Risk Register AllLevels

LEVEL 1 - RISK REGISTER
Project Name:
Example Project
DIST- EA
Risk Identification
Status
ID #
Type
Category
Active
160
Threat
Design
Active
Active
Active
Active
Active
Active
Active
161
162
163
164
165
166
167
Threat
Threat
Threat
Threat
Threat
Threat
Threat
Title
Survey File
Environmental Challenge to EIR
R/W
Construction
Design
Delay of R/W Acquisition
Buried Objects
Supplemental EIR
Environmental Nesting birds
R/W
Construction
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.
Priority
Rating
Rationale for Rating
Risk Response
Strategy
Response Actions
Risk Owner
Updated
Mitigate
Verify that the survey file is accurate and

complete
Sam Owner
10/12/2012
Mitigate
Address concerns of stakeholders and

public during environmental process
EIR Person
11/23/2012
R/W Person
11/23/2012
Medium
Potential lawsuits may challenge the

environmental report, delaying the start
of construction or threatening loss of
funding.
PM Person
Low
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.
Accept
High
Unanticipated buried man-made objects

uncovered during construction require
removal and disposal resulting in
additional costs.
Accept
Include a Supplemental Work item to

cover this risk.
PM
11/24/2012
Avoid
Monitor design changes against ED to

avoid reassessment of ED unless the
opportunity outweighs the threat
Design Manager
11/24/2012
PM/RE
11/24/2012
Medium
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.
Low
Nesting birds, protected from

harassment under the Migratory Bird
Treaty Act, may delay construction
during the nesting season.
Mitigate
Schedule contract work to avoid the

nesting season or remove nesting habitat
before starting work.
Mitigate
Re-sequence the work to enable R/W

Certification
R/W Person
11/24/2012
Accept
Ensure storage space will be available
PM
11/24/2012
Low
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.
Low
Hazardous materials encountered

during construction will require an onsite storage area and potential
additional costs to dispose
Medium
Level 1 Risk Register
Project Name:
Example Project
DIST- EA
08-1234
Project
Manager
Risk Identification
Status
Active
Active
Active
Active
Active
Active
Active
Active
ID #
160
161
162
163
164
165
166
167
Type
Threat
Threat
Threat
Threat
Threat
Threat
Threat
Threat
Category
Design
Title
Probability
Cost Impact
3-Moderate
2 -Low

funding.
1-Very Low

for COS.
3-Moderate
Buried Objects

additional costs.
3-Moderate

3-Moderate
R/W
Construction
Design
Supplemental EIR
Construction
Risk Statement
Cost Score
Time Impact
4 -Moderate
8 -High
4 -Moderate
8 -High
4 -Moderate
3-Moderate
8 -High
Hazardous Materials

8 -High
2 -Low

complete
Sam Owner
10/12/2012
Mitigate

EIR Person
11/23/2012
R/W Person
11/23/2012
Accept

cover this risk.
PM
11/24/2012
Avoid

Design Manager
11/24/2012
PM/RE
11/24/2012
Mitigate

Mitigate

Certification
R/W Person
11/24/2012
Accept
PM
11/24/2012
24
1 -Very Low
Mitigate
16
24
2-Low
Updated
24
8 -High
8 -High
Risk Owner
12
12
Additional R/W
Response Actions
24
12
2 -Low
Strategy
Accept
4 -Moderate
4 -Moderate
Rationale
12

Time Score
12
2-Low
Risk Response
4 -Moderate
6

R/W
Risk Assessment

the design.
Survey File
PM Person
Project Name:
Example Project
Project
Manager
08-1234
DIST- EA
PM Person
Risk Assessment
Risk Identification
Status
ID #
Active
160
Active
161
Category
Design
162
R/W
Active
163
Construction
164
Active
165
Design
166
R/W
Active
167
Construction
Probability
Low
Cost Impact ($)
High
Low
40
60
100,000

funding.
10

for COS.
40
60
Buried Objects

additional costs.
20
Supplemental EIR

Survey File
Most likely
Time Impact (days)

High
Probable
Low
Most likely
High
Risk Response
Rationale
Probable
Strategy
Risk Owner
Updated
Mitigate

complete
Sam Owner
10/12/2012

EIR Person
11/23/2012
R/W Person
11/23/2012
PM
11/24/2012
300,000 $
100,000
500,000 $
800,000 $
1,200,000 $
42,000
60
150
Mitigate
500,000 $
750,000 $
2,000,000 $
542,000
180
365
136
Accept
40
200,000
400,000 $
90,000
10
30
100,000 $
200,000 $
400,000 $
47,000
60

20
150,000
300,000 $
23,000
30
Additional R/W

40
60
500,000 $
750,000 $
1,000,000 $
Hazardous Materials

20
40
100,000
300,000 $
Active
Risk Statement
the design.
Active
Active
Title
Response Actions
Accept

cover this risk.
Avoid

Mitigate

375,000
Mitigate
60,000
Accept
Design Manager 11/24/2012
PM/RE
11/24/2012

Certification
R/W Person
11/24/2012
PM
11/24/2012
Rating -->
Very Low
Impact Definitions
Low
Moderate
High
Cost Impact of
Threat
(CO + COS)
Insignificant
cost increase
<5% cost
increase
5-10% cost
increase
10-20% cost
increase
Cost Impact of
Opportunity (CO
+ COS)
Insignificant
cost reduction
<1% cost
decrease
1-3% cost
decrease
3-5% cost
decrease
Schedule Impact
of Threat
Insignificant
slippage
<1 month
slippage
1-3 months
slippage
3-6 months
slippage
Schedule Impact
of Opportunity
Probability
Insignificant
<1 month
1-2 months
2-3 months
improvement improvement improvement improvement
19%
1019%
2039%
4059%
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

Risk Register AllLevels

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LEVEL 1 - RISK REGISTER

Environmental Challenge to EIR

Delay of R/W Acquisition

Environmental Nesting birds

Inaccuracies or incomplete information

Rationale for Rating

Verify that the survey file is accurate and

Address concerns of stakeholders and

Potential lawsuits may challenge the

Due to the large number of parcels and

Unanticipated buried man-made objects

Include a Supplemental Work item to

Monitor design changes against ED to

A design change that is outside of the

Nesting birds, protected from

Schedule contract work to avoid the

Re-sequence the work to enable R/W

Ensure storage space will be available

Due to the complex nature of the

Hazardous materials encountered

Level 1 Risk Register

LEVEL 2 - RISK REGISTER

Potential lawsuits may challenge the

Delay of R/W Acquisition

Due to the large number of parcels and

Unanticipated buried man-made objects

A design change that is outside of the

Environmental Challenge to EIR

Hazardous materials encountered

Level 2 Risk Register

Verify that the survey file is accurate and

Address concerns of stakeholders and

Include a Supplemental Work item to

Monitor design changes against ED to

Schedule contract work to avoid the

Re-sequence the work to enable R/W

Ensure storage space will be available

Due to the complex nature of the

Nesting birds, protected from

Environmental Nesting birds

Inaccuracies or incomplete information

LEVEL 3 - RISK REGISTER

Cost Impact ($)

Potential lawsuits may challenge the

Delay of R/W Acquisition

Due to the large number of parcels and

Unanticipated buried man-made objects

A design change that is outside of the

Time Impact (days)

Verify that the survey file is accurate and

Address concerns of stakeholders and

Nesting birds, protected from

Due to the complex nature of the

Hazardous materials encountered

Environmental Nesting birds

Environmental Challenge to EIR

Level 3 Risk Register

Include a Supplemental Work item to

Monitor design changes against ED to

Schedule contract work to avoid the

Design Manager 11/24/2012

Re-sequence the work to enable R/W

Ensure storage space will be available

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