis; 19
analysis of historical incident data, utilizing existing experience and reports if possible; 19
fault-tree analysis; 19
event-tree analysis; 19
hazard and operational studies; 19
professional judgment (of internal and external experts); 19
personal observation (e.g. site visits); and 19
qualitative simulation. 19
2.3Step 3 – Specify Risk Control Options 20
2.3Step 3 – Specify Risk Control Options 20
2.3.1Scope 20
2.3.2Areas Needing Control 20
2.3.3Identifying Risk Control Options 20
2.3.4Evaluating Risk Control Options 21
2.3.5Costing Risk Control Options 22
2.3.6Assessing Stakeholder Acceptance 23
2.3.7Residual Risk 23
2.3.8Results 23
2.4Step 4 – Make a Decision 23
2.4Step 4 – Make a Decision 23
2.4.1Scope 23
2.4.2Estimate Option Benefits 24
2.4.3Compare Costs to Benefits and Make a Decision 24
2.4.4Results 25
2.5Step 5 – Take Action 25
2.5Step 5 – Take Action 25
2.5.1Scope 26
2.5.2Implementation Plan 26
2.5.3Implementation 26
2.6Monitoring and review 26
2.6Monitoring and review 26
2.6.1Primary Functions 26
2.6.2Changing Conditions 26
2.6.3Monitoring Performance 27
2.6.4Correctness of Assumptions 27
2.6.5Timing 28
2.6.6Risk Management Decision Process Evaluation 28
2.7Incorporation of the Human Factors 28
2.7Incorporation of the Human Factors 28
Questionnaires; 28
Observations; 28
Interviews; 28
Simulation studies; 28
Hierarchical Task Analysis; 28
Cognitive Walk-Through (CWT); 28
Cognitive Task Analysis (CTA); 28
Expert Judgment / Expert Evaluation; 28
Human Reliability Assessment (HRA). 28
ANNEX IRISK TERMINOLOGY 30
ANNEX IIDETAILED LIST OF DATA AND INFORMATION THAT SHOULD BE CONSIDERED IN EVALUATING RISK SPECIFIC TO MARINE AIDS TO NAVIGATION 32
1Maritime Traffic 32
1Maritime Traffic 32
2.8Traffic statistics to be obtained 32
2.8Traffic statistics to be obtained 32
2.9Accident data to be obtained 32
2.9Accident data to be obtained 32
2.10Data on traffic delays to be obtained 33
2.10Data on traffic delays to be obtained 33
3The Maritime Area Concerned. 33
3The Maritime Area Concerned. 33
4Analyze the Data on the Geography of the Area Concerned thoroughly 33
4Analyze the Data on the Geography of the Area Concerned thoroughly 33
5Protection of the Marine Environment 34
5Protection of the Marine Environment 34
6Protection of the Surrounding Area 35
6Protection of the Surrounding Area 35
Is any statistical information available on damage, in the widest sense, including loss of human lives, to the surrounding area as a result of maritime accidents or incidents in the area concerned? Is it possible to quantify the consequential costs? 35
Is it possible to categorize the importance of the protection of the surrounding area? 35
ANNEX IIIExample of an Aids to Navigation Risk Assessment 36
1Bayof Fundy 36
1Bayof Fundy 36
7The Risk Management Process 36
7The Risk Management Process 36
7.1Step 1 Identify Hazards 36
7.1Step 1 Identify Hazards 36
7.2Step 2 Assess Risks 37
7.2Step 2 Assess Risks 37
7.3Estimating Addressable Risk 39
7.3Estimating Addressable Risk 39
7.4Step 3 Specify Risk Control Options 41
7.4Step 3 Specify Risk Control Options 41
7.4.1Risk Control Options 41
7.4.2Control Option Costs 41
7.5Step 4 Make a Decision 42
7.5Step 4 Make a Decision 42
7.5.1Option Benefits 42
7.5.2Comparing Costs and Benefits 43
7.5.3Making a Decision 43
7.6Step 5 Take Action 43
7.6Step 5 Take Action 43
ANNEX IVCONTEXT AND EXPANSION OF THE RISK MANAGEMENT PROCESS 44
1The Importance of using a Risk Management Process 44
1The Importance of using a Risk Management Process 44
8Temporal Nature of Risk Management 44
8Temporal Nature of Risk Management 44
9Flexibility in a Risk Management Process 44
9Flexibility in a Risk Management Process 44
10Consultation and Communication 45
10Consultation and Communication 45
11Information and Data 46
11Information and Data 46
12A more detailed list of data and information that should be considered in evaluating risk specific to marine aids to navigation is attached in Annex II.Documentation Requirements 46
12A more detailed list of data and information that should be considered in evaluating risk specific to marine aids to navigation is attached in Annex II.Documentation Requirements 46
12.1.1Documentation provides: 46
ANNEX VBIBLIOGRAPHY 48
