Department X (DEPARTMENT X)Quality Management (QM)Project .docx

Department X (DEPARTMENT X)
Quality Management (QM)
Project Quality Planning
Department X (DEPARTMENT X)
Quality Management (QM)
Project Quality Planning (PQP)
Attachment A
Project Quality Planning (PQP)
Project Name: Project XYZProject(XYZ)
Department: Department X (DEPARTMENT X) / Department Y
Focus Area: Osborne Area, City of City ABC, MI.
Product-Process: 100 Home Weatherization Pilot
Prepared By:
Project Quality Plan Version Control
Version
Date
Author
Change Description
00
5/10/10
J. Doe/Vic Doe
Initial Plan
01
5/25/10

J. Doe/S. Smith
Final Plan
02
8/02/10
V. Doe
Update XYZ Field Checklist
03
8/04/10
V. Doe/J. Doe
Update XYZ Field Checklist removing material inspection and
before and after pictures for meter move out, update change
description for version 2.0 from ‘Field Checklist’ to ‘Audit
Checklist’, remove U-SNAP-BAC from section 6 and section 3
‘project deliverables’ to reflect current scope, and update
section 2.4 quality control to be consistent with section 4.
TABLE OF CONTENTS
1PROJECT QUALITY PLAN PURPOSE3
2QUALITY MANAGEMENT METHOD4
2.1Quality Plan Processes4
2.2Project Overview4
2.3Quality Standards5
2.4Quality Tools5
2.5Quality Lead’s Responsibilities6
3PROJECT QUALITY CONTROL6
3.1Project Deliverables6
4PROJECT AUDITS & QUALITY REVIEWS9
5MANAGEMENT ESCALATION PLAN9
6QUALITY Team ROLES & RESPONSIBILITIES9
7QUALITY PLAN AUDIT LOG10
8QUALITY PLAN APPROVALS11
9APPENDICES11

PROJECT QUALITY PLAN PURPOSE
The purpose of this project quality plan is to ensure measures
are in place to verify compliance with state, local building
codes, support/pilot agency, and Company XYZ process
workflow and technical requirements as applicable to the
‘Project XYZProject – Osborn 100 Home Pilot.’ This pilot
project is a joint effort between the City of City ABC (CoD),
Department Y and Department X (DEPARTMENT X)
department of XYZ/Company ABC, providing consulting
project management services..
This project quality plan will be verified by an independent
audit and field inspection performance elements to ensure the
following:
1. Assistance is provided only to qualified residents
2. Pre-audit inspection/testing is completed
3. Only approved contractors perform the work
4. Contractors provide itemized materials/labor cost invoicing
5. Contractor work is consistent with pre-audit/testing results
6. Unauthorized work is not performed
7. Post-audit inspection/testing is completed
8. Resident acceptance is obtained
9. Resident energy education training occurs
10. AMI electric meter installations and gas meter relocation to
home exteriors occur
11. Gas mains surveyed and repaired
12. Gas service lines surveyed and repaired
13. Meter move-outs completed
14. Homeowner Paperwork complete
a. Ownership Deed
(One of the following if above deed not present)
Purchase papers, Quick Claim Deed, Mortgage Coupon or
Payment Coupon
15. Renter Paperwork complete

a. Rental agreement/lease
b. Rent receipt
16. Aid Paperwork complete (Home Heating Credit, SER from
MDHS, THAW )
QUALITY MANAGEMENT METHOD
Due to the low complexity level and low risk nature of this
project, the quality plan will employ two common methods that
are simplistic in nature as the quality management methods for
this project. The quality methods employed will be
administrative compliance audit reviews of the completed
documentation required by the identified standards and in-
process field inspections of identified activities. The methods
employed will both use checklists to document results. The
completed audits and filed inspections will be recorded and
logged.
Quality Plan Processes
· Quality Assurance
Quality assurance activities focus on the processes being used
to manage and deliver the solution to evaluate overall project
performance on a regular basis. Quality assurance is a method
to ensure the project will satisfy the quality standards and will
define and record quality reviews, test performance, and
customer acceptance.
· Quality Control
Quality control activities are performed continually in-process
to verify that project management and project deliverables are
of high quality and meet quality standards. Quality control also
helps uncover causes of unsatisfactory results and establish
lessons learned to avoid similar issues in this and other
projects.

· Project Deliverables and Processes Acceptance Criteria
Project team members and key stakeholders agree at the project
planning stage on formal project processes and major
deliverable acceptance criteria that will be used to evaluate
final deliverable results before the results are formally
approved.
Project Overview
Company XYZ, the City of City ABC and their partners are
implementing a plan to apply a comprehensive package of
energy assistance measures to a large contiguous block of mixed
income homes. The impacts on energy affordability and
neighborhood quality will be measured and this program may be
duplicated in other areas of the city and/or state if successful.
113 homes identified by the City of City ABC in the Osborn
neighborhood have been chosen for implementation of these
energy assistance measures, at no cost to the homeowners
(reference Attachment A for a complete list of home addresses).
A Home Energy Audit will be performed on each home in the
project which will fully determine the scope of weatherization
work required for each home to successfully pass this audit
(reference Attachment B for the results of the Home Energy
Audits). Gas lines in this neighborhood will also be surveyed to
identify and repair any gas leaks.
Gas meters will be replaced with new gas meters and gas meters
in the basements will be moved outside. Residents will receive
energy conservation training and related energy bill payment
assistance training.
Advanced Metering Infrastructure (AMI) modules will be
installed on the gas meters. All electric meters will also be
replaced by the new AMI meters.

Home roofs will be repaired or replaced as necessary. Baseline
customer energy usage data will be collected and trended in
2010 and 2011. For more details see project work scope
document.
Quality Standards
State of ABC Technical Weatherization Policies
City of City ABC Human Services Application and Evaluation
Forms
City of City ABC Audit Documents
NEAT audit for homes requiring furnace replacement
Approved Material/Labor Cost Schedules
Use of Approved ContractorsQuality Tools
· QUALITY ASSURANCE ACTIVITY
XYZ Quality Assurance Audit Checklist will be used for
administrative compliance audits of final resident package that
includes the following information:
a. CoD/WARM Resident Application/Approval Forms
· DHS Central Intake Form
· DHS Weatherization Assistance Application Form
· DHS Insulation Agreement Form
· DHS Receipt Home Weatherization Complaint/Appeal
Procedure Form
b. CoD/WARM home pre-audit/inspection/testing forms
c. CoD/WARM home post- audit/inspection/testing forms
d. Contractor Invoicing forms
e. Contractor Work Order Forms
f. CoD/WARM home post- audit/inspection/testing forms
g. CoD identification and delivery of additional family services
XYZ Quality Assurance Audit verification of project analysis
completion and activities as described in table 3.1

· QUALITY CONTROL ACTIVITY
XYZ Quality Control field inspection checklist will be utilized
for independent in-process activities:
10% (~ 10 homes) will be in field process inspected for each
category listed:
· Pre-audit inspection/testing
· Contractor in-process work inspection
· Post-audit inspection/testing
· JOINT QUALITY ASSURANCE/CONTROL ACTIVITY
XYZ inspection checklist will be utilized for:
· AMI installation verification
· Gas meter relocation verification
· Corrective Action Request System
CARs will be generated for project deficiencies identified and
recommended improvements. This will allow evaluation,
corrective action, capture of lessons learned for the
pilot.Quality Lead Responsibilities
Bill Doe will be the overall project Quality Consultant for the
project. This will be a part-time role. Bill will provide
guidance to the project team for quality plan development and
implementation of identified quality methods/processes.
Anyone can identify quality related deficiencies applicable to
this project. Robert Doe is responsible for the overall quality of
construction activities. Notification of quality related
deficiencies to Bill, the Project Construction Manager and the
Project Manager are mandatory.
PROJECT QUALITY CONTROLProject Deliverables

Milestone
Deliverable
Baseline Data
· CoD of Human Services and Company XYZ will interview
each family and collect data to measure income level, arrears
status, actual 2009 energy consumption, actual aid received in
2009, family size, number of children, and a baseline
assessment of each home’s energy efficiency.
Measurement criteria:
Spreadsheet developed to include data for the identified
information and ensure baseline data capture for each family
and future comparison to 2010 and 2011 energy usage.
Weatherization
· Following a rigorous energy audit, each home will undergo a
full weatherization to address any energy savings opportunities
noted during the audit. The pilot will leverage the CoD’s
existing home inspection methodology and will conduct a post
weatherization audit to measure the physical improvement of
each home.
Customer energy usage data will be collected and trended for 12
months after project final completion date to evaluate
achievement of 20%-30% savings.
Training
· Each family will be incented to attend a
conservation/weatherization/maintenance training forum hosted
by WARM and THAW. The forum combines presentations, take
home materials, and hands-on displays to teach families how to
maximize the efficiency of their newly weatherized homes.
A comparison of homes weatherized and residents completing
the training will be evaluated. A percentage derivative will be

developed and monitored between trained households and non-
trained households and compared to the energy data collected in
the baseline deliverable.
Project Management Plan
· Defined processes required to ensure that all parts of the
project, from initiation to final project close-out, are fully
integrated to complete the project successfully.
Project Management Plan is approved by May 27, 2010
Scope Management Plan
· Directs the DEPARTMENT X Project team as to how the
project scope will be defined, documented, verified, managed
and controlled for the duration of the project.
Scope Management Plan is approved by May 27, 2010
Project Work Scope Document
· Written description of the work to be performed during the
project and includes a milestone schedule, cost estimate and a
list of deliverables.
Project Work Scope Document is approved by May 27, 2010
Procurement Plan
· Description of items and services to be procured for the
project.
Procurement Plan is approved by May 27, 2010
Communication Plan
· Description of how the Project team will communicate project-
related information to project stakeholders.
Communication Plan is approved by May 27, 2010

Risk Management Plan
· Description of the process for identifying and managing risks
throughout the life of the project.
Risk Management Plan is approved by May 27, 2010
Project Schedule
· Defined schedule of project home weatherizations
· Base Line Schedule is approved by 30, 2010
· Weekly Schedule Performance Indicator (SPI) is equal or more
than 0.9
· Project Substantial Competition date is August 13, 2010
· Project final Completion date is September 13, 2010.
Quality Management Plan
· Description of how the project team will implement the
project quality policy.
Quality Management Plan is approved by May 27, 2010
Owner/Resident Qualification
· Completed CoD DHS Central Intake Form
· Completed application for weatherization assistance
· Qualified as low or non-low income project status
Audit results
Approved Weatherization Contractor
· Contractor Certification by CoD
· PO established with contractor
Audit results
Approved Audit Contractor
· Defined list of project audit inspectors (Thaw, Warm, etc.)

Audit results
Approved Materials/Cost List
· Defined list of approved Materials/costs to be used for
weatherization activities
Pre-Inspection Audit
· Residence is qualified for weatherization
· Completed audit of residence prior to any weatherization
activity
· Audit conducted by approved audit agency
· Audit identifies residence weatherization needs and obtains
client and auditor/inspector signatures
· Photos of pre-existing conditions obtained
Audit results
Contractor In-Process Work
· Completed work order for weatherization activity
· Bill of materials/invoice for activity
· Work completed by approved contractor agency
· Scope additions identified are approved prior to performance
Audit results
Post-Inspection Audit
· Completed work matches pre-audit
· Client sign-off concurrence for weatherization completion
obtained
Audit results
Resident Energy Education
· Documented attendance for THAW energy education seminar
Audit results

Realized Savings
· Scheduled follow-up with clients 2nd quarter 2011 for review
of projected energy bill savings to verify 20-25% savings.
Audit results
PROJECT AUDITS & QUALITY REVIEWS
Project Audits will be performed as listed below;
· 10 % Pre-Inspection.
· 10% In-Process
· 10% Post inspection
· 100% audit review of completed home package documentation.
MANAGEMENT ESCALATION PLAN
Escalation Level
Management Title
Name
1
Project Manager
Vic Doe
2
Project Customer
Mike Doe
3
Steering Committee Chairman
Bob Doe

QUALITY Team ROLES & RESPONSIBILITIES
Project Team Role
QA Responsibilities
QC Responsibilities
City of City ABC Inspectors (low income)
· Resident Application and Approval
· Pre-audit inspection & testing
· Post-audit inspection & testing
WARM Inspectors (non-low income)
· Resident Application and Approval
· Pre-audit inspection & testing
· Post-audit inspection & testing
THAW
· Resident energy education training
XYZ Field Inspector
· Pre-audit field inspection
· Contractor in-process work inspection
· Post-audit field inspection
· AMI meter installation verification
· Gas meter move-outs verification
XYZ DEPARTMENT X QM Auditor
(Independent of team auditing or inspection)
· Compliance audit resident package reviews
QUALITY PLAN AUDIT LOG
Quality Review Date
Activity Reviewed

QUALITY PLAN APPROVALS
Prepared By: Date:
Project Controls, Ahmed Awad
Reviewed By: Date:
Project Manager, Victor Doe
Approved By: Date:
Project Client, Mike Doe
=
APPENDICES
XYZ Audit Checklist – Attachment “A”
XYZ Field Inspection Checklist – Attachment “B”

XYZ AUDIT CHECKLIST
Address:
Audit Agency:
Surveillance Report No.
XYZ-XYZ-
Client:
Type of Audit:
Pre In-Process Post
XYZ Auditor:
ITEM
NO.
ITEM CHECKED
A/R/NA
INSPECTION REMARKS/
1
Assistance is provided only to qualified residents
2

Pre-audit inspection/testing is completed
3
Only approved contractors perform the work
4
Contractors provide itemized materials/labor cost invoicing
5
Contractor work is consistent with pre-audit/testing results
6
Unauthorized work is not performed
7
Post-audit inspection/testing is completed
8
Resident acceptance is obtained
9
Resident energy education training occurs
10
AMI electric meter installations and gas meter relocation to
home exteriors occur

11
Gas mains surveyed and repaired
12
Gas service lines surveyed and repaired
13
Meter move-outs completed
14
Homeowner Paperwork complete
· Ownership Deed
(One of the following if above deed not present)
· Purchase papers, Quick Claim Deed, Mortgage Coupon or
Payment Coupon
15
Renter Paperwork complete
· Rental agreement/lease
· Rent receipt
16
Aid Paperwork complete (Home Heating Credit, SER from
MDHS, THAW )
Legend: A = Accept, R = Reject, NA = Not Applicable
Comments

XYZ Quality Auditor Signature
Date
XYZ FIELD CHECKLIST
XYZ Field Inspection
Address:
Inspection Agency:
CoD WARM Other _______________
Surveillance Report No.
XYZ-XYZ-
Client:
Type of Inspection:
Pre In-Process Post
XYZ Inspector:
Assigned Case Manager:
Contractor:
Resident Classification:
LI NLI
Completion Date:
ITEM
NO.
ITEM CHECKED
A/R/NA
INSPECTION REMARKS/
WEATHERIZATION
1
Verify with Energy Auditor that the contracted analysis has
been performed( Refer to WARM contract)

2
Verify and review energy audit results and summary report with
payback analysis
3
Approve items to be performed by contractor
4
Perform safety inspection during the weatherization work
(random throughout duration of project)
5
Inspect contractor work upon completion
6
Verify the contracted work was performed in its entirety and
that the customer is satisfied.
7
Verify and review post audit results.
8
Review invoice for weatherization contractor and approve
METER MOVE OUT AND AMI INSTALLATION

9
Inspect inside and outside installation and verify that it
performed within the guidelines of Department Y’s D&T Sys
Manual
10
Inspect and verify that restoration has been completed and
customer is satisfied
11
Verify that AMI gas and electric installation has been
completed and gas meter has been programmed
Legend: A = Accept, R = Reject, NA = Not Applicable
Comments
XYZ Quality Inspector Signature
Date
Procedure No: SWI 16-400-000-0033 Company XYZ Internal
Document Revision : 0
Verify Current Version Prior To Use - Page 1 of 1
Uncontrolled When Printed
Procedure No: SWI 16-400-000-0033 Company XYZ Internal
Document Revision : 0
Verify Current Version Prior To Use - Page 13 of 13
Uncontrolled When Printed
PROJECT QUALITY PLAN TEMPLATE

[ PROJECT NAME]
Project Number:
Project Location:
Project Engineer:
Project Manager:
Author:
[Name – Title] ID Number Date
Reviewer:
Reviewer:
Reviewer:
Reviewer:
Reviewer:
Approver:
Approver:

PROJECT QUALITY PLAN
Table of Contents
1 Project Overview 3
2 Specifications/Standards 3
3 Project Quality Tools 3
4 Project Quality Assurance 3
5 Project Quality Control 3
6 Project Roles and Responsibilities 3
7 Issue Escalation Process 3
8 Quality Plan Action Log 3
9 Appendices 4
1 Project Overview
2 Specifications/Standards
3 Project Quality Tools

4 Project Quality Assurance
5 Project Quality Control
6 Project Roles and Responsibilities
7 Issue Escalation Process
Escalation Level
Management Title
Name

8 Quality Plan Action Log
Quality Review Date
Activity Reviewed
Issue
Resolution
9 Appendices
Project InfoProject Risk Management TeamProject
Name:NameEmailProject Manager:Project Engineer:Risk Plan
Coordinator:
(If Delegated by PM)Financial Analyst:Scheduler:Monthly

Update Coordinator:Core Risk Team Members:
InstructionsCompany X Risk Plan OverviewRisk Event
DescriptionWhat is the event? A Source of a risk or hazard –
the thing which has the potential to harm or assist e.g. a
dangerous chemical, competitors, government.An Event or
Incident – Something that occurs such that the source of risk
has the impact concerned e.g. a leak, competitor expands into or
leaves your market, new or revised regulations, or some level of
observation reaching a particular trigger level.A Consequence,
outcome or impact on a range of stakeholders or assets e.g.
environmental damage, loss or increase of market/profits,
regulations increase or decreased competitivenessRisk
DriversWhat are the conditions, actions, or events that are
likely to trigger the risk event to occur or is a leading indicator
to the risk event occurring?There are two benefits to identifying
risk drivers:
- Focus attention on the probable root cause(s) to aid in
developing a Risk Response Strategy
- Identify events or trends that should be monitored Response/
Mitigation Strategy What action(s) will be taken to limit the
likelihood of these event occurring or limiting the
impacts?Accept: This response accepts or ignores the risk. This
may be the appropriate choice when the impact or likelihood of
the risk is so low that it does not warrant further attention or if
you have no control whatsoever over the impact or likelihood of
the risk. (e.g. the risk that your project will be terminated or be
placed on hold due to a company merger).Transfer: This
response involves moving all or part of the risk to another
party. (e.g. purchase automobile insurance and transfer the risk
to the insurance company, for a small monthly fee of course).
Transferring risk comes with a cost.Mitigate: This response
involves reducing the likelihood that the risk will happen,
reducing the impacts of the risk or both. This is what most
people are referring to when they are discussing risk
management. Most risks can be mitigated with some effort.
Although it is unlikely that you can reduce the impact and

likelihood of occurrence to zero, this would in essence be
eliminating the risk, it is often possible to significantly reduce
them. For example, if you have a technical team member who is
critical to the success of the project and if that person left, the
project schedule would be at risk, you may be able to mitigate
the risk by training a backup person to reduce the impact or
offer that individual a bonus or incentive to stay reducing the
likelihood of occurrence.Avoid: This response focuses on
eliminating the risk from the project. This sounds like a great
choice, so you might ask why we don’t choose this all the time.
The reason, it often comes at great cost. To eliminate a risk
generally requires that you remove the source of the risk from
scope. For example, you may have a schedule risk associated
with a new version of software that has not been released yet by
the vendor. Although the customer may be expecting this
software as part of their project, removal from scope would
eliminate this risk.These general response strategies can be used
in combination to address a single risk event. This may be done
in the event that your chosen strategy is not working effectively
or as a way to attack certain types of risks. For example, you
may begin by mitigating a risk reducing both the likelihood and
impact. The remaining risk could then either be avoided by a
smaller scope reduction, transferred to a vendor or accepted.
Contingency PlanWhat action(s) will be taken if this event
occurs?Complete the “Contingency Plan” column for all risk
events that the Project Manager deems necessary to adequately
address the risks of the project. The contingency plan describes
what needs to be done in the event that the risk actually occurs.
When the risk event actually occurs, it is no longer a risk event;
it is simply an event and may require a response or plan to be
activated. The project manager will need to determine what the
criteria are to trigger the need for a contingency plan. One
method is to use the “Total Score” column of the risk plan
template to determine a threshold that requires the development
of a contingency plan. For example, a total score of 85 or higher
may be the threshold which triggers the need for a contingency

plan to be developed. However, there may be a need to develop
a contingency plan for a risk event that scores much lower due
to likelihood, but has a high impact. In the end, the project
manager must be comfortable with the decision around when to
develop a contingency plan.Risk TimeframeCritical date(s) or
period of exposureSome risks are related to specific events,
milestone dates or time periods. These critical dates should be
documented to focus attention on the associated risk at the
appropriate time.Organizational or Cross-Project ImpactsSelect
"Yes" or "No"Some risks will directly impact the Company X
Organization or other Company X projects. If you feel the
identified risk has this potential, Select Yes from the drop down
box.Financial Analyst and Scheduler ReviewBrown and Blue
Sections to the right of the 'Comments' columnAll risks that
have a total score of 75 or greater are required to have both a
Financial Analyst (FA) review and Project Scheduler review.
Although you may complete the brown and blue columns for
any risks, they are required for high scoring risks. The brown
columns deal with the cost. By using the dollar impact of the
risk in the event that the risk occurs and the probability of
occurrence, we can compute the Expected Monetary Value
(EMV). The EMV is the dollar value of the risk and this value
should be carried in budget contingency. What it tells you is
that you should attempt to reduce or eliminate the risk, but do
not spend more than the EMV amount to do so. It is helping you
with the cost/benefit analysis associated with dealing with a
particular risk. The blue columns deal with schedule. The
project scheduler should investigate the project schedule to
determine if this risk occurred would it impact the critical path,
which activities would be impacted and what, if anything, can
be done to build more slack in the schedule to allow for this
risk or can activities be re-arranged in the schedule.
Risk Event Description: This is the column which contains your
actual risks for the project. Keep in mind, risks are things that
may happen but have not yet happened. Once a risk happens, it's
no longer a risk, it is an issue that you have to deal with. Keep

in mind the 5 characteristics of a well written risk event
descriptions
Risk is clear and understandable to anyone who reads it
Risk describes the impact or “so what” factor
Risk has not yet happened
Risk is something your actually worried about.
Risk affects your project, not another project or the company in
general
Make sure when you define you project risks that you consider
all phases and aspects of the project and include a risk or two or
each. I would suggest doing more than the minimum number or
risks the assignment calls for an do more to ensure you cover all
elements of the project such as people risks (internal and
external), equipment, material, purchasing, safety, quality,
scope, cost, schedule, and integration.
Likelihood: It is a simple scale and you should use your
definitions in the 'impacts defined' worksheet to ensure you are
consistently scoring your risks. This is a subjective likelihood
of High, Med, Low.
Impacts: Schedule, Cost, Quality, Safety, Scope should also be
aligned with the 'impacts defined' worksheet to ensure
consistency. These are the impacts in the event that the risk
actually occurs. It demonstrates which of the 5 impact areas
get's affected more. They are fairly self-explanatory. The
trickiest one is probably scope. If the risk occurs does it add
more scope or work to your project or perhaps create re-work.
This would be scope impact.
Response/Mitigation Strategy: This column describes what
actions you will take to avoid, mitigate or transfer the risk.
These are the actions you would take before the risk occurs.

Contingency Plan: This is what your going to do if the risk
actually occurs. In a sense, this is your plan 'B'. If for example
you ran the risk of a flat tire on the freeway and one day your
tire went flat on the roadway, what would you do. What is your
plan. Do you own a spare, do you know how to put a spare on,
do you have auto towing or roadside service, etc...
Owner: This column identifies who will be managing the risk or
at least the coordinator or single point of contact. The owner is
responsible to ensure the wording of the risk is complete and
clear, must score the risk likelihood and impacts (with input
from others if they are not the experts), develop the response
strategy, develop the contingency plan, continuously monitor
the risk for risk event drivers, and update the risk scoring and
responses throughout the life of the project or until the risk is
eliminated.
Risk Timeframe: When the risk is more likely to occur such as
early in the project, during cold weather season, during rainy
season, or project phase or month.
Organizational or cross-project impacts: Place a "Y" in this
column if the risk could impact the organization/company as a
whole or another project. The idea here is that you would
communicate the risk to the other parties for their awareness.
Comments: These are just clarifying comments you may wish to
make that will help in understanding or background.
FA Review Required: This column is populated automatically
and if it has a value of "Y" then the financial analyst/controller
must complete the remaining columns.
$Impact: If the risk occurred, what would the dollar value be of
the impact. So, rather than using High, Med, Low we would
estimate the dollar impact of the risk. For example, if one of

your risks was a crane failure during construction and it would
take a week to get another crane on site but you would have to
pay the work crew to stand around for a week at a cost of
$50,000, then the dollar impact would be $50,000.
Source: This column indicates the person from which the
information related to the $impact came from (Financial
Analyst, Project Manager, Project Engineer).
Probability: What is the probability that the risk will occur. So,
rather than using High, Med, Low we would determine the
probability of the risk occurring based upon data, monte carlo
simulation or expert judgement. For example, if one of your
risks was a crane failure during construction and it would take a
week to get another crane on site but you would have to pay the
work crew to stand around for a week at a cost of $50,000,
based upon past experience this may happen 1 out of 10 times
so the probability would be 10%.
Source: This column indicates the person from which the
information related to the $impact came from (Financial
Analyst, Project Manager, Project Engineer).
Expected Monetary Value (EMV): This column is a computed
value taking the $impact value and multiplying it by the
probability. This tells you how much money you should be
carrying in contingency for this risk as we can't afford to hold
the full $impact for every risk on the project. It also tells you
the maximum amount you should spend on mitigating,
transferring and avoiding the risk. In the case of the crane, the
EMV would be $50,000 x .10 = $5,000. So, you would not want
to spend more than $5,000 to avoid, mitigate or transfer the risk
and you should carry $5,000 in contingency for this risk.
FA Comments: This column contains any comments the
financial analyst may wish to record related to the risk. For

example, the budget has enough contingency to allow for the
risk event or we will seek additional contingency, etc...
Scheduler Review Required: This column is populated
automatically and if it has a value of "Y" then the project
scheduler or Project Manager if acting as the scheduler must
complete the remaining columns.
Critical Path: This column indicates if the risk is on the projects
critical path, near critical path or not on the critical path. If it
is on the critical path, a more focused schedule response and
research will be required.
Scheduler Response: This column documents what the scheduler
is doing to allow for the project risk. The scheduler may have
enough schedule contingency so that the schedule risk is built
into the schedule or they may fell that they may have to re-
arrange work or crash an activity in order to build more
schedule contingency.
Scheduler Comments: This column documents any other details
the scheduler would like to document which may include what
they did to the schedule to ensure that if the risk occurred the
schedule could handle it. In the case of the crane, could the
work crew waiting for the crane be assigned to another section
of work or pull ahead some future work?
Closure Statement: This column contains a drop-down list and
indicates why a risk was closed out. As the project progresses
risks can disappear or if risks occur they will move on to
become issues. For example, you may have a risk of extremely
cold weather during a project that may prevent you from
pouring concrete. After the concrete is successfully poured, this
risk can be closed out.
Notes/Lessons Learned: This column documents any notes you

would like to make about the risk and any lessons that you
learned that may help other project managers in the future.
Impacts DefinedRisk impact level
MatrixLikelihoodLowMediumHighUnlikelyLikelyAlmost
CertainImpactsLowMediumHighSchedule No Impact to Critical
Path or Field WorkPotential to Affect Critical Path or Field
WorkCertain to Affect Critical Path or Field WorkCostLess
Than$ 10,000$ 10,000to$ 50,000Greater Than$
50,000QualityMinor impact to product deliverablesModerate
impact to product deliverablesMajor impact to product
deliverablesSafetyNo Impact to worker safetyMinor impact to
worker safetyMajor impact to worker safetyScope< 1%2% to
5%> 5%
Risk RegisterEvent Did not Occur / No Action Taken0Event Did
not Occur / Mitigation Successful0Risk Transferred0Risk
Avoided0Critical PathRisk Accepted0HDefaultDefaultNear
Critical PathRisk AcceptedEvent Occurred - Impacts Mitigated
0MYesFA InputFA InputNon-Critical PathBuilt into
ScheduleEvent Occurred - Treatment Ineffective0LNoPM
inputPM inputDuplicate / Combined with Other Risk0PE
InputPE InputProject Name: MPP FGD Unit 1 & Unit 2Date:
##/##/##Date: ##/##/##Impacts Financial Analysis Schedule
Analysis Risk Closure#
Risk Event Description
What is the event?Category
Sub-project, Project Phase, Location etc.
(Optional)LikelihoodSchedule CostQualitySafetyScopeTotal
ScoreRisk Event Drivers
What are the conditions, actions, or events that are likely to
trigger the risk event to occur or is a leading indicator to the
risk event occurring?Response/ Mitigation Strategy
What action(s) will be taken to limit the likelihood of these
event occurring or limiting the impacts?Contingency Plan
What action(s) will be taken if this event occurs?Owner
Risk Timeframe
Critical date(s) or period of exposureOrganizational or Cross-

Project ImpactsComments
StatusColorFA Review Required?$
ImpactSourceProbabilitySourceExpected Monetary Value
(EMV)FA CommentsScheduler Review Required?Critical Path
?Scheduler Response Scheduler Comments
(Activity #, Quntified impact etc.)Closure StatementNotes /
Lessons Learned1(Example) There may be an insufficient
number of skilled internal technical resources available to
support the development of the new system which will impact
schedule and cost.DevelopmentHHHMLL75Drivers to monitor:
- Development schedules slips
- Excessive overtime is needed to keep pace with the schedule
- High number of quality errors discovered during the testing
cycle
Drivers that have occurred:
-Planned Actions:
- Train additional internal resources
- Hire additional contractors
- Add contingency to the budget to allow for overtime work
Completed Actions:
- Train additional internal technical resourcesPlanned Actions:
- Outsource portions of the development to an outside vendor
- Adjust project schedule and budgetJane Smith3/1/11 -
6/30/11Yes!OPENREDYDefaultDefaultY2LLLLLL5Drivers to
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
-No!OPENGreenNDefaultDefaultN3LLLLLL5Drivers to
monitor:
-

-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:

-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
-No!OPENGreenNDefaultDefaultNClosed Risks!OxClosed
Risks1LLLLLL5Drivers to monitor:
-
-Planned Actions:

-
-
Completed Actions:
-Planned Actions:
-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-

monitor:
-
-Planned Actions:
-
-
Completed Actions:
-Planned Actions:
-
-No!OPENGreenNDefaultDefaultNOpen ItemCompleted
Activity
Detroit Edison Confidential Page &P of &N
Applies to AllHMLAMI Project: Risk PlanDate:
01/27/2010Applies to All Project List#
What is the event?Applies to AllLikelihoodImpactsTotal
Risk Timeframe
Critical date(s) or period of exposureComments
●Schedule CostQualitySafetyScope√68Corporate financial
position changes and does not support project execution
planYHHMLLH75●●●Norlin4System integration scope is not
well definedYHLHHLM75●√●Melton3System integration costs
are higher than expectedYHLHHLM75●√●MeltonCombine
3&4?1Project may not be funded to end and benefits may not be
realizedYHHMLLH75●●●Norlin97Inadequate # of IT human
resources to support the project (project &
operations)YHHLMLL55●●●Norlin53Required
firmware/software upgrade negatively impacts production

devicesYMHHHLL51●●●Moccia86Operational business units /
contractors not staffed properly to support
projectYHMLMLL45●●●Norlin55Lack of adequate vendor
documentationYHMLMLL45●●●Moccia87AMI failures or
problems at other utility adversely affects
projectYMHMMLL39●●●Sitkauskas6MPSC disallows a
component of the plan impacting benefit realization or cost
recovery(example: remote
disconnect)YMMHLLM39●●●Sitkauskas57Organization human
resources not adequate to accept and utilize as required (too
busy, other focus)YHMLLLL35●●●Sitkauskas49Catastrophic
storm occurs impacting Communications (meters to
AMI)YHMLLLL35●●●Switala48Catastrophic storm occurs
impacting rollout scheduleYHMLLLL35●●●Jamerson105Higher
than expected work required at customer site due to aging
infrastructureYMLMLML27●●●Jamerson101Failure to follow
proper installation procedures impacts
customersYMLLMML27●●●Jamerson100Higher than expected
inclement weather
conditionsYMMLLML27●●●Jamerson96Inadequately defined
design freeze date &
procedureYMMLLLM27●●●Melton95Later than expected IT
system changeYMMLLLM27●●●Melton94Higher than
anticipated number of IT system
changesYMMLLLM27●●●Melton78Loss of key personnel
without effective knowledge transfer or replacement (DTE &
Contractors)YMMLMLL27●●●Sitkauskas59Future state
business processes not properly defined prior to milestone
dateYMLMMLL27●●●McCormick56Discover a problem in the
field that was not anticipated causing cost and schedule
overrunsYMMMLLL27●●●Switala7Security vulnerability
discovered with outward equipment(meters, cell relays, home
area network, other)YMMLMLL27●●●Melton104DTE may not
have adequate diagnostic tools to support post-meter
installationYHLLLLL25●●●Switala58Ineffective change
management strategy Leads to low employee

engagementYMLLMLL21●●●SitkauskasMay affect ability to
realize benefits2New firmware technology does not perform to
specificationsYMMLLLL21●●●Melton16Itron is acquired by a
competitor which leads to technology
changeYLHHMLH19●●●Kret15Itron goes out of business /
defaults on contractYLHHMLH19●●●Kret8Security breach
takes place with outward equipment(meters, cell relays, home
area network, other)YLHHHLM19●●●MeltonSafety is M for
SmartCircuits108Significant schedule delay may result in
technology obsolescenceYLMHMLM15●●●Norlin102Customer
complaints may be higher than
expectedYMLLLLL15●●●Jamerson98Ineffective stakeholder
engagementYMLLLLL15●●●Norlin73Installation causes higher
levels of property damage than
projectedYMLLLLL15●●●Jamerson61Takes longer than
anticipated for Operations to understand and effectively utilize
new technology &
processesYMLLLLL15●●●McCormick39DOE payments to DTE
come in later than expected.YMLLLLL15●●●Hull83Project cost
is grossly underestimatedYLMHLLM13●●●Norlin70DOE
terminates grant for convenienceYLHHLLL13●●●HullWould
return to original project plan pre-DOE34DOE grant is not
executed - Never reach agreementYLHHLLL13●●●HullScope
=H for other projects81Higher than expected failure rates of
metersYLMLHLL11●●●Kret43Itron may not be able to keep up
with the scheduleYLHMLLL11●●●Jamerson42Itron may not
provide materials according to the
scheduleYLHMLLL11●●●Kret17Itron could introduce security
risk into productYLMHLLL11●●●Moccia9DTE employee
misuse role resulting in
sabotageYLMHLLL11●●●McCormick107Lack of effective
Testing Plan YLMLMLL9●●●Moccia84Itron system fails to
perform according to
standardsYLMLMLL9●●●Moccia82DOE(or other Federal) rule
change impacts project execution
planYLMMLLL9●●●Hull80New technology standards require

infrastructure changeYLMMLLL9●●●Melton79Communication
technology may change impacting meter operation /
communication(AT&T)YLMMLLL9●●●Melton72Union
employees go on strikeYLMLLML9●●●Jamerson65DOE rejects
customer behavior study planYLMLMLL9●●●HullHull: Review
Impacts64DOE rejects risk analysis/benefits
planYLMLMLL9●●●HullHull: Review Impacts63DOE rejects
project executionYLMLMLL9●●●HullHull: Review
Impacts62DOE rejects cyber security
planYLMLMLL9●●●HullHull: Review Impacts52Single point
vulnerability with communications
architectureYLLMLLM9●●●Melton38Supply chain does not do
proper debarment due diligenceYLLHLLL9●●●Kret37Supply
chain does not include necessary flow-down provisions to
vendorsYLLHLLL9●●●Kret36DOE audit disallows some
costsYLLHLLL9●●●Hull35Unanticipated action related to
Davis-Bacon ActYLLHLLL9●●●Hull33Improper costs are
included in DOE accountingYLLHLLL9●●●Hull32Time
keeping for DOE reporting is inaccurate or
incorrectYLLHLLL9●●●Hull31DTE time keeping system
cannot provide necessary information for DOE
ReportingYLLHLLL9●●●Hull30Accounting for DOE reporting
is inaccurate or incorrectYLLHLLL9●●●Hull29DTE accounting
system cannot provide necessary information for DOE
ReportingYLLHLLL9●●●Hull28Vendors do not provide in
kind-services (Cost share)YLLHLLL9●●●Hull27Terms of DOE
grant are violatedYLLHLLL9●●●Hull26Vendors / contractors
do not provide timely info for DOE
ReportingYLLHLLL9●●●Hull25Vendors / contractors do not
provide proper info for DOE
ReportingYLLHLLL9●●●Hull24DOE Reporting is not
completed in a timely mannerYLLHLLL9●●●Hull23Report to
DOE is inaccurateYLLHLLL9●●●HullRegardless of Rating
DOE related Items need to be closely tracked.22Third party
claims that the technology we are using violates a patent or
trade secretYLLHLLL9●●●Kret110Project does not take

appropriate steps to maintain confidentiality of Customer
dataYLLMLLL7HullWould affect company not necessarily the
project60Project Team not adequately trained in new processes
& technologyYLLLMLL7●●●Switala51Installer commits
crime/fraud in the fieldYLLLLML7●●●Jamerson50Safety
incident occurs resulting in process change or
trainingYLLLLML7●●●Jamerson40Contractor/sub-contractor
fails DOE auditYLLMLLL7●●●Kret18Interveners or grassroots
groups negatively impact customer
opinions(SH)LLLLLL5●●●Sitkauskas12DTE call center volume
may increase due to 5,000 meter changes per day increasing
wait time
significantly(SH)LLLLLL5●●●McCormick91Negative media as
a result of ineffective employment
communicationsYLLLLLL5●●●Sitkauskas67Communication
plan with regulators is inadequate (does not explain benefits and
detriments of the system)YLLLLLL5●●●SitkauskasRegardless
of rating this issue should be tracked closely66Communication
plan with customers is inadequate (does not explain benefits and
of rating this issue should be tracked closely21Prolonged data
center outage impacts AMI
systemYLLLLLL5●●●Melton106Lack of effective Quality
Management PlanY0●●●StasekSee # 8893Project or vendor
scope is not adequately definedY0●●●NorlinSee #
8888Inadequate project managementY0●●●NorlinNeed to
expand1200●●●1190●●●1180●●●1170●●●1160●●●1150●●●1
140●●●1130●●●1120●●●Legend●Open Item√Completed
Activity
Applies to All (Printable)AMI Project: Risk PlanDate:
01/27/2010Identified Risks that Apply to All Smart Current
Projects#
What is the event?Applies to AllLikelihoodImpactsTotal

Risk Timeframe
Critical date(s) or period of exposureComments
●Schedule CostQualitySafetyScope√68Corporate financial
position changes and does not support project execution
planYHHMLLH75●●●Norlin4System integration scope is not
well definedYHLHHLM75●√●Melton3System integration costs
are higher than expectedYHLHHLM75●√●MeltonCombine
3&4?1Project may not be funded to end and benefits may not be
realizedYHHMLLH75●●●Norlin97Inadequate # of IT human
resources to support the project (project &
operations)YHHLMLL55●●●Norlin53Required
firmware/software upgrade negatively impacts production
devicesYMHHHLL51●●●Moccia86Operational business units /
contractors not staffed properly to support
projectYHMLMLL45●●●Norlin55Lack of adequate vendor
documentationYHMLMLL45●●●Moccia87AMI failures or
problems at other utility adversely affects
projectYMHMMLL39●●●Sitkauskas6MPSC disallows a
component of the plan impacting benefit realization or cost
recovery(example: remote
disconnect)YMMHLLM39●●●Sitkauskas57Organization human
resources not adequate to accept and utilize as required (too
busy, other focus)YHMLLLL35●●●Sitkauskas49Catastrophic
storm occurs impacting Communications (meters to
AMI)YHMLLLL35●●●Switala48Catastrophic storm occurs
impacting rollout scheduleYHMLLLL35●●●Jamerson105Higher
than expected work required at customer site due to aging
infrastructureYMLMLML27●●●Jamerson101Failure to follow
proper installation procedures impacts

customersYMLLMML27●●●Jamerson100Higher than expected
inclement weather
conditionsYMMLLML27●●●Jamerson96Inadequately defined
design freeze date &
procedureYMMLLLM27●●●Melton95Later than expected IT
system changeYMMLLLM27●●●Melton94Higher than
anticipated number of IT system
changesYMMLLLM27●●●Melton78Loss of key personnel
without effective knowledge transfer or replacement (DTE &
Contractors)YMMLMLL27●●●Sitkauskas59Future state
business processes not properly defined prior to milestone
dateYMLMMLL27●●●McCormick56Discover a problem in the
field that was not anticipated causing cost and schedule
overrunsYMMMLLL27●●●Switala7Security vulnerability
discovered with outward equipment(meters, cell relays, home
area network, other)YMMLMLL27●●●Melton104DTE may not
have adequate diagnostic tools to support post-meter
installationYHLLLLL25●●●Switala58Ineffective change
management strategy Leads to low employee
engagementYMLLMLL21●●●SitkauskasMay affect ability to
realize benefits2New firmware technology does not perform to
specificationsYMMLLLL21●●●Melton16Itron is acquired by a
competitor which leads to technology
changeYLHHMLH19●●●Kret15Itron goes out of business /
defaults on contractYLHHMLH19●●●Kret8Security breach
takes place with outward equipment(meters, cell relays, home
area network, other)YLHHHLM19●●●MeltonSafety is M for
SmartCircuits108Significant schedule delay may result in
technology obsolescenceYLMHMLM15●●●Norlin102Customer
complaints may be higher than
expectedYMLLLLL15●●●Jamerson98Ineffective stakeholder
engagementYMLLLLL15●●●Norlin73Installation causes higher
levels of property damage than
projectedYMLLLLL15●●●Jamerson61Takes longer than
anticipated for Operations to understand and effectively utilize
new technology &

processesYMLLLLL15●●●McCormick39DOE payments to DTE
come in later than expected.YMLLLLL15●●●Hull83Project cost
is grossly underestimatedYLMHLLM13●●●Norlin70DOE
terminates grant for convenienceYLHHLLL13●●●HullWould
return to original project plan pre-DOE34DOE grant is not
executed - Never reach agreementYLHHLLL13●●●HullScope
=H for other projects81Higher than expected failure rates of
metersYLMLHLL11●●●Kret43Itron may not be able to keep up
with the scheduleYLHMLLL11●●●Jamerson42Itron may not
provide materials according to the
scheduleYLHMLLL11●●●Kret17Itron could introduce security
risk into productYLMHLLL11●●●Moccia9DTE employee
misuse role resulting in
sabotageYLMHLLL11●●●McCormick107Lack of effective
Testing Plan YLMLMLL9●●●Moccia84Itron system fails to
perform according to
standardsYLMLMLL9●●●Moccia82DOE(or other Federal) rule
change impacts project execution
planYLMMLLL9●●●Hull80New technology standards require
infrastructure changeYLMMLLL9●●●Melton79Communication
technology may change impacting meter operation /
communication(AT&T)YLMMLLL9●●●Melton72Union
employees go on strikeYLMLLML9●●●Jamerson65DOE rejects
customer behavior study planYLMLMLL9●●●HullHull: Review
Impacts64DOE rejects risk analysis/benefits
planYLMLMLL9●●●HullHull: Review Impacts63DOE rejects
project executionYLMLMLL9●●●HullHull: Review
Impacts62DOE rejects cyber security
planYLMLMLL9●●●HullHull: Review Impacts52Single point
vulnerability with communications
architectureYLLMLLM9●●●Melton38Supply chain does not do
proper debarment due diligenceYLLHLLL9●●●Kret37Supply
chain does not include necessary flow-down provisions to
vendorsYLLHLLL9●●●Kret36DOE audit disallows some
costsYLLHLLL9●●●Hull35Unanticipated action related to
Davis-Bacon ActYLLHLLL9●●●Hull33Improper costs are

included in DOE accountingYLLHLLL9●●●Hull32Time
keeping for DOE reporting is inaccurate or
incorrectYLLHLLL9●●●Hull31DTE time keeping system
cannot provide necessary information for DOE
ReportingYLLHLLL9●●●Hull30Accounting for DOE reporting
is inaccurate or incorrectYLLHLLL9●●●Hull29DTE accounting
system cannot provide necessary information for DOE
ReportingYLLHLLL9●●●Hull28Vendors do not provide in
kind-services (Cost share)YLLHLLL9●●●Hull27Terms of DOE
grant are violatedYLLHLLL9●●●Hull26Vendors / contractors
do not provide timely info for DOE
ReportingYLLHLLL9●●●Hull25Vendors / contractors do not
provide proper info for DOE
ReportingYLLHLLL9●●●Hull24DOE Reporting is not
completed in a timely mannerYLLHLLL9●●●Hull23Report to
DOE is inaccurateYLLHLLL9●●●HullRegardless of Rating
DOE related Items need to be closely tracked.22Third party
claims that the technology we are using violates a patent or
trade secretYLLHLLL9●●●Kret110Project does not take
appropriate steps to maintain confidentiality of Customer
dataYLLMLLL7HullWould affect company not necessarily the
project60Project Team not adequately trained in new processes
& technologyYLLLMLL7●●●Switala51Installer commits
crime/fraud in the fieldYLLLLML7●●●Jamerson50Safety
incident occurs resulting in process change or
trainingYLLLLML7●●●Jamerson40Contractor/sub-contractor
fails DOE auditYLLMLLL7●●●Kret18Interveners or grassroots
groups negatively impact customer
opinions(SH)LLLLLL5●●●Sitkauskas12DTE call center volume
may increase due to 5,000 meter changes per day increasing
wait time
significantly(SH)LLLLLL5●●●McCormick91Negative media as
a result of ineffective employment
communicationsYLLLLLL5●●●Sitkauskas67Communication
plan with regulators is inadequate (does not explain benefits and

of rating this issue should be tracked closely66Communication
plan with customers is inadequate (does not explain benefits and
of rating this issue should be tracked closely21Prolonged data
center outage impacts AMI
systemYLLLLLL5●●●Melton106Lack of effective Quality
Management PlanY0●●●StasekSee # 8893Project or vendor
scope is not adequately definedY0●●●NorlinSee #
8888Inadequate project managementY0●●●NorlinNeed to
expand1200●●●1190●●●1180●●●1170●●●1160●●●1150●●●1
140●●●1130●●●1120●●●Legend●Open Item√Completed
Activity
Summary Chart
Solar Risks
By Risk Category
Green
Labor Tech Government (blank) 1 1 Yellow
Labor Tech Government (blank) 1 3 RED
Labor Tech Government (blank) 1
Chart DataStatus!OPENCount of Risk Event Description
What is the event?Column LabelsRow
LabelsGreenYellowREDGrand
TotalLabor1113Tech33Government11(blank)Grand Total2417
Risks to ConsiderRisk Categories to ConsiderCapital Project
Portfolio1Funding availability (likelihood of approval)2Project

justification (IRR, need, fleet strategy…)3Timing of the
project4Regulatory influence5Commitment to the project
(FosGen, GenOpts)Engineering6Overall project concept 7Scope
(definition, supporting documentation, realistic goals,
stability…)8As-built conditions (known, assumed,
documented...)9Technology (existing at DTE, established, new
concept…)10Design (complexity, integration, past similar
experience…)11Configuration management12ESO resources
(availability, experience, knowledge, track record…)13A/E
resources (availaibility, experience, knowledge, track
record…)14Schedule (likelihood to meet agreed upon
deadlines)15Cost (likelihood to control the engineering cost
within the agreed upon budget)Project Management16Project
team composition (experience level, competence and skills,
compatibility, track record…)17Roles and responsibilities
(established, understood, agreed…)18Communication
(stakeholders identified)19Scope (expectations understood and
agreed upon, realistic goals, stability…)20Plant Management
commitment to the project21Weather (impact on outdoor
construction work)22Past experience on a similar project
(lessons learned incorporated…)23Plant operational
constraints24Outage constraints (limited flexibility and
opportunities, labor and contractors mandates, micro
management, additional requirements…) 25Cost estimating
(scope quality, WBS, task duration, unit costs, labor plan,
outage project or not…)26Scheduling (scope, WBS, task
duration, dependencies, integration with outage or plant
operation…)27Adherence to the PMP process by all project
team membersSupply Chain ManagementMaterial28Lead
time29Raw material (availability, cost fluctuation...)30Material
origin (logistics, imports…)31Competitive situation32Vendor
performance (level of service, reliability, track
record…)33Technology (existing at DTE, established,
new…)34Schedule (likelihood to meet agreed upon
deadlines…)35On site storage requirementsContracted
Labor36Competitive situation37Vendor selection (new or well

established relationship, past performance,
reliability…)38Availability and workload (contractor,
supervision, key personnel…)39Union labor (availability,
productivity, skills…)40Safety record41Construction
permits42Contract terms (firm bid, T&M, …)43Cost (potential
for exceeding contracted labor budget…)44Schedule (likelihood
to meet agreed upon deadlines…)Construction45Access to
site46Access to equipment (lifting, rigging,
scaffolding…)47Weather 48Safety requirements49Training
requirements (safety and other)50Labor plan (DeCo labor or
contractor)51DeCo labor (availability, crew consistency,
productivity, …)52Lay down areas53Plant operational
constraints (equipement availability, shut down
potential…)54Outage constraints (limited flexibility and
opportunities, equipment availability, shut down potential…)
55Site conditions (soil quality…)56Cost (potential for
exceeding the construction budget…)57Schedule (constraints,
deadlines, key dependencies…)Other58Soil
Assessment59Excavation60Planning and Coordinating with
Vendors61Inclement Weather62Regulations and
Policy63Inadequate Bearing Soil Layer64Working on or near
Water65Special Equipment Availability66Improper
Engineering67Improperly Trained Workforce68Poor
Planning69Communications
Problems70Logistics71Theft72Craft Shortage73Permit
Delay/Inspection Delay74Hazardous
Materials75Missing/Inadequate Drawings or
Specifications76Scope Creep/Change Requests77Late Delivery
of Material/Supplies78Lay down/Confined Space79Contract
Award Process80Technological Advancement
Score Defined
High = 5
Medium = 3
Low = 1
Total Score = (Schedule + Cost + Quality + Safety + Scope) x

Likelihood
Components of a risk
Components of a Risk
•A Source of a risk or hazard – the thing which has the potential
to harm or assist e.g. a dangerous chemical, competitors,
government.
•An Event or Incident – Something that occurs such that the
source of risk has the impact concerned e.g. a leak, competitor
expands into or leaves your market, new or revised regulations,
or some level of observation reaching a particular trigger level.
•A Consequence, outcome or impact on a range of stakeholders
or assets e.g. environmental damage, loss or increase of
market/profits, regulations increase or decreased
competitiveness
•A Cause (what and why) for the presence of the hazard or the
event occurring e.g. design, human intervention, funding,
prediction or failure to predict competitor activity, failure to or
expansion of market presence
•Controls and their level of effectiveness e.g. detection systems,
clean up systems, policies, security, training, and market
research.
•When could the risk occur and Where would it occur.
List of ValuesH●M√LLife of
Project2010201032010Q1201132010 Q22011 1/1132010
Q32010120132010 Q42010 Dec 120112010 Q12011 Q12010
Q22011 Q22010 Q32011 Q32010 Q42011 Q42011 12 012011

Q1 2011 Q22011 Q32011 Q4
Rd 2 Directions1)
Major correction to wording
("wordsmithing" can be done later)2)
Does this risk apply to all SmartCurrent projects
(AMI, Smart Home, Smart Circuit)3)Identify Likelihood *# of
Risks Identified109204)Identify Impacts *Available
Time240705)Identify OwnerMinutes/Risk2.23.5*Risk Plan is a
living document - these ratings can/will change56%
New Process MapMajor Enterprise
ProjectsDRAFT:<<Date>>Project Risk Plan Management :
Process MapProject Manager / Risk Plan ManagerProject
StakeholdersRisk
OwnersFinancial AnalystSchedulerMonthly Update Coordinator
Begin Process
Identify Key Stakeholders
Plan and Schedule Risk Assessment
Conduct Risk Identification Session
Conduct Risk Quantification Session
Develop Risk Response Strategy
Develop Contingency Plan
Send out Request for Updates
Monthly Update Cycle
Integrate Identified Risks into Forecast
Integrate Identified Risks into Schedule
Incorporate Risks into Status Update
Compile Updated Risk Plan
Update Risk Plan
Update Risk Plan
Repeat Monthly Update Cycle Until Project is Complete
Provide Final Update to Risk Plan
File Risk Plan in Historical Archive
Monitor & Control Risks
Update Risk Plan
Publish Risk Plan
Review Industry/ Vendor Information for Lessons Learned &

Project Specific Risks to Consider
Review Historical Risk Database For Related Risks
Review Current Projects for Related/Common Risks
Provide Input
Provide Input
Document Interdependencies in Work Scope
RISK MANAGEMENT PLAN
[PROJECT NAME]
Project Number:
Construction Manager:
Project Manager:
Project Engineer:
Revision:
(
This page can be tailored and need only contain roles and title
rather than name and title. Think about who would be the best

individuals to review and approve. You are the author.
)
Author:
[Name – Title]* ID Number Date
Reviewer:
Reviewer:
Approver:
* Refer to Project Management Review and Approval
Matrix.
1.0 PURPOSE/BACKGROUND
1.1 The Risk Management Plan defines the detailed approach
for implementing the Risk Management process for a specific
project or program. The risk management plan should be
completed in the initial planning stages of the project. The risk
management plan should define the project specific risk
management objectives and priorities, roles and responsibilities,
Project Specific Risk Tolerance Levels for schedule and cost,
and risk reporting requirements. Refer to 16-000-000-0028,
“Risk Management Procedure.”

2.0 APPROACH
2.1 Determine roles and responsibilities of project team as it
relates to managing project risks.
2.2 Determine frequency and method of risk review.
2.3 Determine Probabilities and Impact Matrix values and
document in Risk Plan.
2.4 Setup Probability and Impact Matrix values.
2.5 Determine how the risks shall be identified.
Input details as necessary:
(
The approach section should describe how you are going about
managing risks for your project and who is involved, how often
they meet, how risks get created, updated and closed. The
Generic steps listed above are very basic, you can replace this
whatever you deem appropriate or you can adjust those steps as
you see fit.
)
3.0 RISK MANAGEMENT ROLES AND RESPONSIBILITIES
(
This section describes everyone’s responsibilities if they have a
role in risk management for the project. Team members are
listed as they would be expected to identify new risks. The

financial analysts and schedulers may not and you may wish to
place in some other roles instead.
)
3.1 Project Manager (PM)
3.1.1determines at which level Risk Register will be developed;
Project Group, Project, or Major Area of Work (MAW) and
document decision in Risk Management Plan.
3.1.2Reviews applicable project plans to identify risks (i.e.,
Project Charter and Project Stakeholder Engagement Plan).
3.1.3Develops and maintains Risk Management Plan and Risk
Register.
3.1.4Clarifies project specific roles and responsibilities for
executing Risk Management Plan process.
3.1.5Defines Project Specific Risk Tolerances for ranking risk
likelihood and impacts to Project, Project Group or MAW.
3.1.6Collaborates with Financial Analyst and Scheduler for
risks that exceed system established threshold for Project,
Project Group or MAW.
3.1.7Schedules and facilitates Risk Management meetings for
update with Project Team and Stakeholders.

3.1.8Assigns an owner for each risk.
3.1.9Reviews Risk Register in no less than once per month
(more frequently is preferred).
3.1.10 Reports progress on risks and escalates as necessary.
3.1.11 Holds Risk Owners responsible for assigned risks and
Risk Register updates.
3.1.12 Updates schedule with risk related activities as
appropriate.
3.1.13 Makes recommendations for risks to be added to Risk
Thought Starter List or Common Risks.
3.1.14 Notifies other Project Managers or Department
Managers of cross-functional risks or risks that impact the
organization.
3.1.15 Submits Lessons Learned related to Risks to Lessons
Learned database in.
3.1.16 Acquires approvals to Risk Management Plan
revisions as applicable.
3.1.17 Ensures project plans are updated if a risk affects the
plan, as necessary.
3.1.18 Closes risk(s) during project as needed.
3.1.19 Closes all risks at project completion.
3.1.20 Ensure programs/projects comply with Risk
Management processes, procedures and tools.

3.1.21 Update Issues Tracking log when risk events occur
and become issues.
3.2 Project Team (PT)
3.2.1Attend Risk Management meetings for the development,
review and update of the Risk Register.
3.2.2Identify new risks as they present themselves.
3.2.3Update Issues Tracking log when risk events occur and
become issues.
3.3 Risk Owners (RO)
3.3.1Attend Risk Management meetings for development,
review and update of Risk Register.
3.3.2Identify new risks as they present themselves.
3.3.3Document and monitor risk drivers for assigned risks.
3.3.4Determine and document likelihood and impacts for
assigned risks.
3.3.5Develop and implement Risk Response Strategies for
assigned risks.
3.3.6Develop and implement Contingency Plan(s) for assigned
risks.
3.3.7Report progress on risk and escalate as necessary.
3.3.8Classify and categorize assigned risks.

3.3.9Monitor assigned risks on a regular basis.
3.3.10 Document lessons learned for assigned tasks.
3.3.11 Recommend assigned risks for closure.
3.3.12 Document issues for assigned risk.
3.4 Financial Analyst (FA)
3.4.1Attend Risk Management meetings for development and
update of Risk Register.
3.4.2Provide input and financial information for Risk Register
and Risk Management Plan as applicable.
3.4.3Complete Financial Analysis section of Risk Register when
the risk score exceeds system established threshold.
3.4.4Monitor and adjust the contingency funding for project
based upon risk for the project.
3.4.5Ensure adequate funding is available in project budget to
allow for Response Strategy activities.
3.5 Scheduler
3.5.1Attend Risk Management meetings for development and
update of Risk Register.
3.5.2Provide input and schedule information for Risk Register
and Risk Management Plan as applicable.
3.5.3Complete Schedule Analysis section of Risk Register when
the risk score exceeds system established threshold.

3.5.4Monitor and adjust the schedule for project based upon
risks for the project.
3.5.5Ensure that adequate resources are available in project
schedule to allow for Response Strategy activities.
3.6 Key Role Assignments
(
This should match above as well.
)
Role
Assigned Team Members
Project Manager
See Cover
Risk Owners
See Risk Register for Specific Owners
Project Team
See Project Organizational Chart
Financial Analyst
Scheduler
4.0 FORMAT FOR RISK DOCUMENTATION
4.1 Project Manager and Risk Owners shall utilize the tools in
for documenting and maintaining risks and opportunities.

4.2 Define where in the risk register will be maintained. The
Project Manager has the discretion to establish a risk register in
at either the Project Group, Project or Major Area Work Level.
(
You should describe if the risks will be captured using a risk
tool, a word document, an excel spreadsheet, or simply in
meeting minutes. You can define the risk format and how risks
are documented.
)
5.0 FREQUENCY OF REVIEW AND UPDATES
5.1 Status of the Risk Register will be reviewed at a Minimum
of monthly as established by the Project Manager (more
frequently is advised). Project Manager, Risk Owner Financial
Analyst and Project Scheduler are required to attend the
meeting.
(
This section is focused on the frequency of updating and you
can talk about where. It could be a formal risk meeting, daily
check in meetings or
monthly deep dive.
)
5.1.1Define Frequency (monthly, bi-monthly, weekly)
Input frequency requirements:

6.0 PROBABILITY AND IMPACT MATRIX – SAMPLE
ONLY (PM to complete matrix)
Likelihood
Low
Medium

High
Unlikely
Likely
Almost Certain
Impacts
Low
Medium
High
Schedule
No Impact to Critical Path or Field Work
Potential to affect Critical Path or Field Work
Certain to affect Critical Path or Field Work
Cost
Less Than
$50,000
$50,000
to
$100,000
Greater Than
$100,000
Quality
Minor impact to product deliverables
Moderate impact to product deliverables
Major impact to product deliverables
Safety
No impact to worker safety
Minor impact to worker safety
Major impact to worker safety
Scope
<1%
2% to 5%

>5%
(
This section must be tailored to your project and must match the
risk register impact worksheet in the Excel risk template. The
most notable that will need to be customized is the ‘cost’ line as
the values should make sense for your size project and what you
would consider a high and low value.
)
7.0 RISK CATEGORY
7.1 Risks may be categorized using pre-established categories,
for example:
· Project Type
· Work Type
· Category
· Knowledge Area
· COE
· Platform
· Phase
Category may also be typed in as necessary.

(
This
section should be tailored to match your project and how you
want to categorize your risks in your risk register.
)
Semester Project Instructions
Overview
The semester project is a hands-on learning opportunity to
reinforce the material learned throughout the course of this
semester. The semester project work will allow you to bring to
life some of the concepts taught during the course and galvanize
your understanding of the material. In addition, the semester
project work will provide you with practical skills and
experience that are highly sought after in the work place. It
may seem a little overwhelming at first, however, I will be your
guide and I will be teaching you during your journey. This
project will require a considerable amount of time to complete,
so you should begin working on this by the second week of
class. It will require that you conduct some research, apply
newly obtained skills, and interact with your instructor. If you
get stuck, remember, don’t spin your wheels or get frustrated -
contact me for help.

Approach
· Each student will be assigned by the instructor to one project
to work on (assignments will be available the second week of
class – see full list below).
· You may work independently or select one other person in the
class to work with. If you select one other person in the class
to work with, both students must send the instructor an email by
the end of the third week of class to confirm who their partner
is and both students will receive the same grades for this
assignment. Otherwise, I will expect you to complete your
assigned project on your own.
· Research your selected project to fully understand it. You may
do this by examining companies in that line of work or
historical projects of a similar nature.
· Research the purpose and format of the various types of
‘project plan deliverables’ that you will produce (see below).
· Thoroughly review the materials that I have provided on
Blackboard as a wealth of information is available that will
assist you with your project.
· Communicate with your instructor on a regular basis as you
will need to confirm your assumptions, gain clarity, and gather
additional requirements
· Produce draft versions of your ‘project plan deliverables’ (see
below) to share with your instructor as you progress to ensure
that you are on the right track. This is very important and will
significantly improve your chances of scoring well.
· Turn in the final version of your ‘project plan deliverables’
(see below) when they are due.
Project Plan Deliverables
1. Project Risk Management Plan (Must use MS-Word)
· The Project Risk Management Plan describes how risk

management activities will be performed and who is
responsible.
· The Project Risk Management Plan defines the tools, process
and methodology used to manage risks on a project.
· The Project Risk Management Plan defines the roles and
responsibilities for everyone who is involved in managing risks
for a project. This includes who is leading the activity, who is
providing the training, who identifies new risks, who updates
the risk register, as well as other responsibilities.
· The Project Risk Management Plan describes how risk
management activities will be funded.
· The Project Risk Management Plan describes the timing of
risk reviews, the requirements for integration with schedule and
budget, and the application of contingency reserves.
· Project Risk Management Plans come in many forms, however,
for this class I have provided the template that you must use.
All sections of this template must be completely filled out.
2. Project Risk Register (Must use MS-Excel)
· Project risks identify what could potentially go wrong during
the course of the project – not overall company risk,
departmental risks or some other project’s risks.
· Generally this is in the form of a sentence or two which
describes the risk and the impact (i.e. Management decisions
may not be made in a timely manner resulting in a delay in
schedule)
· Your project should have a minimum of a two dozen risks and
they should be as specific as possible using the guidance that I
provide.
· The project risks should be specific to the project you are
assigned to.
· The project risks should cover all phases of the project.
· Project Risk Registers come in many forms, however, for this
class I have provided the template that you must use. All
columns and tabs of this template must be completely filled out.

3. Project Quality Management Plan (Must use MS-Word)
· The project quality management plan describes how quality
will be implemented on a project. It defines what quality looks
like, how it will be implemented and who is responsible.
· The project quality management plan covers quality
management, quality assurance and quality control.
· The project quality management plan defines the tools,
processes and metrics to be used to ensure the appropriate level
of quality is achieved for your project deliverables and that you
are meeting expectations of your client.
· Quality Management Plans come in many forms, however, for
this class I have provided the template that you must use. All
sections of this template must be completely filled out.
Projects List
Please note that all construction projects listed below must
include the design, engineering, and construction and assumes
the work is self-performed or self-managed if you’re hiring a
number of contractors to complete the work.
#
Project Description
Cost
Duration
1
Construction of a small office building
$5M
18 Months
2

Construction of a community park
$3M
6 Months
3
Construction of a police station
$15M
18 Months
4
Construction of an amusement park
$100M
12 Months
5
Construction of a suspension bridge
$100M
36 Months
6
Accounting software implementation at a medium-sized
company
$25M
18 Months
7
Development of a new experimental drug to treat asthma
$200M
48 Months
8
Convert data center from IBM servers to Dell servers
$30M
9 Months
9
Retrofit apartment building with new fire suppression system
$15M
4 Months
10
Relocate historical school house to a new location 2 miles away
$1M
3 Months

11
Construct a new McDonald’s restaurant
$5
6 Months
12
Development of a new experimental drug to treat diabetes
$200M
48 Months
13
Design and engineer a new all electric vehicle
$75M
24 Months
14
Design and engineer a new 15 speed automatic transmission
$35M
15 Months
15
Design and engineer an optical recognition automatic teller
machine (ATM)
$10M
18 Months
16
Customer billing system software implementation at a large-
sized company
$150M
24 Months
17
Construct 10 miles of a new expressway
$100M
48 Months
18
Construct 60 miles of new pipeline to transport natural gas
$75M
24 Months
19
Re-locate a major automobile manufacturing facility 50 miles

away
$135M
6 Months
20
Construct a warehouse for an automobile parts supplier
$10M
12 Months
21
Construct a homeless center in Mexico
$30M
24 Months
22
Inventory Management software implementation at a Large-
sized company
$20M
18 Months
23
Develop a new subdivision of homes in Lyon Township, MI
$60M
24 Months
24
Build a brand new factory in Michigan to manufacture wind
turbine blades
$100M
36 Months
25
Host the special Olympics in Southfield, MI
$5M
18 Months
4

Department X (DEPARTMENT X)Quality Management (QM)Project .docx

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