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REGION/PROJECT:

Bay Tunnel

CONTRACTOR:

MJC-JV

Bay Tunnel
Project ID Number
PROJECT RISK REGISTER
Award: $215,294,530 - NTP: 4/1/2010

Bob Mues (Phone: 206-818-7353)

PROJECT CM:
CM CONSULTANT:

Jacobs Engineering

Risk Category

001

002

Printed 9/28/2012 9:45 PM

Technical

Technical

Risk Description
(Hazard/Risk
Scenario)

Differing soil
condition results in
chimney to bottom
of the Bay, blow-in
to TBM, lose tunnel,
submerge shaft and
start over.

Encounter reaches
of squeezing ground
causing TBM to get
stuck.

Bob Mues

Prepared Date:

10/8/2010
N/A

Approved Date:

CURRENT ASSESSMENT
F

Location

Tunnel

Tunnel

Cause

Effect

Unplanned
hyperbaric
intervention,
and results in
loss of pressure Unrecoverable
to face of EPB
loss of tunnel
TBM, which
and shaft.
cannot be
recovered due
to nature of the
material.

Differing site
conditions
(highly plastic
TBM gets stuck
clay) of the San
in these
Antonio
reaches, and
formation in
impacts
excess to those
Contractor
or at other
production rate.
locations than
those expected
from GBR.

Risk Plan
Owner

Wong,
Johanna

Wong,
Johanna

Risk
Status

Open

Open

Trigger Date

7/12/2011

7/12/2011

Expiration
Date

9/12/2013

9/12/2013

Probability of
Occurrence
(P)

1 - Rare

2 - Unlikely

Impact to
Costs, $
(S_cost)

3 - Moderate

4 - Major

Impact to Costs, $

Impact to
Schedule,
Risk
Min. Time,
days
Calendar Days Score (R)
(S_schedule)

5 - Catastrophic 5 - Catastrophic

N/A

MITIGATION

For PPPCM use only

Severity of Impact (S)

Risk ID

Baseline Risk Register

Prepared By:

Approved By:

RISK IDENTITY & CAUSE


A

Status Update:

15

14

520

19.5

Most Likely
Time, days

520

58.5

Page 1 of 7

Max. Time,
days

520

97.5

Min. Cost, $

75,000,000

1,312,350

Most Likely
Cost, $

112,500,000

3,937,050

Max. Cost, $

150,000,000

6,561,750

Mitigation Action Items

Scoring Rationale

Catastrophic event loss of completed work


and extensive delay in
starting over.

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
. Total Daily Rate =
$17,300. Add for loss
of productivity for half
of 75% of the tunnel =
9,750' - 10%, 20% &
50% reduction in
progress at average of
$1,000 per LF.

Strategy

Mitigate

Mitigate

Risk Plan

Action Items

Action Owner

Require maintenance of TBM


driving parameters (spoil
removal rate records)
against theoretical earth
volume to be removed, and Mues, Bob
tail grout quantity placed per
ring of TBM advance, to
verify possible "over
excavation").
Verify that Contractor's
remedial plan for this
Maintain full-time CM
condition is in place with
QA inspection on the
initial tunnel submittals, and
TBM when tunneling
that the equipment/materials
Mues, Bob
(per Spec 02311
noted are available and
requirements). Assure
functional throughout
Contractor maintains
tunneling. Require additional
adequate off-shift
remedial grouting or refill
monitoring of pressure
where necessary.
chamber and heading,
esp at high risk areas.
Verify the requirements of
Specification 02311 for
inspections and interventions
into the pressure chamber of
the EPB TBM are met
Mues, Bob
(Pressurized Face Tunneling
Plans, Method Statements,
Procedures, Tunnel Safety
Plans).

Verify that the TBM


On-going check of thrust and
thrust is at least as
lubrication data from TBM as Mues, Bob
specified and that the
progressing.
shield lubrication
(bentonite injection
port/injection system)
Assure TBM maintenance is
are functioning,
performed as specified or
lubrication material
more (if needed), particularly Hogan, Tom
mixing and supply
system are functioning prior to entering squeezing
ground regions.
and ready, and that
TBM maintenance is
current.

Actual
Completion

Action
Status

Action Start

Action End

7/12/2011

9/12/2013

Proposed

8/1/2010

9/12/2013

Proposed

8/1/2010

9/12/2013

Active

7/12/2011

9/12/2013

Proposed

7/12/2011

9/12/2013

Proposed

RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

REGION/PROJECT:

Bay Tunnel

CONTRACTOR:

MJC-JV

Bay Tunnel
Project ID Number
PROJECT RISK REGISTER
Award: $215,294,530 - NTP: 4/1/2010

Bob Mues (Phone: 206-818-7353)

PROJECT CM:
CM CONSULTANT:

Jacobs Engineering

Risk Category

Risk Description
(Hazard/Risk
Scenario)

Technical

Unforeseen ground
conditions between
the Franciscan
Formation and San
Antonio Formation
interface.

003

004

Technical

005

006

Security

Regulatory

Printed 9/28/2012 9:45 PM

Hitting unforseen
Franciscan
Formation in
reaches not
surveyed in the
GBR

Location

Tunnel

Tunnel

Cause

Effect

Interface
Control of the
between San tunnel (vertical/
horizontal)
Antonio
Formation
alignment
(softer ground) between the San
and Franciscan
Antonio
Formation
Formation and

Differing site
conditions.

Breach in
Vandalism to site or Ravenswoo
perimeter fence
construction
d/ Newark
or bypass of
property, damage
Shafts
guard station.

Unanticipated
presence of
endangered
species.

Bob Mues

Prepared Date:

10/8/2010
N/A

Approved Date:
CURRENT ASSESSMENT
G

Additional
hyperbaric
interventions
needed to
change
cutterhead;
productivity loss;
TBM not
designed for
great lengths of
hard ground.

Risk Plan
Owner

Wong,
Johanna

Wong,
Johanna

Replacement or
repair to finished
permanent
works, safety Contractor
hazard to
"intruders" or
perpetrators.

Contractor
delayed from
starting work at
Protected
Newark and/or
species
NewarkShaf
additional
encountered
t
restrictions to
during surveys
site
or construction.
implemented
during site
activities.

Wong,
Johanna

Risk
Status

Open

Open

Trigger Date

3/1/2013

7/12/2011

Expiration
Date

7/5/2013

3/12/2013

Probability of
Occurrence
(P)

Impact to
Costs, $
(S_cost)

4 - Likely

0 - Contractor
Risk

2 - Unlikely

3 - Moderate

Impact to Costs, $

Impact to
Schedule,
Risk
Min. Time,
days
Calendar Days Score (R)
(S_schedule)

3 - Moderate

N/A

MITIGATION

For PPPCM use only

Severity of Impact (S)

Risk ID

Baseline Risk Register

Prepared By:

Approved By:

RISK IDENTITY & CAUSE


A

Status Update:

3 - Moderate

10

Most Likely
Time, days

15

Max. Time,
days

20

Min. Cost, $

673,000

Most Likely
Cost, $

1,009,500

Max. Cost, $

Scoring Rationale

Risk Plan

Action Items

Assure Contractor submittals


Although this
subsurface discontinuity
are in on schedule and
is well defined in the
properly reviewed and
Mitigate
GBR, assure that
approved.with any
Assist Contractor
Contractor's EPB TBM
other special measures
design includes a
needed.
suitable guidance

1,346,000

Strategy

Open

6/1/2010

3/1/2011

5/15/2015

5/15/2015

5 - Frequent

2 - Unlikely

0 - Contractor
Risk

2 - Minor

2 - Minor

2 - Minor

20

40

Page 2 of 7

60

766,000

1,532,000

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
. Total daily cost =
$17,300. Add for loss
of productivity using
$50,000 per day X the
additional days to
accomplish the work.

Assure that the


Contractor has planned
to perform maintenance
Assure Contractor submittals
interventions prior to
are in on schedule and
Mitigate
each reach with
properly reviewed and
geotechnical data
approved.
"gaps"; assure that
back-up equipment and
supplies are available.

2,298,000

Contractor Risk

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$21,000/day =
$32,500. Total daily
rate = $38,300/day.
Standby costs include
equipment, security,
core crew costs, tunnel
lighting & ventilation,
equipment
maintenance, etc.

Mitigate

Mitigate

Monitor and implement


safety and security plan.

Actual
Completion

Action
Status

Action Owner

Action Start

Action End

Mues, Bob

1/1/2013

7/5/2013

Proposed

Mues, Bob

1/1/2013

7/5/2013

Proposed

Mues, Bob

1/1/2013

7/5/2013

Proposed

6/1/2010

3/2/2015

Active

8/1/2010

5/15/2015

Active

On-going check of perimeter


fencing integrity and site sign Hogan, Tom
visibility.
On-going check of security
Wakefield,
guard's presence on site
Rick
24/7.
Open

Mitigation Action Items

Work area lighting functional


(include winter evenings).

Contractor

11/15/2010

12/31/2014

Proposed

Maintain and repair (if


needed) fencing.

Contractor

8/1/2010

5/15/2015

Active

Lock-ups inside site and


provide safety covers over
potential hazards such as
pipe trench at night.

Contractor

12/1/2010

5/15/2015

Proposed

1/1/2011

4/1/2011

Proposed

2/1/2011

3/1/2011

Proposed

2/1/2011

5/1/2011

Proposed

Coordinate with SFPUC BEM


to ensure they obtain a
Peterson,
Section 2081 Take
Megan
Authorization from CDFG
prior to working at Newark.
Conduct preconstruction
surveys prior to working at
Work in a proactive
Wilkerson,
Newark
and relocate CTS
manner to anticipate
Cullen and/or
individuals, if found. Hand
issues before they
Craighead,
become delays or cost excavate burrows during the
Kim
dry season if work begins
changes.
after May 1.
Wilkerson,
Cullen;
Monitor installation of
exclusion fencing and initial Craighead,
Kim;
ground-disturbing activities.
Peterson,
Eric

RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

REGION/PROJECT:

Bay Tunnel

CONTRACTOR:

MJC-JV

Bay Tunnel
Project ID Number
PROJECT RISK REGISTER
Award: $215,294,530 - NTP: 4/1/2010

Bob Mues (Phone: 206-818-7353)

PROJECT CM:
CM CONSULTANT:

Jacobs Engineering

007

008

Risk Category

Regulatory

Regulatory

009

010

Printed 9/28/2012 9:45 PM

Safety

Safety

Risk Description
(Hazard/Risk
Scenario)

Location

Cause

Effect

Restrictions due to
Protected birds
nesting specialnesting in
status shorebirds
Contractor
adjacent
Ravenswoo
(CA clapper rail,
delayed due
marshlands
d/ Newark
implementation
black rail, least tern,
during future
Shafts
etc.) moving into an
of buffer zones.
nesting
active construction
seasons.
area.

Union Sanitary
District prohibits
discharge of
construction water
into their system

Handling of
contaminated
groundwater/soil at
Newarks shaft site
in excess of amount
specified.

Injuries resulting
from, or while
working in,
compressed air
environment.

Bob Mues

Prepared Date:

10/8/2010
N/A

Approved Date:
CURRENT ASSESSMENT
G

Newark
Shaft

Newark

Risk Plan
Owner

Wong,
Johanna

Contamination
Additional
is too high and
permits, water
Contractor
does not comply
treatment, or offwith USD
hauling of water.
requirements

Worker health &


safety concerns
if contaminated
groundwater not
Gravel lenses
handled
across site
appropriately.
causing greater
Contractor may
infiltration or
be required to
existing
shut-down
contaminant
Contractor
dewatering
plume has
operation (and
different
not be allowed
constituents or
to discharge by
higher
USD) if
concentrations.
contaminants
not properly
treated prior to
disposal.

Work will stop,


Exposure to
compressed air worker must be
Ravenswoo at face of TBM transported to
Contractor
surface and
d Shaft
during
inspections and quickly treated in
maintenance. decompression
chamber or at

Risk
Status

Open

Open

Open

Trigger Date

2/11/2011

3/1/2011

3/1/2013

Expiration
Date

5/15/2015

8/1/2011

12/31/2013

Probability of
Occurrence
(P)

3 - Possible

3 - Possible

5 - Frequent

Impact to
Costs, $
(S_cost)

2 - Minor

0 - Contractor
Risk

0 - Contractor
Risk

3 - Moderate

3 - Moderate

Impact to Costs, $

Impact to
Schedule,
Risk
Min. Time,
days
Calendar Days Score (R)
(S_schedule)

2 - Minor

N/A

MITIGATION

For PPPCM use only

Severity of Impact (S)

Risk ID

Baseline Risk Register

Prepared By:

Approved By:

RISK IDENTITY & CAUSE


A

Status Update:

40

Most Likely
Time, days

80

Max. Time,
days

160

Min. Cost, $

1,532,000

Most Likely
Cost, $

3,064,000

7/12/2011

9/12/2013

3 - Possible

0 - Contractor
Risk

3 - Moderate

Page 3 of 7

Mitigation Action Items

Max. Cost, $

6,128,000

Scoring Rationale

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$21,000/day =
$32,500. Total daily
rate = $38,300/day.
Standby costs include
equipment, security,
core crew costs, tunnel
lighting & ventilation,
equipment
maintenance, etc.

Contractor Risk

Contractor Risk

Strategy

1/1/2011

4/1/2011

Proposed

2/1/2011

3/1/2015

Proposed

Peterson,
Megan

2/1/2011

5/1/2015

Proposed

Contractor

2/1/2011

6/1/2011

Proposed

Contractor

12/1/2010

6/1/2011

Proposed

Contractor

12/1/2010

6/1/2010

Proposed

CM QA Inspectors to verify
that Contractor has tested
the water, and has a test
plan in place to continually Hogan, Tom
test and manage the water
throughout the Newark shaft
installation work.

3/1/2013

12/31/2013

Proposed

Verification by ECM,
QA Inspectors assure that
EIs, and QA Inspectors
the shaft is sealed to avoid
that Contractor has its
contaminated water from
plan, permits, disposal
interfering with the tunnel
site, and resources for
Mitigate
completion and installation of
this contaminated water
Hogan, Tom
the final lining pipe into the
in place prior to
tunnel and shaft, and the
commencement of the
surface pipe
Newark Shaft
installation/connection to the
installation.
existing BDPL1.

3/1/2013

12/31/2013

Proposed

Peterson,
Megan

3/1/2013

12/31/2013

Proposed

Mues, Bob

7/12/2011

9/12/2013

Proposed

Mues, Bob

5/1/2011

9/12/2013

Proposed

Look into the feasibility of


alternative mitigation
Peterson,
measures as opposed to
Megan
implementing a buffer zone
(e.g., barriers, etc.)
Conduct preconstruction
Wilkerson,
surveys according to the
Cullen and/or
MMRP during the early
Craighead,
portion of the 2011, 2012,
Kim
2013, 2014 and 2015
nesting seasons.
Maintain an open dialog with
regulatory agencies and take
proactive steps to minimize
delays.

Mitigate

Contractor Risk

Action Owner

Action
Status

Action End

Continually monitor
status of birds in the
area and develop an
initial strategy for
managing this risk.

Action Items

Actual
Completion

Action Start

Mitigate

Risk Plan

Initiate discussions with USD


early, and prior to moving
into NVL to understand the
requirements/restrictions
Obtain a NPDES VOC permit
as a backup in the event
Develop a water
USD discharge is not
discharge contingency
allowed.
plan
Evaluate additional design
techniques to limit the influx
of groundwater into shaft and
trench for tie-ins (e.g.,
extending Ranger's cut-off
wall).

On-going verification that


Contractor meets
requirements of their Union
Sanitary District discharge
permit with dewatering
operation.

Open

Ensure contractor
On-going verification that
provides the tools,
Contractor's hyperbaric work
equipment, and
facilities are operational.
Mitigate
hyperbaric work
Assure Contractor's
facilities, and follows
contingency planning is in
required contingency
place prior to the
planning for carrying out
interventions.

RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

REGION/PROJECT:

Bay Tunnel

CONTRACTOR:

MJC-JV

Bay Tunnel
Project ID Number
PROJECT RISK REGISTER
Award: $215,294,530 - NTP: 4/1/2010

Bob Mues (Phone: 206-818-7353)

PROJECT CM:
CM CONSULTANT:

Jacobs Engineering

Risk Category

011

Safety

Technical

012

013

Community

Risk Description
(Hazard/Risk
Scenario)

Decompression
sickness

Bob Mues

Prepared Date:

10/8/2010
N/A

Approved Date:

CURRENT ASSESSMENT
F

Location

Tunnel

Blow-in through the


forward pressure
bulkhead of the EPB
TBM (the bulkhead
containing the face
pressure monitoring Ravenswoo
instruments beyond
d Shaft
which is the earth
plug, water table
pressure and the
Bay trying to come
in).

Cause

Effect

Risk Plan
Owner

Work will stop,


Exposure to
worker must be
compressed air transported to
at face of TBM
surface and
Contractor
during
quickly treated in
inspections and decompression
chamber or at
maintenance.
hospital.

Unintended
penetration of
the EPBM
pressure
bulkhead.

Potential loss of
EPB TBM and Contractor
tunnel.

Contractor's
Resident
failure to comply Potential work
complaints, and
with noise and stoppage until
irritation, with
Ravenswoo
vibration code complaints are
construction noise,
d
requirements, or addressed and
dust, lighting,
mitigated.
if compliant,
vibration, etc.
public irritation.

Contractor

Risk
Status

Trigger Date

Expiration
Date

Probability of
Occurrence
(P)

Impact to
Costs, $
(S_cost)

N/A

MITIGATION

For PPPCM use only

Severity of Impact (S)

Risk ID

Baseline Risk Register

Prepared By:

Approved By:

RISK IDENTITY & CAUSE


A

Status Update:

Impact to Costs, $

Impact to
Schedule,
Risk
Min. Time,
days
Calendar Days Score (R)
(S_schedule)

Most Likely
Time, days

Max. Time,
days

Min. Cost, $

Most Likely
Cost, $

014

015

Technical

Technical

Lack of sufficient
power supply.

Water leakage
around the
perimeter seal or
through the shaft
floor slab (tremie
concrete).

More abrasive

Printed 9/28/2012 9:45 PM

Wong,
Johanna

Contractor does
not follow
Potentially have
Ravenswoo specifications/
to replace shaft Contractor
d Shaft
Contractor
floor slab.
means &
methods faulty.

Different
subsurface

Excessive TBM
head, face
chamber, cutter,
and screw
conveyor wear

Max. Cost, $

Scoring Rationale

Strategy

Risk Plan

Action Items

Action Owner

Open

Open

7/12/2011

7/12/2011

7/1/2010

9/12/2013

9/12/2013

5/15/2015

3 - Possible

2 - Unlikely

3 - Possible

0 - Contractor
Risk

0 - Contractor
Risk

0 - Contractor
Risk

3 - Moderate

5 - Catastrophic

2 - Minor

Open

Open

3/31/2011

11/15/2010

9/12/2013

6/1/2011

2 - Unlikely

2 - Unlikely

3 - Moderate

0 - Contractor
Risk

3 - Moderate

2 - Minor

11

20

60

180

766,000

2,298,000

Contractor Risk

Contractor Risk

Contractor Risk

6,894,000

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$21,000/day =
$32,500. Total daily
rate = $38,300/day.
Standby costs include

Contractor Risk

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day

Wong,

Page 4 of 7

Mitigate

Require expanded
engineering controls for
sound attenuation
(mufflers/enclosures of loud
Monitor site work to
equipment).
identify problem before Require increased distance
(if possible) from sound
recognized by the
source or sound walls (if
Mitigate
public; provide
required).
proactive outreach to
Remove/change out the
community of upcoming
source or noise emitter.
activities.

4/12/2011

9/12/2013

Proposed

4/12/2011

9/12/2013

Proposed

4/12/2011

9/12/2013

Proposed

Mues, Bob

5/1/2011

9/12/2013

Proposed

Mues, Bob

5/1/2011

9/12/2013

Proposed

Mues, Bob

7/1/2010

5/15/2015

Active

Mues, Bob

7/1/2010

5/15/2015

Active

Mues, Bob

7/1/2010

5/15/2015

Active

Kerby,
Christina

7/1/2010

5/15/2015

Active

4/1/2010

3/31/2011

Active

4/1/2010

3/31/2011

Active

9/15/2010

6/1/2011

Active

2/1/2011

6/1/2011

Proposed

2/1/2011

6/1/2011

Proposed

7/12/2011

9/12/2013

Proposed

Hold monthly coordination


Wong,
meetings with PG&E and
Johanna
Closely monitor
Contractor to mitigate issues.
progress of the
Mitigate temporary construction
Take appropriate steps to
power installations by
avoid any SFPUC caused
Mues, Bob
PG&E.
delays.

Verify Contractor follows


Mues, Bob
submittals and method
statements.
Verify that Contractor
Carefully inspect slab for
follows specifications,
Hogan, Tom
leakage (following
Mitigate places shaft floor slabs unwatering and cleaning).
accordingly, inspect for If required, verify submittal of
conformance.
Contractor's remedial plan to
Mues, Bob
repair leaks and assure
materials/methods are
viable.
Check to increase spare part
inventory once condition is
verified.

Action
Status

Action End

Mues, Bob
Compressed air
"hyperbaric" work
cannot commence
before all plans and Require Contractor to adhere
procedures are
to decompression
acceptable pursuant to procedures and hyperbaric Mues, Bob
California labor safety
work plans.
codes and standards,
Require
Contractor to have
including
medical resources in place
decompression
for response, transport, and
process, equipment,
Mues, Bob
care of decompression
and tables.
sickness, either on site of at
nearby hospital or other
qualified facilities.

Assure Contractor's plans


and employee training
Contractor's plans must specifically address high risk
nature
of work around the
address the high risk of
pressure bulkhead.
any maintenance work
around the pressure
Mitigate
bulkhead and the
dangers of any
penetration (separate
Assure Contractor provides
from the hyperbaric
training of high risk work to
intervention plans).
any new workers involved in
tunneling operation.

Actual
Completion

Action Start

Require all equipment and


systems for work under
pressure be in place and
tested prior to
commencement of work

Open

Mitigation Action Items

Provide on-going updates to


community via mailers, door
hangers, blog of activities.

Delay to start of
PG&E fails to
tunneling with
provide power
insufficient
Ravenswoo
service when power supply for
d
required; PG&E
TBM; loss of
power failure.
power during
tunneling.

Mues, Bob

Assure that there are


adequate spare parts

RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

REGION/PROJECT:

Bay Tunnel

CONTRACTOR:

MJC-JV

Bay Tunnel
Project ID Number
PROJECT RISK REGISTER
Award: $215,294,530 - NTP: 4/1/2010

Bob Mues (Phone: 206-818-7353)

PROJECT CM:
CM CONSULTANT:

Jacobs Engineering

Risk Category

016

Technical

017

018

019

020

021

022

Safety

Regulatory

Regulatory

Regulatory

Regulatory

Risk Description
(Hazard/Risk
Scenario)

ground conditions
than anticipated.

Damage to BDPLs
1& 2 or PG&E
transmission lines
due to crane tip
over.

Location

Tunnel

Shafts

Cause

Effect

materials than and hyperbaric


those presented maintenance of
in the GBR.
those parts that
are exposed to
ground
pressure.

Unbalanced/
excessive load
or unstable
crane platform
base during
installation of
diaphragm
slurry wall rebar

Carelessness
Inadvertantly
and/or not
injuring or killing an
following project
endangered,
Ravenswoo requirements;
threatened, or fully d/ Newark
accidental
collisions with
protected species
(SMHM, CTS, etc.)
equipment; work
in wetlands, etc.

Subsurface
Easement is not
obtained from
Management
Cargill, SamTrans,
and Mid Peninsula
Open Space District.

Tunnel

Tunnel

Terms of
Agreement not
acceptable to
parties; Board
of Supervisors
reject purchase
of subsurface
easement.

Risk
Status

Trigger Date

Expiration
Date

Probability of
Occurrence
(P)

Impact to
Costs, $
(S_cost)

Wong,
Johanna

Open

7/12/2011

9/12/2013

3 - Possible

3 - Moderate

Wong,
Johanna

Work stoppage
by USFWS
and/or CDFG
until additional
Contractor
mitigation
measures can
be developed/
approved.

Additional time
Additional
and costs
requirements
incurred by
imposed by
Contractor and
higher risk level
Additional RWQCB
CM team
requirements as a
under NPDES
Ravenswoo
associated with
General
result of risk
d/Newark
sampling,
assessment prior to
Construction
monitoring and
Stormwater
Sept 2, 2011.
reporting;
Permit due to
additional
duration of
RWQCB
project.
coordination.
Various: BCDC
want removal of
BDPLs 1&2;
BCDC may
claim jurisdiction
below the Bay;
subsurface
easements are

Risk Plan
Owner

Electrocution, if
PG&E
transmission
lines hit; power Contractor
outage. Service
outage, if BDPLs
hit; damage
requiring

Bay Margin is
known to
Unanticipated
contain
Work stoppage
cultural or
prehistoric and
until the
paleontological
Ravenswoo paleontological resource can be
properly
discoveries during
d/ Newark resources, but
evaluated/
shaft excavation,
construction
tunneling, or tie-ins
methods
recovered.
prevent surveys
and monitoring

BCDC will not issue


permit for tunneling
under the Bay.

10/8/2010
N/A

Cannot start
tunnel
excavation.

Cannot start
tunnel
excavation.

Wong,
Johanna

Wong,
Johanna

Wong,
Johanna

Open

Open

Open

Open

Open

Open

8/1/2010

8/1/2010

5/20/2010

5/20/2010

9/20/2010

9/20/2010

11/15/2010

5/15/2015

5/15/2015

5/15/2015

6/30/2011

6/30/2011

3 - Possible

2 - Unlikely

1 - Rare

4 - Likely

2 - Unlikely

2 - Unlikely

0 - Contractor
Risk

2 - Minor

0 - Contractor
Risk

1 - Insignificant

3 - Moderate

2 - Minor

4 - Major

1 - Insignificant

5 - Catastrophic 5 - Catastrophic

5 - Catastrophic 5 - Catastrophic

Impact to Costs, $

Impact to
Schedule,
Risk
Min. Time,
days
Calendar Days Score (R)
(S_schedule)
2 - Minor

N/A

MITIGATION

For PPPCM use only

12

21

21

20

20

60

60

Max. Time,
days

Min. Cost, $

Most Likely
Cost, $

Max. Cost, $

30

40

1,346,000

2,019,000

2,692,000

40

120

120

60

240

240

766,000

50,000

1,488,000

1,488,000

1,532,000

100,000

2,976,000

2,976,000

2,298,000

250,000

Scoring Rationale

$100/day = $6,500/day
. Total daily cost =
$17,300. Add $1M,
$1.5M & $2M for
replacement parts, lost
time for replacement
and lost productivity.

Contractor Risk

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$21,000/day =
$32,500. Total Daily
Rate = $38,300/day.
Standby costs include
equipment, security,
core crew costs, tunnel
lighting & ventilation,
equipment

Contractor Risk

Additional SWPP
requirements and
monitoring. Estimated
costs by PUC/CM
Team.

Strategy

Mitigate

Mitigate

Mitigate

Risk Plan

adequate spare parts


available at start and
throughout tunneling.

Assure Contractor is
well prepared with
acceptable JHAs for
each portion of slurry
wall construction.

Action
Status

Action Owner

Action Start

Action End

Issue field order for


immediate spare parts
procurement, if schedule
(long lead item) becomes an
issue.

Mues, Bob

7/12/2011

9/12/2013

Proposed

Check that Contractor has


provided an adequate base
for crane support.

Hogan, Tom

8/1/2010

12/1/2010

Active

Check that Contractor is


following load limits and
Hogan, Tom
protocol as perscribed in the
JHAs.

8/1/2010

12/1/2010

Active

Hire specialty archaeological


and paleontological monitors
in the event of discoveries.

Peterson,
Megan

12/1/2010

2/1/2010

Completed

Peterson,
Eric

4/1/2010

12/31/2014

Active

Peterson,
Megan

4/1/2010

12/31/2014

Active

Peterson,
Eric

4/1/2010

12/31/2014

Active

Peterson,
Eric

4/1/2010

12/31/2014

Active

Peterson,
Megan

12/1/2010

3/1/2011

Active

4/1/2010

5/31/2010

Completed

4/1/2011

10/30/2010

Active

5/20/2010

3/1/2015

Active

5/20/2010

5/1/2015

Active

Implement existing
Ensure that worker training is
procedures for
conducted according to the
unanticipated
MMRP and specifications.
discoveries and work
quickly to mobilize
Coordinate with the
specialists to the field. Contractor in the event of a
find to quickly assess the
significance and possible
need for work stoppage.

Implement requirements
as specified in project
Mitigate documents and develop
comprehensive training
program

Actual
Completion

Action Items

Inspect the work area daily


for any cover or other
potential habitat.
Train individuals on
significance of "take" of the
species.Conduct tailgate
trainings prior to working in
sensitive areas.
Coordinate with SFPUC BEM
to ensure the 2081for CTS is
in hand prior to work
beginning Newark

Design water treatment Host SWPPP workshop for


plant to accommodate
Bay Division Region to
Peterson,
new permit
faciliate understanding of
Megan
requirements (e.g.,
requirements.
modular system that
Develop expandable
can easily be
Contractor
modular WTP for
expanded). Close
Mitigate
Ravenswood.
coordination between
CM team provides daily
Peterson,
CM team and
environmental inspection to
Eric and
Contractor to
help identify issues.
Mirzad, Slay
understand new
Provide QSP to oversee site
requirements and
Contractor
compliance with NPDES
prepare risk
permit.
assessment/SWPPP

5,952,000

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$7,500/day =
$14,000/day. Total
Daily Rate =

Avoid

Work with BCDC and


City Attorney to get
agreements in place
well before the start of
tunneling.

Work with BCDC. Enlist help from


City Attorney to avoid BDCD
claiming jurisdiction below the Bay.

Zhang, Yin
Lan

9/20/2010

6/30/2011

Active

5,952,000

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$7,500/day =
$14,000/day. Total
Daily Rate =
$24,800/day. Standby
costs include
equipment, security,

Avoid

Work with property


owners and City
Attorney.

Finalize Agreement with Property


Owners. Submit Agenda Item to
the Board of Supervisors

Morelli, Brian

9/20/2010

30-Jun-11

Active

Check on-going monitoring of


BDPLs and check that data is
consistent with no movement.

Hnat, Steve

8/1/2010

5/15/2015

Active

CM/SFPUC 9 FTE @
$150.00/hr =
$10,800/day and CS 8
FTE @ $100/hr =
$6,400 + office @
Page 5 of 7

Mitigation Action Items

Most Likely
Time, days

BDPLs will require


owner repair, which

Printed 9/28/2012 9:45 PM

Bob Mues

Prepared Date:

Approved Date:
CURRENT ASSESSMENT
Severity of Impact (S)

Risk ID

Baseline Risk Register

Prepared By:

Approved By:

RISK IDENTITY & CAUSE


A

Status Update:

Assure Contractor installs and


monitors survey monuments

RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

REGION/PROJECT:

Bay Tunnel

CONTRACTOR:

MJC-JV

Bay Tunnel
Project ID Number
PROJECT RISK REGISTER
Award: $215,294,530 - NTP: 4/1/2010

Bob Mues (Phone: 206-818-7353)

PROJECT CM:
CM CONSULTANT:

Jacobs Engineering

Risk Category

Risk Description
(Hazard/Risk
Scenario)

Operations

Failure of BDPL1 or 2 in
vicinity of Ravenswood
or Newark shafts.

023

024

Printed 9/28/2012 9:45 PM

Operations

Delay in shut-down
schedule.

Bob Mues

Prepared Date:

10/8/2010
N/A

Approved Date:

CURRENT ASSESSMENT
F

Location

Cause

Effect

Risk Plan
Owner

owner repair, which


may be problematic
Possibly caused by
regarding access
Ravenswood/
non-construction
and safety concerns Mazza, Paul
means, such as age
Newark
with construction
related joint failure.
operations on-going
nearby. May cause
some delay.

Ravenswood

Potentially weeks of
Failure of the
delay while the
contractor supplied
submersible pumps pumps are either
repaired or rental
during disinfection
units are located; it
of the pipe within
might also result in
the tunnel.
re-disinfecting, etc.

Contractor

Risk
Status

Open

Open

Trigger Date

8/1/2010

9/1/2014

Expiration
Date

5/15/2015

2/10/2015

Probability of
Occurrence
(P)

2 - Unlikely

2 - Unlikely

Impact to
Costs, $
(S_cost)

3 - Moderate

0 - Contractor
Risk

3 - Moderate

Impact to Costs, $

Impact to
Schedule,
Risk
Min. Time,
days
Calendar Days Score (R)
(S_schedule)

2 - Minor

N/A

MITIGATION

For PPPCM use only

Severity of Impact (S)

Risk ID

Baseline Risk Register

Prepared By:

Approved By:

RISK IDENTITY & CAUSE


A

Status Update:

11

10

Most Likely
Time, days

20

Page 6 of 7

Max. Time,
days

30

Min. Cost, $

483,000

Most Likely
Cost, $

866,000

Mitigation Action Items

Max. Cost, $

1,249,000

Scoring Rationale

$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$21,000/day =
$32,500. Total Daily
Rate = $38,300/day.
Standby costs include
equipment, security,
core crew costs, tunnel
lighting & ventilation,

Contractor Risk

Strategy

Mitigate

Mitigate

Risk Plan

monitors survey monuments


on BDPLs throughout
construction; consider
contingency planning for Ops
access in the event that
BDPLs fail and need to be
shut-down and repaired
adjacent to construction.

Actual
Completion

Action
Status

Action Items

Action Owner

Action Start

Action End

Assure Contractor's means and


methods are consistent with
specifications for protection of
existing improvements.

Mues, Bob

8/1/2010

5/15/2015

Active

Develop contingency plan in the


event of BDPL 1 or 2 failure and
need for Ops access and repair.

Mues, Bob

12/1/2010

5/15/2015

Proposed

Contractor

9/1/2014

2/10/2015

Proposed

Mues, Bob

9/1/2014

2/10/2015

Proposed

Assure Contractor's
Check functioning of submersible
submersible pumps are
pumps before planned shut-down.
functioning well before the
start of shut-down; check that
Check suppliers through Contractor
supplies of back-up pumps
to verify supply of available back-up
are readily available (if
pumps.
needed).

RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

REGION/PROJECT:

Bay Tunnel

CONTRACTOR:

MJC-JV

Bay Tunnel
Project ID Number
PROJECT RISK REGISTER
Award: $215,294,530 - NTP: 4/1/2010

Bob Mues (Phone: 206-818-7353)

PROJECT CM:
CM CONSULTANT:

Jacobs Engineering

Risk Category

025

Safety

026

027

Security

Operations

Printed 9/28/2012 9:45 PM

Risk Description
(Hazard/Risk
Scenario)

Location

Earthquake (Major) Bay Tunnel

Terrorism - Direct
Impact

Bob Mues

Prepared Date:

10/8/2010
N/A

Approved Date:

CURRENT ASSESSMENT
F

Cause

Effect

Risk Plan
Owner

Risk
Status

Trigger Date

Expiration
Date

Probability of
Occurrence
(P)

Act of God

Temporary site
facilities may be
damaged. May
have to reexcavate shaft
and portions of
the tunnel to reaccess. Integrity
of shaft and
tunnel possisbly
compromised.

Wong,
Johanna

Open

8/5/2010

3/2/2015

1 - Rare

Physical
Bomb, projectile
damage or
of any kind,
biological
Bay Tunnel
biological
contamination to
contamination
SFPUC Water
etc.
System.

Failure to meet
contractual shutBay Tunnel
down schedule for
BDPL1 and BDPL2

Operations or
other projects
don't allow
shutdown to
make tie in at
appropriate
time.

Unable to
complete tie in
of Bay Tunnel
(BDPL5) to
BDPLs 1 and 2.

Wong,
Johanna

Wong,
Johanna

Open

Open

8/5/2010

9/14/2014

3/2/2015

2/10/2015

1 - Rare

1 - Rare

Impact to
Costs, $
(S_cost)

5 - Catastrophic 5 - Catastrophic

2 - Minor

2 - Minor

Impact to Costs, $

Impact to
Schedule,
Risk
Min. Time,
days
Calendar Days Score (R)
(S_schedule)

5 - Catastrophic 5 - Catastrophic

N/A

MITIGATION

For PPPCM use only

Severity of Impact (S)

Risk ID

Baseline Risk Register

Prepared By:

Approved By:

RISK IDENTITY & CAUSE


A

Status Update:

15

15

30

Max. Time,
days

Min. Cost, $

Most Likely
Cost, $

Max. Cost, $

Scoring Rationale

Strategy

Risk Plan

Contractor Risk

Accept

Implementation of
Safety Plan.

60

Page 7 of 7

365

100,000

200,000

Mitigation Action Items

Most Likely
Time, days

Contractor Risk

300,000

Possible de-mob/remob of contractor or


shift work to another
contractor if the
window is missed and
has to be rescheduled.

Action Items

Action Owner

Actual
Completion

Action
Status

Action Start

Action End

9/1/2013

2/10/2015

Proposed

9/1/2014

2/10/2015

Proposed

Ensure proper physical


security elements (fencing,
Mitigation and response
barriers, gates, etc.) and
through additional
ACAMS (access control and
security and improved
monitoring system) are in
emergency
place at all critical facilities.
Mitigate
preparedness to avoid
Communications (ensure
any damage that might
result from a terrorism safety plan, standard protcol)
event.

Keep current with WSIP


program shut-down
Mitigate schedules, contingency
plans, and any
changes.

Work with Ops on contingency


schedule (either before or after) the
Wong, Johanna
planned shut-down to see if
alternate date can be found.

Assure Contractor has all


required shut-down
submittals in on schedule.

Mues, Bob

RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10