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Project At Risk

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Risk Document Checklist

Risk management reports vary depending on the size, nature, and phase of the project. The following are examples of risk management documents and reports that may be useful:

List 1
List 2

List 1

Risk management plan
Risk information form
Risk assessment report
Risk handling priority list
Risk handling plan of action
Aggregated risk list

List 2

Risk monitoring documentation:
- Project metrics
- Technical reports
- Earned value reports
- Watch list
- Schedule performance report
- Critical risk processes reports

Source: DOE Office of Engineering and Construction Management

Caltrans Sample Risk List

Technical Risks

Design incomplete
Right-of-way analysis in error
Environmental analysis incomplete or in error
Unexpected geotechnical issues
Change requests because of errors
Inaccurate assumptions on technical issues in planning stage
Surveys late and/or surveys in error
Materials/geotechnical/foundation in error
Structural designs incomplete or in error
Hazardous waste site analysis incomplete or in error
Need for design exceptions
Consultant design not up to department standards
Context-sensitive solutions
Fact sheet requirements (exceptions to standards)

External Risks

Landowners unwilling to sell
Priorities change on existing program
Inconsistent cost, time, scope, and quality objectives
Local communities pose objections
Funding changes for fiscal year
Political factors change
Stakeholders request late changes
New stakeholders emerge and demand new work
Influential stakeholders request additional needs to serve their own commercial purposes
Threat of lawsuits
Stakeholders choose time and/or cost over quality

Environmental Risks

Permits or agency actions delayed or take longer than expected
New information required for permits
Environmental regulations change
Water quality regulation changes
Reviewing agency requires higher-level review than assumed
Lack of specialized staff (biology, anthropology, archeology, etc.)
Historic site, endangered species, or wetlands present
Environmental impact statement (EIS) required
Controversy on environmental grounds expected
Environmental analysis on new alignments required
Formal National Environmental Policy Act (NEPA) 404 consultation required
Formal Section 7 consultation required
Section 106 issues expected
Project in an area of high sensitivity for paleontology
Section 4(f) resources affected
Project in the Coastal Zone
Project on a Scenic Highway
Project near a Wild and Scenic River
Project in a floodplain or a regulatory floodway
Project does not conform to the State implementation plan for air quality at the program and plan level
Water quality issues
Negative community impacts expected
Hazardous waste preliminary site investigation required
Growth inducement issues
Cumulative impact issues
Pressure to compress the environmental schedule

Organizational Risks

Inexperienced staff assigned
Losing critical staff at crucial point of the project
Insufficient time to plan
Unanticipated project manager workload
Internal red tape causes delay getting approvals, decisions
Functional units not available or overloaded
Lack of understanding of complex internal funding procedures
Not enough time to plan
Priorities change on existing program
New priority project inserted into program
Inconsistent cost, time, scope, and quality objectives Project Management Risks
Project purpose and need are poorly defined
Project scope definition is poor or incomplete
Project scope, schedule, objectives, cost, and deliverables are not clearly defined or understood
No control over staff priorities
Too many projects
Consultant or contractor delays
Estimating and/or scheduling errors
Unplanned work that must be accommodated
Communication breakdown with project team
Pressure to deliver project on an accelerated schedule
Lack of coordination/communication
Lack of upper management support
Change in key staffing throughout the project
Inexperienced workforce/inadequate staff/resource availability
Local agency issues
Public awareness/support
Agreements

Right-of-Way Risks

Utility relocation may not happen in time
Freeway agreements
Railroad involvement
Objections to right-of-way appraisal take more time and/or money

Construction Risks

Inaccurate contract time estimates
Permit work windows
Utility
Surveys
Buried manmade objects/unidentified hazardous waste

Regulatory Risks

Water quality regulations change
New permits or new information required
Reviewing agency requires higher-level review than assumed

ACEC and AGCA Checklist

American Consulting Engineers Council and Associated General Contractors of America Checklist

List 1
List 2

List 1

• Adequacy of project funding
• Subsurface conditions-rock, soils, water levels, hazardous wastes, archaeological encounters, existing utilities
• Adequacy of labor force
• Political climate and interference, community activism
• Adequacy and availability of owner representation
• Permits and licenses
• Site access
• Sufficiency of plans and specifications
• Innovative designs
• Owner involvement in design
• Appropriate designer involvement in construction
• Late or unsuitable owner-furnished material and equipment
• Delayed deliveries

List 2

• Delay in presenting problems
Delay in addressing and solving problems
• Labor productivity
• Subcontractor capability
• Delays and disruptions
• Worker and site safety
• Adequacy of performance time
• Changes in needs or requirements of finished project
• Governmental acts
• Acts of God
• Union strife and work rules
• Cost escalation
• Overlapping insurance coverage
Unreasonable systems performance guarantees

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