Risk Register

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
Award: $215,294,530 - NTP: 4/1/2010
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
(S_schedule)
3 - Moderate
N/A
MITIGATION
For PPPCM use only
Risk ID
Prepared By:
Approved By:

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 =
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 =
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
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
REGION/PROJECT:
Bay Tunnel
CONTRACTOR:
MJC-JV
Bay Tunnel
Project ID Number
Award: $215,294,530 - NTP: 4/1/2010
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
(S_schedule)
2 - Minor
N/A
MITIGATION
For PPPCM use only
Risk ID
Prepared By:
Approved By:

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
Max. Cost, $
6,128,000
Scoring Rationale
CM/SFPUC 9 FTE @
$150.00/hr =
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$21,000/day =
rate = $38,300/day.
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.
REGION/PROJECT:
Bay Tunnel
CONTRACTOR:
MJC-JV
Bay Tunnel
Project ID Number
Award: $215,294,530 - NTP: 4/1/2010
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
Risk ID
Prepared By:
Approved By:

A
Status Update:
Impact to Costs, $
Impact to
Schedule,
Risk
Min. Time,
days
(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 =
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$21,000/day =
rate = $38,300/day.
Contractor Risk
CM/SFPUC 9 FTE @
$150.00/hr =
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
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
REGION/PROJECT:
Bay Tunnel
CONTRACTOR:
MJC-JV
Bay Tunnel
Project ID Number
Award: $215,294,530 - NTP: 4/1/2010
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
Impact to Costs, $
Impact to
Schedule,
Risk
Min. Time,
days
(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 =
FTE @ $100/hr =
$6,400 + office @
$100/day = $6,500/day
+ Standby Costs @
$21,000/day =
$32,500. Total Daily
Rate = $38,300/day.
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 =
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 =
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
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 =
FTE @ $100/hr =
$6,400 + office @
Page 5 of 7
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
Risk ID
Prepared By:
Approved By:

A
Status Update:
Assure Contractor installs and

monitors survey monuments
REGION/PROJECT:
Bay Tunnel
CONTRACTOR:
MJC-JV
Bay Tunnel
Project ID Number
Award: $215,294,530 - NTP: 4/1/2010
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
(S_schedule)
2 - Minor
N/A
MITIGATION
For PPPCM use only
Risk ID
Prepared By:
Approved By:

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
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.
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).
REGION/PROJECT:
Bay Tunnel
CONTRACTOR:
MJC-JV
Bay Tunnel
Project ID Number
Award: $215,294,530 - NTP: 4/1/2010
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)
2 - Minor
2 - Minor
Impact to Costs, $
Impact to
Schedule,
Risk
Min. Time,
days
(S_schedule)
N/A
MITIGATION
For PPPCM use only
Risk ID
Prepared By:
Approved By:

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
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

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REGION/PROJECT:

Bob Mues (Phone: 206-818-7353)

Printed 9/28/2012 9:45 PM

For PPPCM use only

Severity of Impact (S)

Baseline Risk Register

RISK IDENTITY & CAUSE

Mitigation Action Items

Catastrophic event loss of completed work

Require maintenance of TBM

Verify that the TBM

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

Bob Mues (Phone: 206-818-7353)

Printed 9/28/2012 9:45 PM

For PPPCM use only

Severity of Impact (S)

Baseline Risk Register

RISK IDENTITY & CAUSE

Assure Contractor submittals

Assure that the

Monitor and implement

On-going check of perimeter

Mitigation Action Items

Work area lighting functional

Maintain and repair (if

Lock-ups inside site and

Coordinate with SFPUC BEM

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

Bob Mues (Phone: 206-818-7353)

Printed 9/28/2012 9:45 PM

Worker health &

Work will stop,

For PPPCM use only

Severity of Impact (S)

Baseline Risk Register

RISK IDENTITY & CAUSE

Mitigation Action Items

Look into the feasibility of

Initiate discussions with USD

On-going verification that

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

Bob Mues (Phone: 206-818-7353)

Blow-in through the

Work will stop,

For PPPCM use only

Severity of Impact (S)

Baseline Risk Register

RISK IDENTITY & CAUSE

Printed 9/28/2012 9:45 PM

Hold monthly coordination

Verify Contractor follows

Assure Contractor's plans

Require all equipment and

Mitigation Action Items

Provide on-going updates to

Assure that there are

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

Bob Mues (Phone: 206-818-7353)

materials than and hyperbaric

BCDC will not issue

For PPPCM use only

adequate spare parts

Issue field order for

Check that Contractor has