e-VOTE: An Internet-based Electronic Voting System

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Risk Management Plan

1.1.1.1 Purpose
This document describes how we will perform the job of managing risks for e-Vote.
It defines roles and responsibilities for participants in the risk processes, the risk management
activities that will be carried out, the schedule and budget for risk management activities, and
any tools and techniques that will be used.

2. Definitions

2.1. Risk management

Risk management is the application of appropriate tools and procedures to maintain risk
within acceptable limits. It consists of several sub-activities.

2.2. Risk assessment

Is the process of examining a project and identifying areas of potential risk.
The Risk Assessment is concerned with identifying, characterizing, prioritising and deciding
whether to accept the exposure associated with each risk that threatens the projects ability to
meet its objectives within schedule and budget.

2.3. Risk identification

Can be facilitated with the help of a checklist of common risk areas for software projects, or
by examining the contents of an organizational database of previously identified risks and
mitigation strategies (both successful and unsuccessful).

2.4. Risk analysis

Risk analysis involves examining how project outcomes might change with modification of
risk input variables.

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2.5. Risk prioritization

Helps the project focus on its most severe risks by assessing the risk exposure.

2.6. Risk exposure

Is the product of the probability of incurring a loss due to the risk and the potential magnitude
of that loss. We usually estimate the probability from 0.1 (highly unlikely) to 1.0 (certain to
happen), and the loss on a relative scale of 1 (no problem ) to 10 (total loss). Multiplying these
factors together provide an estimation of the risk exposure due to each item, which can run
from 0.1 through 10.

2.7. Risk avoidance

The risk avoidance strategy is to abstain from high risk activities. The obvious disadvantage of
this strategy is that it limits the activities performed with a consequent loss of the benefits
resulting from these activities.

2.8. Risk control

Is the process of managing risks to achieve the desired outcomes.
2.9. Risk reduction / risk mitigation
Risk Reduction is concerned with developing and executing countermeasures, monitoring
their execution and evaluating their effectiveness. Countermeasures and corrective actions
shall be agreed upon, based on the assessed impact of the risk, the projects ability to accept
the risk, and the feasibility of mitigating the risk.

2.10. Risk management planning

Produces a plan for dealing with each significant risk, including mitigation approaches,
owners, and timelines.

2.11. Risk resolution

Is the execution of the plans for dealing with each risk.

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2.12. Risk monitoring

Involves tracking your progress toward resolving each risk item.

2.13. Risk
The chance of damage, loss, injury or destruction.

2.14. Probability
Probability is the likelihood of an event to occur.

2.15. Impact
The cost or consequence of an undesirable event.

3. Roles and Responsibilities

3.1. Project Manager

The Project Manager will assign a Risk Officer to the project, and identify this
individual on the projects organisation chart. The Project Manager and other
members of the Project Coordination team shall meet monthly to review the
status of all risk mitigation efforts, review the exposure assessments for any
new risk items, and redefine the project's Top Ten Risk List.
3.2. Risk Officer
The Risk Officer has the following responsibilities and authority:

coordinating risk identification and analysis activities

maintaining the projects risk list

notifying project management of new risk items

reporting risk resolution status to management

The Risk Officer should normally not be the Project Manager.

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3.3. Project Member Assigned a Risk

The Risk Officer will assign each newly identified risk to a project member,
who will assess the exposure and probability for the risk factor and report the
results of that analysis back to the Risk Officer. Assigned project members are
also responsible for performing the steps of the mitigation plan and reporting
progress to the Risk Officer biweekly.

4. Risk Categories
Possible risks are classified according to the following list. This list can function as checklist
for risk analysis. This list shall be used for filling the Risk Category Field in the document
Risk Documentation Form.
4.1. Supplier Issues
1

Failure of the third party

Failure by them to deliver satisfactorily

Contractual issues

Mismatch between the nature of the task and the procurement process

4.2. Organisational factors

1

Additional staff responsibilities alongside project work

The project culture, or lack of it, within the Customer organisation

Personnel and training issues

Skill shortage

Potential security implications

Culture clashes between Customer and Supplier

4.3. Specialist issues

1

How well requirements can be specified

To what extent the requirements can be met using currently available and
understood facilities and approaches

The extent to which a project involves innovative, difficult or complex processes

and / or equipment

The challenges and problems regarding quality, testing

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The risks that the specified requirements will not be achievable in full, or that not
all requirements will
be correctly specified.

5. Risk Documentation

5.1. Risk List

The risk factors identified and managed for this project will be accumulated in
a Project Risk List [PRL], which is located in e-Vote Templates.
(See Forms PROJECT RISK LIST [PRL]) The ten risk items that currently
have the highest estimated risk exposure are referred to as the projects Top Ten
Risk List.

5.2. Risk Data Items

Information for each project risk will be stored in a Risk Documentation Form
[RDF]
The RDF is the primary form. Any team member can fill an RDF and send it by
e-mail to the Project Manager.
5.3. Closing Risks
A risk item can be considered closed when the planned mitigation actions have
been completed and the estimated risk exposure of (probability X impact) is
less than 2.

6. Activities

6.1. Activities Overview

The Risk Management Team (PM, SM,TC) provide the foundation for Risk Management
approach. TC acts as RO.
A risk assessment will be performed every month throughout the life of the project, by PM,
SM, TC.
The potential impacts on the projects success, and how the results and recommended

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contingencies to manage or mitigate the risks will be communicated to those

interested/involved parties.
Risk Reduction is continually performed throughout the life of the project. Risk Reduction is
concerned with developing and executing corrective measures, monitoring corrections and
evaluating their effectiveness. Corrective actions shall be agreed upon, based on the assessed
impact of the risk, the projects ability to accept the risk, and the feasibility of mitigating the
risk.
A Project Risk Metric Model within e-Vote will be adopted, which can help the Project
Manager assess the overall project risk level. Distinct risk reduction actions are suggested
within the Model that can effectively lower the level of risk exposure for each type of risk that
the project faces.

6.2. Risk Identification

6.2.1. Task
The techniques that will be used to identify risk factors at the beginning of the project and on
an on-going basis are:
A formal risk assessment workshop,

A brainstorming session,

Interviews at the beginning of each life cycle phase,

or use of the RDF form available from the projects web site for submitting risk factors.
Any consolidated lists of risk items that will be used to identify candidate risks for this project
MUST update this paper.
6.2.2. Participants
Any Team Member or participant can identify a risk and submit the relative document to the
Project Manager.

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6.3. Risk Analysis and Prioritisation

Stage

Task

The Risk Officer will assign each risk factor to an Risk Assigned
individual project member, who will estimate the Member [RAPM]
probability the risk could become a problem (scale
of 0.1-1.0) and the impact if it does (either relative
scale of 1-10, or units of dollars or schedule days,
as indicated by the Risk Officer)

The individual analysed risk factors are collected, Risk Officer [RO]
reviewed, and adjusted if necessary. The list of risk
factors is sorted by descending risk exposure
(probability times impact).
Preparation of Contingency Plan
Risk Officer [RO]
Description of estimation of such contingencies and
communicating the information to the Project
Manager or building those contingencies into the
project schedule

Participants
Project

6.4. Risk Management Planning

Stage
1

Task
The top ten risks are assigned to individual project
members for development and execution of a
Risk Mitigation Plan.

Participants
Risk Officer [RO]

Risk Assigned
For each assigned risk factor, recommend actions Project Member
that will reduce either the probability of the risk [RAPM]
materializing into a problem, or the severity of the
exposure if it does. Return the Risk Mitigation
Plan to the Risk Officer.
Risk Officer [RO]
The Risk Mitigation Plans for the assigned risk
items are collated into a single list. The completed
Top Ten Risk List is created and made publicly
available on the projects intranet web site.

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6.5. Risk Resolution

Stage
1

Task
Each individual who is responsible for executing a
risk mitigation plan carries out the mitigation
activities.

Participants
Risk Assigned
Project Member
[RAPM]

6.6. Risk Monitoring

Stage
1

3
4

Task

Participants

Describe the methods and metrics for tracking the

projects risk status over time, and the way risk
status will be reported to management.>

Risk Officer [RO]

Risk Assigned
The status and effectiveness of each mitigation Project Member
action is reported to the Risk Officer every two [RAPM]
weeks.
Risk Officer [RO]
The probability and impact for each risk item is
reevaluated and modified if appropriate.
Risk Officer [RO]
If any new risk items have been identified, they
are analyzed as were the items on the original risk
list and added to the risk list.
Risk Officer [RO]
The Top Ten Risk List is regenerated based on the
updated probability and impact for each remaining
risk.
Risk Officer [RO]
Any risk factors for which mitigation actions are
not being effectively carried out, or whose risk
exposure is rising, may be escalated to an
appropriate level of management for visibility and
action.

6.7. Lessons Learned

Stage
1

Task
Participants
A specific document is created by the PM when
Risk Officer [RO]
the risk is closed. The document shall be logged in
Lessons Learned Log [LLL] (see template in
section Forms) and shall contain information
about mitigation of specific risks. The LLL and the
Relative documents shall be stored in Web Site
restricted area for further assessment.

7. Schedule for Risk Management Activities

Activity

Description

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Risk Identification

A risk workshop will be held on approximately <TBD>.

Risk List

The prioritized risk list will be completed and made available to

the project team by approximately <TBD>.

Risk Management The Risk Management Plan, with mitigation, avoidance, or

Plan
prevention strategies for the top ten risk items, will be completed
by approximately <TBD>.
Risk Review

The Risk Management Plan and initial Top Ten Risk List will be
reviewed and approved by the Project Manager on
approximately <date>.

Risk Tracking

The status of risk management activities and mitigation success

will be revisited as part of the gate exit criteria for each life cycle
phase. The risk management plan will be updated at that time.

8. Risk Management Budget

The [contract] does not provide special person/hours for risk management. The cost of risk
management is charged to the project person/hours in general.

9. Risk Management Tools

10. Plans
All following plans refer to an individual risk.
Guidelines on the content of this plan are.
Risk Idetification
Actions
Roles
Timelines
Conclusions - Estimations

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10.1. Risk Mitigation plan

10.2. Risk Contingency Plan

10.3. Risk Management Plan

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11. Forms

11.1. Lessons Learned Log [LLL]

Lessons Learned Log (Use to summarise any Lessons Learned during
the Management. This will be updated by the Project Manager during
the Management Stage and notified to the Project Board at the End Stage
Assessment Meeting. A Lessons Learned Report will be produced using
this Log as its basis in the CP Process, and authorised by the Project
Board at the Project Closure Meeting)
Programme:IST
Project:e-Vote
Author:
Date:

Reference

Lessons Learned & Reference

e-VOTE/WP-1/D1.3/Final/13-12-2001

LLL
Ref:
Version:

Date &
Location

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11.2. PROJECT RISK LIST [PRL]

PROJECT RISK LIST
(Risks of the project are logged from RDFs by order
of Risk Factor. The 10 First are faced as most
important).

DOC CODE

PROGRAMME/PROJECT:
IST/e-Vote
AUTHOR

ORDER

DATE UPDATED

Risk
ID1

RISK DESCRIPTION

Risk
Assigned
Member

PRL

CLASSIFICATION:
Int.

PROB
ABILI
TY
(a)

IMPACT
(b)

Risk
Exposure
(a x b)

1
2
3
4
5
6
7
8
9
10

Risk ID is transferred to document RDF (Risk Documentation Form)

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11.3. Risk Documentation Form [RDF]

Risk Documentation Form
(Primary document where a risk is registered. A summary of
RDFs is written to the Risk List and obtains a Risk ID)
PROGRAMME/PROJECT:
IST/e-Vote
AUTHOR

Risk Category

Organisation

DOC CODE
RDF
Risk ID: <Sequence
Number>
CLASSIFICATION
Int.

Report Date: <Date this risk report was last updated>

Description: <Describe each risk in the form condition consequence. >

Probability: <Whats the

likelihood of this risk
becoming a problem? >

Impact: <Whats the damage

if the risk does become a
problem? >

Risk Exposure: <Multiply

Probability times Loss to estimate
the risk exposure. >

First Indicator: <Describe the earliest indicator or trigger condition that might indicate that the
risk is turning into a problem. >
Improvement Approaches: <State one or more approaches to control, avoid, minimize, or
otherwise limit the risk. Limitation approaches may reduce the probability or the impact. >
Date Started: <State the date
the Improvement plan
implementation was begun. >

Date to Complete: <State a

date by which the
improvement plan is to be
implemented. >

Owner: <Assign each risk

improvement action to an
individual for resolution. >

Current Status: <Describe the status and effectiveness of the risk limitation actions as of the date
of this report. >
Contingency Plan: <Describe the actions that will be taken to deal with the situation if this risk
factor actually becomes a problem. >
Trigger for Contingency Plan: <State the conditions under which the contingency plan will begin
to be implemented. >

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11.4. Risk Mitigation Log

Risk Mitigation Log
(Log document where all risks are registered. A summary of the
mitigation Strategy for every risk is stated in the appropriate
column. The cost of event in person Hours
PROGRAMME/PROJECT:
IST/e-Vote
AUTHOR
Organisation

ID

Risk event

Risk
exposure

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DOC CODE
RML

CLASSIFICATION
Int.

Mitigation
Strategy

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