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LEVEL 1 - RISK REGISTER

Example Project

Project Name:

DIST- EA

Risk Identification
Status

ID #

Type

Category

Active

160

Threat

Design

Active

161

Threat

Active

162

Threat

R/W

Active

163

Threat

Construction

Active

164

Threat

Title
Survey File

Environmental Challenge to EIR

Design

Active

165

Threat

Active

166

Threat

R/W

Active

167

Threat

Construction

Delay of R/W Acquisition

Buried Objects

Supplemental EIR

Environmental Nesting birds

Additional R/W

Hazardous Materials

08-1234

Project
Manager

Risk Rating
Risk Statement

Current status/assumptions

Inaccuracies or incomplete information


in the survey file could lead to rework of
the design.
Potential lawsuits may challenge the
environmental report, delaying the start
of construction or threatening loss of
funding.
Due to the large number of parcels and
businesses, may have to use the
condemnation process to acquire R/W,
which could delay start of construction
by up to one year, increasing
construction costs and extend the time
for COS.
Unanticipated buried man-made objects
uncovered during construction require
removal and disposal resulting in
additional costs.
A design change that is outside of the
parameters contemplated in the
Environmental Document triggers a
supplemental EIR which causes a delay
due to the public comment period.
Nesting birds, protected from
harassment under the Migratory Bird
Treaty Act, may delay construction
during the nesting season.
Due to the complex nature of the
staging, additional right of way or
construction easements may be
required to complete the work as
contemplated, resulting in additional
cost to the project.
Hazardous materials encountered
during construction will require an onsite storage area and potential
additional costs to dispose

Level 1 Risk Register

Priority
Rating

Rationale for Rating

PM Person
Risk Response

Strategy

Response Actions

Risk Owner

Updated

Medium

Mitigate

Verify that the survey file is accurate and


complete

Sam Owner

10/12/2012

Low

Mitigate

Address concerns of stakeholders and


public during environmental process

EIR Person

11/23/2012

High

Accept

R/W Person

11/23/2012

Medium

Accept

Include a Supplemental Work item to


cover this risk.

PM

11/24/2012

Low

Avoid

Monitor design changes against ED to


avoid reassessment of ED unless the
opportunity outweighs the threat

Design Manager

11/24/2012

Low

Mitigate

Schedule contract work to avoid the


nesting season or remove nesting habitat
before starting work.

PM/RE

11/24/2012

Low

Mitigate

Re-sequence the work to enable R/W


Certification

R/W Person

11/24/2012

Medium

Accept

Ensure storage space will be available

PM

11/24/2012

Example Project

Project Name:

LEVEL 2 - RISK REGISTER

DIST- EA

08-1234

Probability

Cost Impact

Project
Manager

Risk Identification
Status

ID #

Type

Category

Active

160

Threat

Design

Active

161

Threat

Active

162

Threat

R/W

Active

163

Threat

Construction

Title
Survey File

Environmental Challenge to EIR

Active

164

Threat

Design

Active

165

Threat

Active

166

Threat

R/W

Active

167

Threat

Construction

Delay of R/W Acquisition

Buried Objects

Supplemental EIR

Environmental Nesting birds

Additional R/W

Hazardous Materials

Risk Statement
Inaccuracies or incomplete information
in the survey file could lead to rework of
the design.
Potential lawsuits may challenge the
environmental report, delaying the start
of construction or threatening loss of
funding.
Due to the large number of parcels and
businesses, may have to use the
condemnation process to acquire R/W,
which could delay start of construction
by up to one year, increasing
construction costs and extend the time
for COS.
Unanticipated buried man-made
objects uncovered during construction
require removal and disposal resulting
in additional costs.
A design change that is outside of the
parameters contemplated in the
Environmental Document triggers a
supplemental EIR which causes a delay
due to the public comment period.
Nesting birds, protected from
harassment under the Migratory Bird
Treaty Act, may delay construction
during the nesting season.
Due to the complex nature of the
staging, additional right of way or
construction easements may be
required to complete the work as
contemplated, resulting in additional
cost to the project.
Hazardous materials encountered
during construction will require an onsite storage area and potential
additional costs to dispose

PM Person

Risk Assessment
Current status/assumptions

Cost Score Time Impact

Risk Response

Time Score

Rationale

Strategy

Response Actions

Risk Owner

Updated

Sam Owner

10/12/2012

EIR Person

11/23/2012

R/W Person

11/23/2012

3-Moderate

2 -Low

4 -Moderate

12

Mitigate

Verify that the survey file is accurate and


complete

1-Very Low

4 -Moderate

8 -High

Mitigate

Address concerns of stakeholders and


public during environmental process

3-Moderate

4 -Moderate

12

8 -High

24

Accept

3-Moderate

4 -Moderate

12

4 -Moderate

12

Accept

Include a Supplemental Work item to


cover this risk.

PM

11/24/2012

3-Moderate

4 -Moderate

12

8 -High

24

Avoid

Monitor design changes against ED to


avoid reassessment of ED unless the
opportunity outweighs the threat

Design Manager

11/24/2012

2-Low

2 -Low

8 -High

16

Mitigate

Schedule contract work to avoid the


nesting season or remove nesting habitat
before starting work.

PM/RE

11/24/2012

3-Moderate

8 -High

24

8 -High

24

Mitigate

Re-sequence the work to enable R/W


Certification

R/W Person

11/24/2012

2-Low

2 -Low

1 -Very Low

Accept

Ensure storage space will be available

PM

11/24/2012

Level 2 Risk Register

LEVEL 3 - RISK REGISTER

Example Project

Project Name:

DIST- EA

Project
Manager

08-1234

PM Person

Risk Assessment
Risk Identification
Status

ID #

Category

Active

160

Design

Active

161

Active

162

R/W

Active

163

Construction

Title
Survey File

Environmental Challenge to EIR

Active

164

Design

Active

165

Active

166

R/W

Active

167

Construction

Delay of R/W Acquisition

Buried Objects

Supplemental EIR

Environmental Nesting birds

Additional R/W

Hazardous Materials

Risk Statement
Inaccuracies or incomplete information
in the survey file could lead to rework of
the design.
Potential lawsuits may challenge the
environmental report, delaying the start
of construction or threatening loss of
funding.
Due to the large number of parcels and
businesses, may have to use the
condemnation process to acquire R/W,
which could delay start of construction
by up to one year, increasing
construction costs and extend the time
for COS.
Unanticipated buried man-made objects
uncovered during construction require
removal and disposal resulting in
additional costs.
A design change that is outside of the
parameters contemplated in the
Environmental Document triggers a
supplemental EIR which causes a delay
due to the public comment period.
Nesting birds, protected from
harassment under the Migratory Bird
Treaty Act, may delay construction
during the nesting season.
Due to the complex nature of the
staging, additional right of way or
construction easements may be
required to complete the work as
contemplated, resulting in additional
cost to the project.
Hazardous materials encountered
during construction will require an onsite storage area and potential
additional costs to dispose

Probability
Current status/assumptions

Low

Cost Impact ($)


Low

High

Most likely

40

60

100,000

10

500,000

40

60

500,000

20

40

200,000

10

30

100,000

20

150,000

40

60

500,000

20

40

100,000

Time Impact (days)


High

Probable

Low

Most likely

High

Risk Response

Rationale
Probable

Strategy

Risk Owner

Updated

Mitigate

Verify that the survey file is accurate and


complete

Sam Owner

10/12/2012

Address concerns of stakeholders and


public during environmental process

EIR Person

11/23/2012

R/W Person

11/23/2012

PM

11/24/2012

300,000

100,000

800,000

1,200,000

42,000

60

150

Mitigate

750,000

2,000,000

542,000

180

365

136

Accept

400,000

90,000

400,000

47,000

60

300,000

23,000

30

1,000,000

300,000

200,000

750,000

Level 3 Risk Register

Response Actions

Accept

Include a Supplemental Work item to


cover this risk.

Avoid

Monitor design changes against ED to


avoid reassessment of ED unless the
opportunity outweighs the threat

Mitigate

Schedule contract work to avoid the


nesting season or remove nesting habitat
before starting work.

375,000

Mitigate

60,000

Accept

Design Manager 11/24/2012

PM/RE

11/24/2012

Re-sequence the work to enable R/W


Certification

R/W Person

11/24/2012

Ensure storage space will be available

PM

11/24/2012

Rating -->

Very Low

Impact Definitions
Low
Moderate

High

Insignificant cost
increase

<5% cost
increase

5-10% cost
increase

10-20% cost
increase

Cost Impact of
Insignificant cost
Opportunity (CO + COS)
reduction

<1% cost
decrease

1-3% cost
decrease

3-5% cost
decrease

<1 month
slippage
<1 month
improvement
1019%

1-3 months
slippage
1-2 months
improvement
2039%

3-6 months
slippage
2-3 months
improvement
4059%

Cost Impact of Threat


(CO + COS)

Schedule Impact of
Threat
Schedule Impact of
Opportunity
Probability

Insignificant
slippage
Insignificant
improvement
19%

Risk Matrix
Probability Rating

5 Very High
4 High
3 Moderate
2 Low
1 Very Low
1
Very Low

2
Low

4
Moderate

Impact Rating

Low Risk
Moderate Risk
High Risk

Rating

Very High
>20% cost
increase
>5% cost
decrease
>6 months
slippage
>3 months
improvement
6099%

8
High

16
Very High