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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

  • 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 

Technical Risks

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

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

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

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

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

Construction Risks

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

Regulatory Risks

Regulatory Risks

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

American Consulting Engineers Council and Associated General Contractors of America Checklist 

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    

Subcategories

High Risk

No Present Risk

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