Bay Tunnel Status Update: Baseline Risk Register

Project ID Number
REGION/PROJECT: Bay Tunnel PROJECT RISK REGISTER Prepared By: Bob Mues
Award: $215,294,530 - NTP: 4/1/2010
CONTRACTOR: MJC-JV Prepared Date: 10/8/2010

Bob Mues (Phone: 206-818-7353) N/A

PROJECT CM: Approved By:

CM CONSULTANT: Jacobs Engineering Approved Date: N/A

RISK IDENTITY & CAUSE CURRENT ASSESSMENT MITIGATION

For PPPCM use only
A B C D E F G H I J K L M N O P Q R S T U
Severity of Impact (S) Impact to Costs, $ Mitigation Action Items
Impact to
Risk Description Probability of Impact to
Risk Plan Risk Expiration Schedule, Risk Min. Time, Most Likely Max. Time, Most Likely Actual Action
Risk ID Risk Category (Hazard/Risk Location Cause Effect Trigger Date Occurrence Costs, $ days Time, days days
Min. Cost, $
Cost, $
Max. Cost, $ Scoring Rationale Strategy Risk Plan Action Items Action Owner Action Start Action End
Owner Status Date Calendar Days Score (R) Completion Status
Scenario) (P) (S_cost)
(S_schedule)

Require maintenance of TBM

driving parameters (spoil
removal rate records)
against theoretical earth
volume to be removed, and Mues, Bob 7/12/2011 9/12/2013 Proposed
tail grout quantity placed per
ring of TBM advance, to
verify possible "over
excavation").
Verify that Contractor's
Unplanned remedial plan for this
Maintain full-time CM
hyperbaric condition is in place with
QA inspection on the
Differing soil intervention, initial tunnel submittals, and
TBM when tunneling
condition results in and results in that the equipment/materials
Catastrophic event - (per Spec 02311 Mues, Bob 8/1/2010 9/12/2013 Proposed
chimney to bottom loss of pressure Unrecoverable noted are available and
Wong, loss of completed work requirements). Assure
001 Technical of the Bay, blow-in Tunnel to face of EPB loss of tunnel Open 7/12/2011 9/12/2013 1 - Rare 5 - Catastrophic 5 - Catastrophic 15 520 520 520 75,000,000 112,500,000 150,000,000 Mitigate functional throughout
Johanna and extensive delay in Contractor maintains
to TBM, lose tunnel, TBM, which and shaft. starting over. tunneling. Require additional
adequate off-shift
submerge shaft and cannot be remedial grouting or refill
monitoring of pressure
start over. recovered due where necessary.
chamber and heading,
to nature of the
esp at high risk areas.
material.
Verify the requirements of
Specification 02311 for
inspections and interventions
into the pressure chamber of
the EPB TBM are met Mues, Bob 8/1/2010 9/12/2013 Active
(Pressurized Face Tunneling
Plans, Method Statements,
Procedures, Tunnel Safety
Plans).

Verify that the TBM On-going check of thrust and

CM/SFPUC 9 FTE @
Differing site thrust is at least as lubrication data from TBM as Mues, Bob 7/12/2011 9/12/2013 Proposed
$150.00/hr =
conditions $10,800/day and CS 8 specified and that the progressing.
(highly plastic FTE @ $100/hr = shield lubrication
TBM gets stuck $6,400 + office @
clay) of the San (bentonite injection
Encounter reaches in these $100/day = $6,500/day
Antonio port/injection system)
of squeezing ground reaches, and Wong, . Total Daily Rate =
002 Technical Tunnel formation in Open 7/12/2011 9/12/2013 2 - Unlikely 3 - Moderate 4 - Major 14 19.5 58.5 97.5 1,312,350 3,937,050 6,561,750
$17,300. Add for loss
Mitigate are functioning, Assure TBM maintenance is
causing TBM to get impacts Johanna
excess to those of productivity for half lubrication material performed as specified or
stuck. Contractor
or at other of 75% of the tunnel = mixing and supply more (if needed), particularly Hogan, Tom 7/12/2011 9/12/2013 Proposed
production rate. 9,750' - 10%, 20% &
locations than system are functioning prior to entering squeezing
50% reduction in
those expected and ready, and that ground regions.
progress at average of
from GBR. $1,000 per LF. TBM maintenance is
current.

Printed 9/28/2012 9:45 PM Page 1 of 7 RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

 Bay Tunnel Status Update: Baseline Risk Register
Project ID Number
REGION/PROJECT: Bay Tunnel PROJECT RISK REGISTER Prepared By: Bob Mues
Award: $215,294,530 - NTP: 4/1/2010
CONTRACTOR: MJC-JV Prepared Date: 10/8/2010

Bob Mues (Phone: 206-818-7353) N/A

PROJECT CM: Approved By:

CM CONSULTANT: Jacobs Engineering Approved Date: N/A

RISK IDENTITY & CAUSE CURRENT ASSESSMENT MITIGATION

For PPPCM use only
A B C D E F G H I J K L M N O P Q R S T U
Severity of Impact (S) Impact to Costs, $ Mitigation Action Items
Impact to
Risk Description Probability of Impact to
Risk Plan Risk Expiration Schedule, Risk Min. Time, Most Likely Max. Time, Most Likely Actual Action
Risk ID Risk Category (Hazard/Risk Location Cause Effect Trigger Date Occurrence Costs, $ days Time, days days
Min. Cost, $
Cost, $
Max. Cost, $ Scoring Rationale Strategy Risk Plan Action Items Action Owner Action Start Action End
Owner Status Date Calendar Days Score (R) Completion Status
Scenario) (P) (S_cost)
(S_schedule)

Unforeseen ground Interface Control of the Although this Assure Contractor submittals
conditions between between San tunnel (vertical/ subsurface discontinuity are in on schedule and Mues, Bob 1/1/2013 7/5/2013 Proposed
the Franciscan Antonio horizontal) Wong, 0 - Contractor is well defined in the properly reviewed and
003 Technical Tunnel Open 3/1/2013 7/5/2013 4 - Likely 3 - Moderate 0 0 0 0 0 0 0 Mitigate
Formation and San Formation alignment Johanna Risk GBR, assure that approved.with any
Assist Contractor
Antonio Formation (softer ground) between the San Contractor's EPB TBM other special measures Mues, Bob 1/1/2013 7/5/2013 Proposed
interface. and Franciscan Antonio design includes a needed.
Formation Formation and suitable guidance

Additional
CM/SFPUC 9 FTE @
hyperbaric $150.00/hr = Assure that the
interventions $10,800/day and CS 8 Contractor has planned
Hitting unforseen FTE @ $100/hr =
needed to to perform maintenance
Franciscan $6,400 + office @ Assure Contractor submittals
change interventions prior to
Formation in Differing site Wong, $100/day = $6,500/day are in on schedule and
004 Technical Tunnel cutterhead; Open 7/12/2011 3/12/2013 2 - Unlikely 3 - Moderate 3 - Moderate 10 15 20 673,000 1,009,500 1,346,000
. Total daily cost =
Mitigate each reach with Mues, Bob 1/1/2013 7/5/2013 Proposed
reaches not conditions. Johanna properly reviewed and
productivity loss; $17,300. Add for loss geotechnical data
surveyed in the approved.
TBM not of productivity using "gaps"; assure that
GBR $50,000 per day X the
designed for back-up equipment and
additional days to
great lengths of supplies are available.
accomplish the work.
hard ground.

On-going check of perimeter

fencing integrity and site sign Hogan, Tom 6/1/2010 3/2/2015 Active
visibility.
On-going check of security
Wakefield,
guard's presence on site 8/1/2010 5/15/2015 Active
Replacement or Rick
24/7.
repair to finished
Breach in
Vandalism to site or Ravenswoo permanent Work area lighting functional
perimeter fence 0 - Contractor Monitor and implement Contractor 11/15/2010 12/31/2014 Proposed
005 Security construction d/ Newark works, safety Contractor Open 6/1/2010 5/15/2015 5 - Frequent
Risk
2 - Minor 0 0 0 0 0 0 0 Contractor Risk Mitigate (include winter evenings).
or bypass of safety and security plan.
property, damage Shafts hazard to
guard station.
"intruders" or Maintain and repair (if
perpetrators. Contractor 8/1/2010 5/15/2015 Active
needed) fencing.

Lock-ups inside site and

provide safety covers over
Contractor 12/1/2010 5/15/2015 Proposed
potential hazards such as
pipe trench at night.

Coordinate with SFPUC BEM

to ensure they obtain a
Peterson,
CM/SFPUC 9 FTE @ Section 2081 Take 1/1/2011 4/1/2011 Proposed
Megan
$150.00/hr = Authorization from CDFG
Contractor $10,800/day and CS 8 prior to working at Newark.
delayed from FTE @ $100/hr =
$6,400 + office @ Conduct preconstruction
starting work at $100/day = $6,500/day surveys prior to working at
Protected Work in a proactive Wilkerson,
Unanticipated Newark and/or + Standby Costs @ Newark and relocate CTS
species manner to anticipate Cullen and/or
presence of NewarkShaf additional Wong, $21,000/day = individuals, if found. Hand 2/1/2011 3/1/2011 Proposed
006 Regulatory encountered Open 3/1/2011 5/15/2015 2 - Unlikely 2 - Minor 2 - Minor 5 20 40 60 766,000 1,532,000 2,298,000
$32,500. Total daily
Mitigate issues before they Craighead,
endangered t restrictions to Johanna
during surveys rate = $38,300/day. become delays or cost excavate burrows during the Kim
species. site dry season if work begins
or construction. Standby costs include changes.
implemented equipment, security, after May 1.
during site core crew costs, tunnel Wilkerson,
activities. lighting & ventilation,
Cullen;
equipment Monitor installation of
maintenance, etc. exclusion fencing and initial Craighead, 2/1/2011 5/1/2011 Proposed
ground-disturbing activities. Kim;
Peterson,
Eric

Printed 9/28/2012 9:45 PM Page 2 of 7 RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

 Bay Tunnel Status Update: Baseline Risk Register
Project ID Number
REGION/PROJECT: Bay Tunnel PROJECT RISK REGISTER Prepared By: Bob Mues
Award: $215,294,530 - NTP: 4/1/2010
CONTRACTOR: MJC-JV Prepared Date: 10/8/2010

Bob Mues (Phone: 206-818-7353) N/A

PROJECT CM: Approved By:

CM CONSULTANT: Jacobs Engineering Approved Date: N/A

RISK IDENTITY & CAUSE CURRENT ASSESSMENT MITIGATION

For PPPCM use only
A B C D E F G H I J K L M N O P Q R S T U
Severity of Impact (S) Impact to Costs, $ Mitigation Action Items
Impact to
Risk Description Probability of Impact to
Risk Plan Risk Expiration Schedule, Risk Min. Time, Most Likely Max. Time, Most Likely Actual Action
Risk ID Risk Category (Hazard/Risk Location Cause Effect Trigger Date Occurrence Costs, $ days Time, days days
Min. Cost, $
Cost, $
Max. Cost, $ Scoring Rationale Strategy Risk Plan Action Items Action Owner Action Start Action End
Owner Status Date Calendar Days Score (R) Completion Status
Scenario) (P) (S_cost)
(S_schedule)

Look into the feasibility of

alternative mitigation
Peterson,
CM/SFPUC 9 FTE @ measures as opposed to 1/1/2011 4/1/2011 Proposed
Megan
$150.00/hr = implementing a buffer zone
$10,800/day and CS 8 (e.g., barriers, etc.)
Restrictions due to FTE @ $100/hr =
Protected birds $6,400 + office @
Conduct preconstruction
nesting special- surveys according to the Wilkerson,
nesting in $100/day = $6,500/day Continually monitor
status shorebirds Contractor + Standby Costs @ MMRP during the early Cullen and/or
Ravenswoo adjacent status of birds in the 2/1/2011 3/1/2015 Proposed
(CA clapper rail, delayed due Wong, $21,000/day = portion of the 2011, 2012, Craighead,
007 Regulatory d/ Newark marshlands Open 2/11/2011 5/15/2015 3 - Possible 2 - Minor 2 - Minor 9 40 80 160 1,532,000 3,064,000 6,128,000
$32,500. Total daily Mitigate area and develop an
black rail, least tern, implementation Johanna 2013, 2014 and 2015 Kim
Shafts during future rate = $38,300/day. initial strategy for
etc.) moving into an of buffer zones. nesting seasons.
nesting Standby costs include managing this risk.
active construction equipment, security,
seasons.
area. core crew costs, tunnel
Maintain an open dialog with
lighting & ventilation,
equipment regulatory agencies and take Peterson,
2/1/2011 5/1/2015 Proposed
maintenance, etc. proactive steps to minimize Megan
delays.

Initiate discussions with USD

early, and prior to moving
Contractor 2/1/2011 6/1/2011 Proposed
into NVL to understand the
requirements/restrictions
Union Sanitary Contamination Obtain a NPDES VOC permit
Additional
District prohibits is too high and Develop a water as a backup in the event
Newark permits, water 0 - Contractor Contractor 12/1/2010 6/1/2011 Proposed
008 Regulatory discharge of does not comply Contractor Open 3/1/2011 8/1/2011 3 - Possible
Risk
3 - Moderate 0 0 0 0 0 0 0 Contractor Risk Mitigate discharge contingency USD discharge is not
Shaft treatment, or off-
construction water with USD plan allowed.
hauling of water. Evaluate additional design
into their system requirements
techniques to limit the influx
of groundwater into shaft and Contractor 12/1/2010 6/1/2010 Proposed
trench for tie-ins (e.g.,
extending Ranger's cut-off
wall).

CM QA Inspectors to verify
that Contractor has tested
the water, and has a test
Worker health & plan in place to continually Hogan, Tom 3/1/2013 12/31/2013 Proposed
safety concerns test and manage the water
if contaminated throughout the Newark shaft
groundwater not installation work.
Gravel lenses
handled Verification by ECM,
across site QA Inspectors assure that
appropriately. EIs, and QA Inspectors
causing greater the shaft is sealed to avoid
Handling of Contractor may that Contractor has its
infiltration or contaminated water from
contaminated be required to plan, permits, disposal
existing interfering with the tunnel
groundwater/soil at shut-down 0 - Contractor site, and resources for
009 Safety Newark contaminant Contractor Open 3/1/2013 12/31/2013 5 - Frequent
Risk
3 - Moderate 0 0 0 0 0 0 0 Contractor Risk Mitigate completion and installation of
Newarks shaft site dewatering this contaminated water Hogan, Tom 3/1/2013 12/31/2013 Proposed
plume has the final lining pipe into the
in excess of amount operation (and in place prior to
different tunnel and shaft, and the
specified. not be allowed commencement of the
constituents or surface pipe
to discharge by Newark Shaft
higher installation/connection to the
USD) if installation.
concentrations. existing BDPL1.
contaminants
not properly
On-going verification that
treated prior to
Contractor meets
disposal.
requirements of their Union Peterson,
3/1/2013 12/31/2013 Proposed
Sanitary District discharge Megan
permit with dewatering
operation.

Exposure to Work will stop, Ensure contractor On-going verification that

Injuries resulting
compressed air worker must be provides the tools, Contractor's hyperbaric work Mues, Bob 7/12/2011 9/12/2013 Proposed
from, or while
Ravenswoo at face of TBM transported to 0 - Contractor
equipment, and facilities are operational.
010 Safety working in, surface and Contractor Open 7/12/2011 9/12/2013 3 - Possible
Risk
3 - Moderate 0 0 0 0 0 0 0 Contractor Risk Mitigate hyperbaric work
d Shaft during Assure Contractor's
compressed air
inspections and quickly treated in facilities, and follows
contingency planning is in Mues, Bob 5/1/2011 9/12/2013 Proposed
environment.
maintenance. decompression required contingency
place prior to the
chamber or at planning for carrying out
interventions.

Printed 9/28/2012 9:45 PM Page 3 of 7 RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

 Bay Tunnel Status Update: Baseline Risk Register
Project ID Number
REGION/PROJECT: Bay Tunnel PROJECT RISK REGISTER Prepared By: Bob Mues
Award: $215,294,530 - NTP: 4/1/2010
CONTRACTOR: MJC-JV Prepared Date: 10/8/2010

Bob Mues (Phone: 206-818-7353) N/A

PROJECT CM: Approved By:

CM CONSULTANT: Jacobs Engineering Approved Date: N/A

RISK IDENTITY & CAUSE CURRENT ASSESSMENT MITIGATION

For PPPCM use only
A B C D E F G H I J K L M N O P Q R S T U
Severity of Impact (S) Impact to Costs, $ Mitigation Action Items
Impact to
Risk Description Probability of Impact to
Risk Plan Risk Expiration Schedule, Risk Min. Time, Most Likely Max. Time, Most Likely Actual Action
Risk ID Risk Category (Hazard/Risk Location Cause Effect Trigger Date Occurrence Costs, $ days Time, days days
Min. Cost, $
Cost, $
Max. Cost, $ Scoring Rationale Strategy Risk Plan Action Items Action Owner Action Start Action End
Owner Status Date Calendar Days Score (R) Completion Status
Scenario) (P) (S_cost)
(S_schedule)

Require all equipment and

systems for work under
pressure be in place and Mues, Bob 4/12/2011 9/12/2013 Proposed
Compressed air
tested prior to
"hyperbaric" work
commencement of work
Work will stop, cannot commence
Exposure to worker must be before all plans and Require Contractor to adhere
compressed air transported to procedures are to decompression
Decompression at face of TBM surface and 0 - Contractor acceptable pursuant to procedures and hyperbaric Mues, Bob 4/12/2011 9/12/2013 Proposed
011 Safety Tunnel Contractor Open 7/12/2011 9/12/2013 3 - Possible
Risk
3 - Moderate 0 0 0 0 0 0 0 Contractor Risk Mitigate
sickness during quickly treated in California labor safety work plans.
inspections and decompression codes and standards,
maintenance. chamber or at including Require Contractor to have
hospital. decompression medical resources in place
process, equipment, for response, transport, and
and tables. care of decompression Mues, Bob 4/12/2011 9/12/2013 Proposed
sickness, either on site of at
nearby hospital or other
qualified facilities.

Assure Contractor's plans

Blow-in through the and employee training
forward pressure
Contractor's plans must specifically address high risk Mues, Bob 5/1/2011 9/12/2013 Proposed
bulkhead of the EPB nature of work around the
address the high risk of
TBM (the bulkhead pressure bulkhead.
Unintended any maintenance work
containing the face
penetration of Potential loss of around the pressure
pressure monitoring Ravenswoo 0 - Contractor
012 Technical the EPBM EPB TBM and Contractor Open 7/12/2011 9/12/2013 2 - Unlikely
Risk
5 - Catastrophic 0 0 0 0 0 0 0 Contractor Risk Mitigate bulkhead and the
instruments beyond d Shaft
pressure tunnel. dangers of any
which is the earth
bulkhead. penetration (separate
plug, water table
from the hyperbaric Assure Contractor provides
pressure and the
intervention plans). training of high risk work to
Bay trying to come Mues, Bob 5/1/2011 9/12/2013 Proposed
any new workers involved in
in).
tunneling operation.

Require expanded
engineering controls for
Mues, Bob 7/1/2010 5/15/2015 Active
sound attenuation
(mufflers/enclosures of loud
Contractor's Monitor site work to
Resident equipment).
failure to comply Potential work identify problem before Require increased distance
complaints, and (if possible) from sound Mues, Bob 7/1/2010 5/15/2015 Active
with noise and stoppage until recognized by the
irritation, with Ravenswoo 0 - Contractor source or sound walls (if
013 Community vibration code complaints are Contractor Open 7/1/2010 5/15/2015 3 - Possible
Risk
2 - Minor 0 0 0 0 0 0 0 Contractor Risk Mitigate public; provide
construction noise, d required).
requirements, or addressed and proactive outreach to
dust, lighting, Remove/change out the
if compliant, mitigated. community of upcoming Mues, Bob 7/1/2010 5/15/2015 Active
vibration, etc. source or noise emitter.
public irritation. activities.
Provide on-going updates to
Kerby,
community via mailers, door 7/1/2010 5/15/2015 Active
Christina
hangers, blog of activities.

CM/SFPUC 9 FTE @ Hold monthly coordination

Delay to start of $150.00/hr = Wong,
meetings with PG&E and 4/1/2010 3/31/2011 Active
PG&E fails to tunneling with $10,800/day and CS 8 Closely monitor Johanna
FTE @ $100/hr = Contractor to mitigate issues.
provide power insufficient progress of the
Lack of sufficient Ravenswoo Wong, $6,400 + office @
014 Technical service when power supply for Open 3/31/2011 9/12/2013 2 - Unlikely 3 - Moderate 3 - Moderate 11 20 60 180 766,000 2,298,000 6,894,000 $100/day = $6,500/day Mitigate temporary construction
power supply. d Johanna Take appropriate steps to
required; PG&E TBM; loss of + Standby Costs @ power installations by
power failure. power during $21,000/day = PG&E. avoid any SFPUC caused Mues, Bob 4/1/2010 3/31/2011 Active
tunneling. $32,500. Total daily delays.
rate = $38,300/day.
Standby costs include

Verify Contractor follows

submittals and method Mues, Bob 9/15/2010 6/1/2011 Active
Water leakage Contractor does statements.
Verify that Contractor Carefully inspect slab for
around the not follow
Potentially have follows specifications, leakage (following Hogan, Tom 2/1/2011 6/1/2011 Proposed
perimeter seal or Ravenswoo specifications/ 0 - Contractor
015 Technical to replace shaft Contractor Open 11/15/2010 6/1/2011 2 - Unlikely
Risk
2 - Minor 0 0 0 0 0 0 0 Contractor Risk Mitigate places shaft floor slabs unwatering and cleaning).
through the shaft d Shaft Contractor
floor slab. accordingly, inspect for If required, verify submittal of
floor slab (tremie means &
conformance. Contractor's remedial plan to
concrete). methods faulty.
repair leaks and assure Mues, Bob 2/1/2011 6/1/2011 Proposed
materials/methods are
viable.

Excessive TBM
CM/SFPUC 9 FTE @ Check to increase spare part
head, face $150.00/hr = inventory once condition is Mues, Bob 7/12/2011 9/12/2013 Proposed
chamber, cutter, $10,800/day and CS 8
FTE @ $100/hr =
verified.
Different and screw
$6,400 + office @ Assure that there are
More abrasive subsurface conveyor wear
Wong, $100/day = $6,500/day adequate spare parts

Printed 9/28/2012 9:45 PM Page 4 of 7 RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

 Bay Tunnel Status Update: Baseline Risk Register
Project ID Number
REGION/PROJECT: Bay Tunnel PROJECT RISK REGISTER Prepared By: Bob Mues
Award: $215,294,530 - NTP: 4/1/2010
CONTRACTOR: MJC-JV Prepared Date: 10/8/2010

Bob Mues (Phone: 206-818-7353) N/A

PROJECT CM: Approved By:

CM CONSULTANT: Jacobs Engineering Approved Date: N/A

RISK IDENTITY & CAUSE CURRENT ASSESSMENT MITIGATION

For PPPCM use only
A B C D E F G H I J K L M N O P Q R S T U
Severity of Impact (S) Impact to Costs, $ Mitigation Action Items
Impact to
Risk Description Probability of Impact to
Risk Plan Risk Expiration Schedule, Risk Min. Time, Most Likely Max. Time, Most Likely Actual Action
Risk ID Risk Category (Hazard/Risk Location Cause Effect Trigger Date Occurrence Costs, $ days Time, days days
Min. Cost, $
Cost, $
Max. Cost, $ Scoring Rationale Strategy Risk Plan Action Items Action Owner Action Start Action End
Owner Status Date Calendar Days Score (R) Completion Status
Scenario) (P) (S_cost)
(S_schedule)

Wong, $100/day = $6,500/day adequate spare parts

016 Technical ground conditions Tunnel materials than and hyperbaric Open 7/12/2011 9/12/2013 3 - Possible 3 - Moderate 2 - Minor 12 20 30 40 1,346,000 2,019,000 2,692,000
. Total daily cost =
Mitigate
Johanna available at start and
than anticipated. those presented maintenance of $17,300. Add $1M, Issue field order for
throughout tunneling.
in the GBR. those parts that $1.5M & $2M for immediate spare parts
are exposed to replacement parts, lost procurement, if schedule Mues, Bob 7/12/2011 9/12/2013 Proposed
time for replacement
ground (long lead item) becomes an
and lost productivity.
pressure. issue.

Unbalanced/ Electrocution, if Check that Contractor has

Damage to BDPLs excessive load PG&E Assure Contractor is provided an adequate base Hogan, Tom 8/1/2010 12/1/2010 Active
1& 2 or PG&E or unstable transmission well prepared with for crane support.
0 - Contractor
017 Safety transmission lines Shafts crane platform lines hit; power Contractor Open 8/1/2010 11/15/2010 3 - Possible 3 - Moderate 0 0 0 0 0 0 0 Contractor Risk Mitigate acceptable JHAs for
Risk Check that Contractor is
due to crane tip base during outage. Service each portion of slurry following load limits and
over. installation of outage, if BDPLs wall construction. Hogan, Tom 8/1/2010 12/1/2010 Active
protocol as perscribed in the
diaphragm hit; damage
JHAs.
slurry wall rebar requiring
CM/SFPUC 9 FTE @ Hire specialty archaeological
$150.00/hr = Peterson,
Bay Margin is and paleontological monitors 12/1/2010 2/1/2010 Completed
$10,800/day and CS 8 Megan
known to FTE @ $100/hr = in the event of discoveries.
Unanticipated contain Work stoppage $6,400 + office @ Implement existing
cultural or prehistoric and until the $100/day = $6,500/day procedures for Ensure that worker training is
Peterson,
paleontological Ravenswoo paleontological resource can be Wong, + Standby Costs @ unanticipated conducted according to the 4/1/2010 12/31/2014 Active
018 Regulatory Open 8/1/2010 5/15/2015 2 - Unlikely 2 - Minor 2 - Minor 5 20 40 60 766,000 1,532,000 2,298,000 $21,000/day = Mitigate Eric
discoveries during d/ Newark resources, but properly Johanna discoveries and work MMRP and specifications.
$32,500. Total Daily
shaft excavation, construction evaluated/ Rate = $38,300/day. quickly to mobilize Coordinate with the
tunneling, or tie-ins methods recovered. Standby costs include specialists to the field. Contractor in the event of a
prevent surveys equipment, security, Peterson,
core crew costs, tunnel find to quickly assess the 4/1/2010 12/31/2014 Active
and monitoring Megan
lighting & ventilation, significance and possible
equipment need for work stoppage.

Inspect the work area daily Peterson,

for any cover or other 4/1/2010 12/31/2014 Active
Eric
Carelessness Work stoppage potential habitat.
Inadvertantly and/or not by USFWS Train individuals on
Implement requirements significance of "take" of the
injuring or killing an following project and/or CDFG Peterson,
as specified in project species.Conduct tailgate 4/1/2010 12/31/2014 Active
endangered, Ravenswoo requirements; until additional 0 - Contractor
Eric
019 Regulatory Contractor Open 5/20/2010 5/15/2015 1 - Rare
Risk
4 - Major 0 0 0 0 0 0 0 Contractor Risk Mitigate documents and develop trainings prior to working in
threatened, or fully d/ Newark accidental mitigation
comprehensive training sensitive areas.
protected species collisions with measures can
program
(SMHM, CTS, etc.) equipment; work be developed/ Coordinate with SFPUC BEM
in wetlands, etc. approved. to ensure the 2081for CTS is Peterson,
12/1/2010 3/1/2011 Active
in hand prior to work Megan
beginning Newark

Design water treatment Host SWPPP workshop for

Additional time
Additional plant to accommodate Bay Division Region to Peterson,
and costs 4/1/2010 5/31/2010 Completed
requirements new permit faciliate understanding of Megan
incurred by
imposed by requirements (e.g., requirements.
Contractor and
Additional RWQCB higher risk level Additional SWPP modular system that Develop expandable
CM team
requirements as a under NPDES requirements and can easily be modular WTP for Contractor 4/1/2011 10/30/2010 Active
Ravenswoo associated with Wong,
020 Regulatory result of risk General Open 5/20/2010 5/15/2015 4 - Likely 1 - Insignificant 1 - Insignificant 7 0 0 0 50,000 100,000 250,000 monitoring. Estimated Mitigate expanded). Close Ravenswood.
d/Newark sampling, Johanna costs by PUC/CM
assessment prior to Construction coordination between CM team provides daily Peterson,
monitoring and Team.
Sept 2, 2011. Stormwater CM team and environmental inspection to Eric and 5/20/2010 3/1/2015 Active
reporting;
Permit due to Contractor to help identify issues. Mirzad, Slay
additional
duration of understand new Provide QSP to oversee site
RWQCB
project. requirements and compliance with NPDES Contractor 5/20/2010 5/1/2015 Active
coordination.
prepare risk permit.
assessment/SWPPP
Various: BCDC CM/SFPUC 9 FTE @
$150.00/hr =
want removal of
$10,800/day and CS 8 Work with BCDC and
BDPLs 1&2; FTE @ $100/hr =
BCDC will not issue Cannot start City Attorney to get Work with BCDC. Enlist help from
BCDC may Wong, $6,400 + office @ Zhang, Yin
021 Regulatory permit for tunneling Tunnel tunnel Open 9/20/2010 6/30/2011 2 - Unlikely 5 - Catastrophic 5 - Catastrophic 21 60 120 240 1,488,000 2,976,000 5,952,000 Avoid agreements in place City Attorney to avoid BDCD 9/20/2010 6/30/2011 Active
claim jurisdiction Johanna $100/day = $6,500/day claiming jurisdiction below the Bay. Lan
under the Bay. excavation. + Standby Costs @ well before the start of
below the Bay;
$7,500/day = tunneling.
subsurface
$14,000/day. Total
easements are Daily Rate =

CM/SFPUC 9 FTE @
$150.00/hr =
Terms of
$10,800/day and CS 8
Subsurface Agreement not FTE @ $100/hr =
Easement is not acceptable to $6,400 + office @
Cannot start Work with property Finalize Agreement with Property
obtained from parties; Board Wong, $100/day = $6,500/day
022 Management Tunnel tunnel Open 9/20/2010 6/30/2011 2 - Unlikely 5 - Catastrophic 5 - Catastrophic 21 60 120 240 1,488,000 2,976,000 5,952,000 + Standby Costs @ Avoid owners and City Owners. Submit Agenda Item to Morelli, Brian 9/20/2010 30-Jun-11 Active
Cargill, SamTrans, of Supervisors Johanna the Board of Supervisors
excavation. $7,500/day = Attorney.
and Mid Peninsula reject purchase $14,000/day. Total
Open Space District. of subsurface Daily Rate =
easement. $24,800/day. Standby
costs include
equipment, security,
CM/SFPUC 9 FTE @
$150.00/hr = Check on-going monitoring of
$10,800/day and CS 8 BDPLs and check that data is Hnat, Steve 8/1/2010 5/15/2015 Active
BDPLs will require Assure Contractor installs and consistent with no movement.
FTE @ $100/hr =
owner repair, which monitors survey monuments
$6,400 + office @

Printed 9/28/2012 9:45 PM Page 5 of 7 RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

 Bay Tunnel Status Update: Baseline Risk Register
Project ID Number
REGION/PROJECT: Bay Tunnel PROJECT RISK REGISTER Prepared By: Bob Mues
Award: $215,294,530 - NTP: 4/1/2010
CONTRACTOR: MJC-JV Prepared Date: 10/8/2010

Bob Mues (Phone: 206-818-7353) N/A

PROJECT CM: Approved By:

CM CONSULTANT: Jacobs Engineering Approved Date: N/A

RISK IDENTITY & CAUSE CURRENT ASSESSMENT MITIGATION

For PPPCM use only
A B C D E F G H I J K L M N O P Q R S T U
Severity of Impact (S) Impact to Costs, $ Mitigation Action Items
Impact to
Risk Description Probability of Impact to
Risk Plan Risk Expiration Schedule, Risk Min. Time, Most Likely Max. Time, Most Likely Actual Action
Risk ID Risk Category (Hazard/Risk Location Cause Effect Trigger Date Occurrence Costs, $ days Time, days days
Min. Cost, $
Cost, $
Max. Cost, $ Scoring Rationale Strategy Risk Plan Action Items Action Owner Action Start Action End
Owner Status Date Calendar Days Score (R) Completion Status
Scenario) (P) (S_cost)
(S_schedule)

owner repair, which monitors survey monuments

$6,400 + office @
may be problematic on BDPLs throughout
Possibly caused by $100/day = $6,500/day Assure Contractor's means and
Failure of BDPL1 or 2 in regarding access construction; consider
Ravenswood/ non-construction + Standby Costs @ methods are consistent with
023 Operations vicinity of Ravenswood and safety concerns Mazza, Paul Open 8/1/2010 5/15/2015 2 - Unlikely 3 - Moderate 2 - Minor 11 10 20 30 483,000 866,000 1,249,000 Mitigate contingency planning for Ops Mues, Bob 8/1/2010 5/15/2015 Active
Newark means, such as age $21,000/day = specifications for protection of
or Newark shafts. with construction access in the event that
related joint failure. $32,500. Total Daily existing improvements.
operations on-going BDPLs fail and need to be
Rate = $38,300/day.
nearby. May cause shut-down and repaired
Standby costs include Develop contingency plan in the
some delay. adjacent to construction.
equipment, security, event of BDPL 1 or 2 failure and Mues, Bob 12/1/2010 5/15/2015 Proposed
core crew costs, tunnel need for Ops access and repair.
lighting & ventilation,

Failure of the Potentially weeks of Assure Contractor's

delay while the submersible pumps are Check functioning of submersible
contractor supplied Contractor 9/1/2014 2/10/2015 Proposed
pumps before planned shut-down.
Delay in shut-down submersible pumps pumps are either 0 - Contractor functioning well before the
024 Operations Ravenswood repaired or rental Contractor Open 9/1/2014 2/10/2015 2 - Unlikely 3 - Moderate 0 0 0 0 0 0 0 Contractor Risk Mitigate start of shut-down; check that
schedule. during disinfection Risk Check suppliers through Contractor
of the pipe within units are located; it supplies of back-up pumps
to verify supply of available back-up Mues, Bob 9/1/2014 2/10/2015 Proposed
the tunnel. might also result in are readily available (if
pumps.
re-disinfecting, etc. needed).

Printed 9/28/2012 9:45 PM Page 6 of 7 RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10

 Bay Tunnel Status Update: Baseline Risk Register
Project ID Number
REGION/PROJECT: Bay Tunnel PROJECT RISK REGISTER Prepared By: Bob Mues
Award: $215,294,530 - NTP: 4/1/2010
CONTRACTOR: MJC-JV Prepared Date: 10/8/2010

Bob Mues (Phone: 206-818-7353) N/A

PROJECT CM: Approved By:

CM CONSULTANT: Jacobs Engineering Approved Date: N/A

RISK IDENTITY & CAUSE CURRENT ASSESSMENT MITIGATION

For PPPCM use only
A B C D E F G H I J K L M N O P Q R S T U
Severity of Impact (S) Impact to Costs, $ Mitigation Action Items
Impact to
Risk Description Probability of Impact to
Risk Plan Risk Expiration Schedule, Risk Min. Time, Most Likely Max. Time, Most Likely Actual Action
Risk ID Risk Category (Hazard/Risk Location Cause Effect Trigger Date Occurrence Costs, $ days Time, days days
Min. Cost, $
Cost, $
Max. Cost, $ Scoring Rationale Strategy Risk Plan Action Items Action Owner Action Start Action End
Owner Status Date Calendar Days Score (R) Completion Status
Scenario) (P) (S_cost)
(S_schedule)

Temporary site
facilities may be
damaged. May
have to re-
excavate shaft
Wong, Implementation of
025 Safety Earthquake (Major) Bay Tunnel Act of God and portions of Open 8/5/2010 3/2/2015 1 - Rare 5 - Catastrophic 5 - Catastrophic 15 0 0 0 0 0 0 Contractor Risk Accept
Johanna Safety Plan.
the tunnel to re-
access. Integrity
of shaft and
tunnel possisbly
compromised.

Ensure proper physical

security elements (fencing,
Mitigation and response barriers, gates, etc.) and
Physical through additional ACAMS (access control and
Bomb, projectile
damage or security and improved monitoring system) are in
of any kind,
Terrorism - Direct biological Wong, emergency place at all critical facilities.
026 Security Bay Tunnel biological Open 8/5/2010 3/2/2015 1 - Rare 5 - Catastrophic 5 - Catastrophic 15 0 0 0 0 0 0 Contractor Risk Mitigate
Impact contamination to Johanna preparedness to avoid
contamination Communications (ensure
SFPUC Water any damage that might
etc.
System. result from a terrorism safety plan, standard protcol)
event.

Work with Ops on contingency

Operations or schedule (either before or after) the
Possible de-mob/re- Wong, Johanna 9/1/2013 2/10/2015 Proposed
other projects Unable to Keep current with WSIP planned shut-down to see if
Failure to meet mob of contractor or alternate date can be found.
don't allow complete tie in program shut-down
contractual shut- Wong, shift work to another
027 Operations Bay Tunnel shutdown to of Bay Tunnel Open 9/14/2014 2/10/2015 1 - Rare 2 - Minor 2 - Minor 4 30 60 365 100,000 200,000 300,000
contractor if the
Mitigate schedules, contingency
down schedule for Johanna
make tie in at (BDPL5) to window is missed and plans, and any Assure Contractor has all
BDPL1 and BDPL2
appropriate BDPLs 1 and 2. has to be rescheduled. changes. required shut-down Mues, Bob 9/1/2014 2/10/2015 Proposed
time. submittals in on schedule.

Printed 9/28/2012 9:45 PM Page 7 of 7 RR Bay Tunnel - 2010 10 8 (DRAFT2)R2 3 pt estimates 11 12 10