Risk Register

(1)

(S_schedule)

Require maintenance of TBM driving parameters (spoil

removal rate records) against theoretical earth volume to be removed, and tail grout quantity placed per

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

remedial plan for this condition is in place with initial tunnel submittals, and that the equipment/materials noted are available and

functional throughout tunneling. Require additional

remedial grouting or refill where necessary.

Verify the requirements of Specification 02311 for inspections and interventions into the pressure chamber of

the EPB TBM are met (Pressurized Face Tunneling

Plans, Method Statements, Procedures, Tunnel Safety

Plans).

Mues, Bob 8/1/2010 9/12/2013 Active

520 520 520

15

7/12/2011 9/12/2013 1 - Rare 5 - Catastrophic 5 - Catastrophic Mitigate

Maintain full-time CM QA inspection on the TBM when tunneling (per Spec 02311 requirements). Assure Contractor maintains adequate off-shift monitoring of pressure chamber and heading, esp at high risk areas. 75,000,000 112,500,000 150,000,000

Catastrophic event - loss of completed work

and extensive delay in starting over. Unrecoverable loss of tunnel and shaft. Wong, Johanna Open Technical Differing soil condition results in chimney to bottom of the Bay, blow-in to TBM, lose tunnel, submerge shaft and

start over. Tunnel Unplanned hyperbaric intervention, and results in loss of pressure to face of EPB TBM, which cannot be recovered due to nature of the material. 001

On-going check of thrust and lubrication data from TBM as

progressing.

Assure TBM maintenance is performed as specified or more (if needed), particularly

prior to entering squeezing ground regions.

Hogan, Tom 7/12/2011 9/12/2013 Proposed

14 19.5 58.5 97.5

2 - Unlikely 3 - Moderate 4 - Major Technical Encounter reaches of squeezing ground causing TBM to get stuck. Tunnel Differing site conditions (highly plastic clay) of the San

Antonio formation in excess to those or at other locations than those expected from GBR. 9/12/2013 TBM gets stuck in these reaches, and impacts Contractor production rate. Wong,

Johanna Open 7/12/2011 Mitigate

Verify that the TBM thrust is at least as specified and that the

shield lubrication (bentonite injection port/injection system)

are functioning, lubrication material mixing and supply system are functioning

and ready, and that TBM maintenance is current. 1,312,350 3,937,050 6,561,750 CM/SFPUC 9 FTE @ $150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = $6,400 + office @ $100/day = $6,500/day

. Total Daily Rate = $17,300. Add for loss of productivity for half of 75% of the tunnel = 9,750' - 10%, 20% & 50% reduction in progress at average of $1,000 per LF. 002

(2)

(S_schedule)

Assure Contractor submittals are in on schedule and properly reviewed and

approved.

Assist Contractor with any other special measures

needed.

0 0 0 0 - Contractor Risk 3 - Moderate 4 - Likely Open 3/1/2013 7/5/2013 0 Technical Unforeseen ground conditions between the Franciscan Formation and San Antonio Formation interface. Tunnel Interface between San Antonio Formation (softer ground) and Franciscan Formation Control of the tunnel (vertical/ horizontal) alignment between the San

Antonio Formation and Wong, Johanna Mitigate Although this subsurface discontinuity

is well defined in the GBR, assure that Contractor's EPB TBM design includes a suitable guidance 0 0 0 003 004 Technical Hitting unforseen Franciscan Formation in reaches not surveyed in the GBR

Tunnel Differing site conditions. Additional hyperbaric interventions needed to change cutterhead; productivity loss; TBM not designed for great lengths of hard ground. Wong,

Johanna Open 7/12/2011 3/12/2013 2 - Unlikely 3 - Moderate 3 - Moderate 10 15 20 673,000 1,009,500 1,346,000

CM/SFPUC 9 FTE @ $150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = $6,400 + office @ $100/day = $6,500/day . Total daily cost = $17,300. Add for loss of productivity using $50,000 per day X the additional days to accomplish the work.

Mitigate

Assure that the Contractor has planned to perform maintenance interventions prior to

each reach with geotechnical data "gaps"; assure that back-up equipment and

supplies are available.

Assure Contractor submittals are in on schedule and properly reviewed and

approved.

On-going check of perimeter fencing integrity and site sign

visibility.

Hogan, Tom 6/1/2010 3/2/2015 Active

On-going check of security guard's presence on site

24/7.

Wakefield,

Rick 8/1/2010 5/15/2015 Active

Replacement or _24/7.

Work area lighting functional

(include winter evenings). Contractor 11/15/2010 12/31/2014 Proposed Maintain and repair (if

needed) fencing. Contractor 8/1/2010 5/15/2015 Active

Lock-ups inside site and provide safety covers over

potential hazards such as pipe trench at night.

Contractor 12/1/2010 5/15/2015 Proposed

Coordinate with SFPUC BEM to ensure they obtain a

Section 2081 Take Authorization from CDFG prior to working at Newark.

Peterson,

Megan 1/1/2011 4/1/2011 Proposed

Conduct preconstruction surveys prior to working at Newark and relocate CTS individuals, if found. Hand excavate burrows during the

dry season if work begins after May 1. Wilkerson, Cullen and/or Craighead, Kim 2/1/2011 3/1/2011 Proposed Wilkerson, Cullen; 60 0 0 0 Open 6/1/2010 Security Vandalism to site or construction property, damage Ravenswoo d/ Newark Shafts Breach in perimeter fence or bypass of guard station. repair to finished permanent works, safety hazard to "intruders" or perpetrators.

Contractor 2 - Minor 0 0 0 0 Contractor Risk Mitigate _{safety and security plan.}Monitor and implement

5/15/2015

5 - Frequent 0 - Contractor Risk

2 - Unlikely 2 - Minor 2 - Minor 5 5/15/2015

Mitigate

Work in a proactive manner to anticipate issues before they become delays or cost

changes. Open 3/1/2011 766,000 1,532,000 2,298,000 CM/SFPUC 9 FTE @ $150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = $6,400 + office @ $100/day = $6,500/day + Standby Costs @ $21,000/day = $32,500. Total daily rate = $38,300/day. Standby costs include

equipment, security, core crew costs, tunnel

lighting & ventilation,

20 40 Contractor delayed from starting work at Newark and/or additional restrictions to site implemented during site activities. Wong, Johanna Regulatory Unanticipated presence of endangered species. NewarkShaf t Protected species encountered during surveys or construction. 005 006 Monitor installation of exclusion fencing and initial ground-disturbing activities. Cullen; Craighead, Kim; Peterson, Eric 2/1/2011 5/1/2011 Proposed

lighting & ventilation, equipment maintenance, etc. activities.

(3)

(S_schedule)

Look into the feasibility of alternative mitigation measures as opposed to implementing a buffer zone

(e.g., barriers, etc.)

Peterson, Megan 1/1/2011 4/1/2011 Proposed Conduct preconstruction Restrictions due to Protected birds CM/SFPUC 9 FTE @ $150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = Conduct preconstruction surveys according to the MMRP during the early portion of the 2011, 2012, 2013, 2014 and 2015 nesting seasons. Wilkerson, Cullen and/or Craighead, Kim 2/1/2011 3/1/2015 Proposed

Maintain an open dialog with regulatory agencies and take proactive steps to minimize

delays.

Peterson,

Megan 2/1/2011 5/1/2015 Proposed

Initiate discussions with USD early, and prior to moving into NVL to understand the requirements/restrictions

Obtain a NPDES VOC permit as a backup in the event

USD discharge is not allowed.

Evaluate additional design techniques to limit the influx of groundwater into shaft and

trench for tie-ins (e.g., Contractor 12/1/2010 6/1/2010 Proposed Develop a water

discharge contingency plan

0 0 0 Contractor Risk Mitigate

3/1/2011 8/1/2011 3 - Possible 0 - Contractor _Risk 3 - Moderate 0 0 0 Regulatory

Union Sanitary District prohibits discharge of construction water

into their system

Newark Shaft

Contamination is too high and does not comply with USD requirements Additional permits, water treatment, or off-hauling of water. Contractor Open 0 Regulatory Restrictions due to nesting special-status shorebirds

(CA clapper rail, black rail, least tern, etc.) moving into an active construction area. Ravenswoo d/ Newark Shafts Protected birds nesting in adjacent marshlands during future nesting seasons.

5/15/2015 3 - Possible 2 - Minor 2 - Minor Contractor

delayed due implementation of buffer zones.

Wong,

Johanna Open 2/11/2011 9 Mitigate

Continually monitor status of birds in the area and develop an initial strategy for managing this risk. 1,532,000 3,064,000 6,128,000 $6,400 + office @ $100/day = $6,500/day + Standby Costs @ $21,000/day = $32,500. Total daily rate = $38,300/day. Standby costs include

equipment, security, core crew costs, tunnel

lighting & ventilation, equipment maintenance, etc.

40 80 160

007

008

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 plan in place to continually test and manage the water throughout the Newark shaft

installation work.

QA Inspectors assure that the shaft is sealed to avoid contaminated water from interfering with the tunnel completion and installation of

the final lining pipe into the tunnel and shaft, and the

surface pipe installation/connection to the

existing BDPL1.

On-going verification that Contractor meets requirements of their Union

Sanitary District discharge

Peterson,

Megan 3/1/2013 12/31/2013 Proposed

0

0 0

0

3 - Moderate Contractor Risk Mitigate

Contractor Open 3/1/2013 Safety

Handling of contaminated groundwater/soil at

Newarks shaft site in excess of amount specified. Newark Gravel lenses across site causing greater infiltration or existing contaminant plume has different constituents or higher concentrations.

Worker health & safety concerns if contaminated groundwater not handled appropriately. Contractor may be required to shut-down dewatering operation (and not be allowed to discharge by USD) if contaminants not properly treated prior to disposal. 0 0 0 12/31/2013 5 - Frequent 0 - Contractor _Risk

Verification by ECM, EIs, and QA Inspectors

that Contractor has its plan, permits, disposal site, and resources for this contaminated water

in place prior to commencement of the

Newark Shaft installation. 009

Sanitary District discharge permit with dewatering

operation.

Megan 3/1/2013 12/31/2013 Proposed

On-going verification that Contractor's hyperbaric work

facilities are operational.

Assure Contractor's contingency planning is in

place prior to the interventions.

0 0 0

Contractor Open 7/12/2011 9/12/2013 3 - Possible 0 - Contractor _Risk 3 - Moderate 0 Safety Injuries resulting from, or while working in, compressed air environment. Ravenswoo d Shaft Exposure to compressed air at face of TBM during inspections and maintenance.

Work will stop, worker must be transported to surface and quickly treated in decompression chamber or at Mitigate Ensure contractor provides the tools, equipment, and hyperbaric work facilities, and follows required contingency planning for carrying out

0 0 0 Contractor Risk

(4)

(S_schedule)

Require all equipment and systems for work under pressure be in place and

tested prior to commencement of work

Require Contractor to adhere to decompression Exposure to

compressed air

Work will stop, worker must be transported to

Compressed air "hyperbaric" work cannot commence before all plans and

procedures are to decompression procedures and hyperbaric

work plans.

Require Contractor to have medical resources in place for response, transport, and care of decompression sickness, either on site of at

nearby hospital or other qualified facilities.

Assure Contractor's plans and employee training specifically address high risk

nature of work around the pressure bulkhead.

Assure Contractor provides training of high risk work to any new workers involved in

tunneling operation.

Safety Decompression sickness Tunnel compressed air at face of TBM during inspections and maintenance.

9/12/2013 3 - Possible 0 - Contractor _Risk 3 - Moderate transported to surface and quickly treated in decompression chamber or at hospital.

Contractor Open 7/12/2011 0 Mitigate

procedures are acceptable pursuant to

California labor safety codes and standards,

including decompression process, equipment, and tables. 0 0 0 Contractor Risk 0 0 0 5 - Catastrophic Potential loss of EPB TBM and tunnel. Contractor Open 7/12/2011 Technical

Blow-in through the forward pressure bulkhead of the EPB

TBM (the bulkhead containing the face pressure monitoring instruments beyond which is the earth

plug, water table pressure and the Bay trying to come

in). Ravenswoo d Shaft Unintended penetration of the EPBM pressure bulkhead.

Contractor's plans must address the high risk of any maintenance work around the pressure

bulkhead and the dangers of any penetration (separate

from the hyperbaric intervention plans).

0 0

0 0 Mitigate

9/12/2013 2 - Unlikely 0 - Contractor _Risk 011

012

tunneling operation.

Require expanded engineering controls for

sound attenuation (mufflers/enclosures of loud

equipment).

Mues, Bob 7/1/2010 5/15/2015 Active

Require increased distance (if possible) from sound source or sound walls (if

required).

Mues, Bob 7/1/2010 5/15/2015 Active

Remove/change out the

source or noise emitter. Mues, Bob 7/1/2010 5/15/2015 Active

Provide on-going updates to community via mailers, door hangers, blog of activities.

Kerby,

Christina 7/1/2010 5/15/2015 Active

Hold monthly coordination meetings with PG&E and Contractor to mitigate issues.

Wong,

Johanna 4/1/2010 3/31/2011 Active

Take appropriate steps to avoid any SFPUC caused

delays.

Mues, Bob 4/1/2010 3/31/2011 Active

0 0 0 20 60 180 in). Community Resident complaints, and irritation, with construction noise, dust, lighting, vibration, etc. Ravenswoo d Contractor's failure to comply

with noise and vibration code requirements, or if compliant, public irritation. 0 9/12/2013 Mitigate

2 - Unlikely 3 - Moderate 3 - Moderate 11

0 0 Contractor Risk Open 2 - Minor 3/31/2011 Potential work stoppage until complaints are addressed and mitigated.

Contractor Open 7/1/2010 5/15/2015 3 - Possible 0 - Contractor _Risk

Technical Lack of sufficient _{power supply.} Ravenswoo_d

PG&E fails to provide power service when required; PG&E power failure. Delay to start of tunneling with insufficient power supply for

TBM; loss of power during

Wong, Johanna

Monitor site work to identify problem before

recognized by the public; provide proactive outreach to community of upcoming activities. 766,000 2,298,000 6,894,000 CM/SFPUC 9 FTE @ $150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = $6,400 + office @ $100/day = $6,500/day + Standby Costs @ $21,000/day = Mitigate Closely monitor progress of the temporary construction power installations by PG&E. 0 013 014 delays.

Verify Contractor follows submittals and method

statements.

Mues, Bob 9/15/2010 6/1/2011 Active

Carefully inspect slab for leakage (following unwatering and cleaning).

If required, verify submittal of Contractor's remedial plan to repair leaks and assure

materials/methods are viable.

Check to increase spare part inventory once condition is

verified.

power failure. power during

tunneling. $32,500. Total daily _{rate = $38,300/day.}

Standby costs include

PG&E. Potentially have to replace shaft floor slab. Contractor Open 11/15/2010 Technical Water leakage around the perimeter seal or through the shaft floor slab (tremie

concrete). Ravenswoo d Shaft Contractor does not follow specifications/ Contractor means & methods faulty.

Verify that Contractor follows specifications, places shaft floor slabs accordingly, inspect for

conformance. 0 0 0 Contractor Risk 0 0 0 More abrasive Different subsurface 0 Mitigate 6/1/2011 2 - Unlikely 0 - Contractor Risk 2 - Minor Excessive TBM head, face chamber, cutter, and screw conveyor wear Wong,

Assure that there are adequate spare parts CM/SFPUC 9 FTE @ $150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = $6,400 + office @ $100/day = $6,500/day 015

(5)

(S_schedule)

Issue field order for immediate spare parts procurement, if schedule (long lead item) becomes an

issue.

Technical ground conditions than anticipated.

Tunnel materials than those presented

in the GBR.

9/12/2013 3 - Possible 3 - Moderate 2 - Minor and hyperbaric

maintenance of those parts that are exposed to

ground pressure.

Wong,

Johanna Open 7/12/2011 12 Mitigate

adequate spare parts available at start and throughout tunneling. 1,346,000 2,019,000 2,692,000 $100/day = $6,500/day

. Total daily cost = $17,300. Add $1M, $1.5M & $2M for replacement parts, lost

time for replacement and lost productivity.

20 30 40

016

Check that Contractor has provided an adequate base

for crane support.

Hogan, Tom 8/1/2010 12/1/2010 Active

Check that Contractor is following load limits and protocol as perscribed in the

JHAs.

Hogan, Tom 8/1/2010 12/1/2010 Active

Hire specialty archaeological and paleontological monitors in the event of discoveries.

Peterson,

Megan 12/1/2010 2/1/2010 Completed

Ensure that worker training is conducted according to the

MMRP and specifications.

Peterson,

Eric 4/1/2010 12/31/2014 Active

Coordinate with the Contractor in the event of a

find to quickly assess the significance and possible need for work stoppage.

Peterson,

Megan 4/1/2010 12/31/2014 Active

Inspect the work area daily for any cover or other

potential habitat. Peterson, Eric 4/1/2010 12/31/2014 Active 0 0 0 Safety Damage to BDPLs 1& 2 or PG&E transmission lines

due to crane tip over. Shafts Unbalanced/ excessive load or unstable crane platform base during installation of diaphragm slurry wall rebar

Electrocution, if PG&E transmission lines hit; power outage. Service outage, if BDPLs hit; damage

requiring

Contractor Open 8/1/2010 Mitigate

Assure Contractor is well prepared with acceptable JHAs for each portion of slurry wall construction. 0 0 0 Contractor Risk Regulatory Unanticipated cultural or paleontological discoveries during shaft excavation, tunneling, or tie-ins Ravenswoo d/ Newark Bay Margin is known to contain prehistoric and paleontological resources, but construction methods prevent surveys and monitoring 3 - Moderate 0 0 - Contractor Risk 8/1/2010 5/15/2015 2 - Unlikely 2 - Minor 3 - Possible 11/15/2010 Mitigate 766,000 1,532,000 CM/SFPUC 9 FTE @ $150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = $6,400 + office @ $100/day = $6,500/day + Standby Costs @ $21,000/day = $32,500. Total Daily Rate = $38,300/day. Standby costs include equipment, security, core crew costs, tunnel

lighting & ventilation, equipment Work stoppage until the resource can be properly evaluated/ recovered. Wong, Johanna Open 5 2,298,000

Carelessness Work stoppage

2 - Minor

Implement existing procedures for

unanticipated discoveries and work

quickly to mobilize specialists to the field. 017

018 20 40 60

Train individuals on significance of "take" of the

species.Conduct tailgate trainings prior to working in

sensitive areas.

Peterson,

Eric 4/1/2010 12/31/2014 Active

Coordinate with SFPUC BEM to ensure the 2081for CTS is

in hand prior to work beginning Newark

Peterson,

Megan 12/1/2010 3/1/2011 Active

Host SWPPP workshop for Bay Division Region to faciliate understanding of requirements. Peterson, Megan 4/1/2010 5/31/2010 Completed Develop expandable modular WTP for Ravenswood. Contractor 4/1/2011 10/30/2010 Active

CM team provides daily environmental inspection to

help identify issues.

Peterson, Eric and Mirzad, Slay

5/20/2010 3/1/2015 Active

Provide QSP to oversee site compliance with NPDES

permit.

Contractor 5/20/2010 5/1/2015 Active

Various: BCDC CM/SFPUC 9 FTE @

$150.00/hr = 1 - Rare 0 - Contractor Risk 4 - Major 0 5/20/2010 5/15/2015 Implement requirements as specified in project documents and develop comprehensive training program Regulatory Inadvertantly injuring or killing an endangered, threatened, or fully protected species (SMHM, CTS, etc.) Ravenswoo d/ Newark Carelessness and/or not following project requirements; accidental collisions with equipment; work in wetlands, etc. Work stoppage by USFWS and/or CDFG until additional mitigation measures can be developed/ approved. Contractor Open Regulatory Additional RWQCB requirements as a result of risk assessment prior to Sept 2, 2011. Ravenswoo d/Newark Additional requirements imposed by higher risk level

under NPDES General Construction Stormwater Permit due to duration of project.

0 0 0 Contractor Risk Mitigate

0 0

5/15/2015 4 - Likely 1 - Insignificant 1 - Insignificant Mitigate

Design water treatment plant to accommodate

new permit requirements (e.g., modular system that can easily be expanded). Close coordination between CM team and Contractor to understand new requirements and prepare risk assessment/SWPPP 50,000 100,000 250,000 Additional SWPP requirements and monitoring. Estimated costs by PUC/CM Team. 7 Additional time and costs incurred by Contractor and CM team associated with sampling, monitoring and reporting; additional RWQCB coordination. Wong, Johanna Open 5/20/2010 019 020 0 0 0 0 021 Regulatory

BCDC will not issue permit for tunneling under the Bay.

Tunnel

want removal of BDPLs 1&2;

BCDC may claim jurisdiction

below the Bay; subsurface easements are Cannot start tunnel excavation. Wong,

Johanna 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

$150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = $6,400 + office @ $100/day = $6,500/day + Standby Costs @ $7,500/day = $14,000/day. Total Daily Rate = Avoid

Work with BCDC and City Attorney to get agreements in place well before the start of

tunneling.

Work with BCDC. Enlist help from City Attorney to avoid BDCD claiming jurisdiction below the Bay.

Zhang, Yin Lan 9/20/2010 6/30/2011 Active 022 Management Subsurface Easement is not obtained from Cargill, SamTrans, and Mid Peninsula Open Space District.

Tunnel Terms of Agreement not acceptable to parties; Board of Supervisors reject purchase of subsurface easement. Cannot start tunnel excavation. Wong,

Johanna 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

CM/SFPUC 9 FTE @ $150.00/hr = $10,800/day and CS 8 FTE @ $100/hr = $6,400 + office @ $100/day = $6,500/day + Standby Costs @ $7,500/day = $14,000/day. Total Daily Rate = $24,800/day. Standby costs include equipment, security, Avoid

Work with property owners and City

Attorney.

Finalize Agreement with Property Owners. Submit Agenda Item to

the Board of Supervisors

Morelli, Brian 9/20/2010 30-Jun-11 Active

Check on-going monitoring of BDPLs and check that data is consistent with no movement.

Hnat, Steve 8/1/2010 5/15/2015 Active

BDPLs will require owner repair, which

Assure Contractor installs and monitors survey monuments CM/SFPUC 9 FTE @

$150.00/hr = $10,800/day and CS 8

(6)

(S_schedule)

Assure Contractor's means and methods are consistent with specifications for protection of

existing improvements.

Mues, Bob 8/1/2010 5/15/2015 Active

Develop contingency plan in the event of BDPL 1 or 2 failure and need for Ops access and repair.

30 8/1/2010 5/15/2015 Operations Failure of BDPL1 or 2 in vicinity of Ravenswood or Newark shafts. Ravenswood/ Newark Possibly caused by non-construction means, such as age

related joint failure.

owner repair, which may be problematic regarding access and safety concerns

with construction operations on-going nearby. May cause

some delay.

Mazza, Paul Mitigate

monitors survey monuments on BDPLs throughout construction; consider contingency planning for Ops

access in the event that BDPLs fail and need to be

shut-down and repaired adjacent to construction. 483,000 866,000 1,249,000 $6,400 + office @ $100/day = $6,500/day + Standby Costs @ $21,000/day = $32,500. Total Daily Rate = $38,300/day. Standby costs include equipment, security, core crew costs, tunnel 2 - Unlikely 3 - Moderate 2 - Minor 11

Open

023 10 20

need for Ops access and repair.

Check functioning of submersible

pumps before planned shut-down. Contractor 9/1/2014 2/10/2015 Proposed

Check suppliers through Contractor to verify supply of available back-up

pumps.

core crew costs, tunnel lighting & ventilation,

0

Open 9/1/2014 2 - Unlikely 0 - Contractor

Risk Operations Delay in shut-down

schedule. Ravenswood

Failure of the contractor supplied submersible pumps during disinfection of the pipe within

the tunnel.

3 - Moderate 0

Potentially weeks of delay while the pumps are either repaired or rental units are located; it might also result in re-disinfecting, etc.

Contractor Mitigate

Assure Contractor's submersible pumps are functioning well before the start of shut-down; check that

supplies of back-up pumps are readily available (if

needed).

0 2/10/2015

024 0

(7)

(S_schedule)

0 0 0

Safety Earthquake (Major) Bay Tunnel Act of God 1 - Rare 5 - Catastrophic 5 - Catastrophic

Temporary site facilities may be damaged. May have to re-excavate shaft and portions of Wong,

Johanna Open 8/5/2010 15 Accept

Implementation of Safety Plan.

3/2/2015 025

Ensure proper physical security elements (fencing,

barriers, gates, etc.) and ACAMS (access control and

monitoring system) are in place at all critical facilities. Communications (ensure safety plan, standard protcol)

Work with Ops on contingency schedule (either before or after) the

planned shut-down to see if alternate date can be found.

Wong, Johanna 9/1/2013 2/10/2015 Proposed

Assure Contractor has all

0 0 0

Safety Earthquake (Major) Bay Tunnel Act of God and portions of 1 - Rare 5 - Catastrophic 5 - Catastrophic

the tunnel to re-access. Integrity

of shaft and tunnel possisbly

compromised.

Johanna Open 8/5/2010 3/2/2015 15 0 0 0 Contractor Risk Accept Safety Plan.

025 Bomb, projectile of any kind, biological contamination etc. Physical damage or biological contamination to SFPUC Water System. Wong, Johanna Open

026 Security Terrorism - Direct _Impact Bay Tunnel Mitigate

Mitigation and response through additional security and improved

emergency preparedness to avoid any damage that might result from a terrorism

event. 0 0 0 0 Contractor Risk 5 - Catastrophic 15 0 0 8/5/2010 3/2/2015 1 - Rare 5 - Catastrophic Bay Tunnel Operations or other projects don't allow shutdown to make tie in at Unable to complete tie in of Bay Tunnel (BDPL5) to Wong, Johanna 027 Operations Failure to meet contractual

shut-down schedule for Open 9/14/2014 2/10/2015 1 - Rare 2 - Minor 2 - Minor 4 30 300,000

Possible de-mob/re-mob of contractor or shift work to another contractor if the window is missed and

Mitigate

Keep current with WSIP program shut-down schedules, contingency

plans, and any

60 365 100,000 200,000

Assure Contractor has all required shut-down submittals in on schedule.

make tie in at appropriate time. (BDPL5) to BDPLs 1 and 2. Johanna down schedule for