RISK REGISTER Management & Engineering CEA/ESS Risk workshop| | Florence Ardellier Lund, 14th january 2016

Pour personnaliser le pied de page et la date : « Insertion / En-tête et pied de page » Personnaliser la zone de de pied de page Cliquer sur appliquer partout Content Présentation of the ESSI team Goals of the workshop meeting Risk register for ESSI management : RR1 Proposal for an action plan CEA/ESS Risk workshop

Presentation of ESSI team CEA/ESS Risk workshop

CEA to present its risks register including the mitigation plan goals of the meeting CEA to present its risks register including the mitigation plan CEA and ESS to share the risks analysis and coordinate the joint actions which are proposed. CEA to present the identified « transferred risks » The risk analysis will not be limited to the CEA perimeter: it shall identify external risks which may impact CEA contribution (Deliverables and engineering activities), but also ESS interfaces and ESS deliverables (in particular contribution from other partners).  CEA/ESS Risk workshop

Risk Register Management & Engineering Risk ID Type Risk Owner Risk Label Level (pre-mitigation) Mitigation Strategy / main actions (post-mitigation) ("As a result of...") ("There is a risk that...") ("Resulting in...")   Management / Interfaces with ESS (communication / reporting / validation) RR1-I1 Top level F Ardellier Organization chart is not symmetrical. ESS and CEA interlocutors not fully identified Uncomplete communication or at the wrong level Loss of information 64 SEVERE Management Plan (management matrix) Identify the responsible interlocutors from CEA point of view Decision workflow to set up and to validate 8 MINOR RR1-I2 WP level Insufficient availability of ESS and / or CEA managers or organizational problems Delays in decisions (CCB, reviews, options choices, expenses …) or in information exchanges Amendements (schedule, technical, costs) Periodical (monthly) managerial meetings with validated record of decisions Management / Safety RR1-S1 Applicable safety standards list changes during or after design (esp. manufacturing phases) Design not qualified, licensing compromised Rework, additional justifications (calculation, tests) 128 Safety rules list agreement between CEA/ESS before IKCA notification 2 LOW Management / Project baseline and monitoring (cost schedule/ risks) RR1-PC1 Initial estimate based upon experiences and analogy (offer is not a detailed estimate) leading to a weak project baseline. Lesson learnt Project variations impact the project baseline (cost and duration) PM monitoring no longer useful because variation issues impossible to fix, WP leader no more committed, changes … 32 MAJOR Management plan (baseline monitoring) - link with configuration management 16 RR1-PC2 Ambitious project / lack of margins Project objectives (technical, costs, schedule) difficult to reach Impact on project global performance (Eacc cavity, Peakpower coupler, … , all WP schedules …) Transfer to ESS  CEA/ESS Risk workshop

Risk Register Management & Engineering Risk ID Type Risk Owner Risk Label Level (pre-mitigation) Mitigation Strategy / main actions Level (post- mitigation) ("As a result of...") ("There is a risk that...") ("Resulting in...") Management / Procurements RR1-P1 WP level F Ardellier Bad financial health of main long-term contractors Main long-term contractors declared bankrupt Deliverables with lower performances; financial lost and re-contraction; delay for new procurements 32 MAJOR Double source opportunity analysis (Couplers, …), market survey 8 MINOR RR1-P2 Top level ERIC finalization and Invoicing process not clearly define. In-kind constraints No agreement on VAT refunding Project descoping 128 SEVERE Agreement set up close follow up 1 LOW RR1-P3 Procurement strategy not precised, market rules constraints No industry capitalization between prototyping and serie phases Overcost, process not optimized or not homogenous 64 Innovation partnership 2 Management / Project QA  RR1-Q1 C Cloué No efficient Document System Management between CEA and ESS (document identification number, validation workflow role definition … ) => technical document sharing is not reliable Technical data (inputs) used by CEA is not at the last issue or CEA document (output) not set as reference Possible technical interface issues Documentation management plan including validation workflow (by ESS and CEA) / I2I structuration compatible with ESS DMS + internal validation workflow 4 System engineering / Product management (Interfaces, Configuration management, Product QA ...)  RR1-EM1 V Hennion Lack of interfaces documents and validation process. Unclear definition of interfaces Problems inducing delay and extracosts at installation time Detailed scope definition . Interfaces specification 16 CEA/ESS Risk workshop

Risk Register Management & Engineering 1. Management : interface matrix Decisions workflow to set up Risk Label Level (pre-mitigation) Mitigation Strategy / main actions (post-mitigation) ("As a result of...") ("There is a risk that...") ("Resulting in...") Management / Interfaces with ESS (communication / reporting / validation) Organization chart is not symmetrical. ESS and CEA interlocutors not fully identified Uncomplete communication or at the wrong level Loss of information 64 SEVERE Management Plan (management matrix) Identify the responsible interlocutors from CEA point of view Decision workflow to set up and to validate 8 MINOR Insufficient availability of ESS and / or CEA managers or organizational problems Delays in decisions (CCB, reviews, options choices, expenses …) or in information exchanges Amendements (schedule,technical, costs) Periodical (monthly) managerial meetings with validated record of decisions Management, interfaces 1. Uncomplete communication or at the wrong level 2. Delays in decisions or in information and exchanges 2. Periodical managerial meeting with recorded decisions and actions CEA/ESS Risk workshop

Risk Register Management & Engineering 3. Design not qualified, licensing compromised 3. Agreement onafety rules and process to applied defined in the contract Management / Safety Applicable safety standards list changes during or after design (esp. manufacturing phases) Design not qualified, licensing compromised Rework, additional justifications (calculation, tests) 128 SEVERE Safety rules list agreement between CEA/ESS before IKCA notification 2 LOW Management, safety CEA/ESS Risk workshop

Risk Register Management & Engineering 4.Project variations impact the baseline (cost, duration, …) 4. Project variations impact the baseline (cost, duration, …) Risk Label Level (pre-mitigation) Mitigation Strategy / main actions (post-mitigation) ("As a result of...") ("There is a risk that...") ("Resulting in...") Management / Project baseline and monitoring (cost schedule/ risks) Initial estimate based upon experiences and analogy (offer is not a detailed estimate) leading to a weak project baseline. Lesson learnt Project variations impact the project baseline (cost and duration) PM monitoring no longer useful because variation issues impossible to fix, WP leader no more committed, changes … 32 MAJOR Management plan (baseline monitoring) - link with configuration management 16 Ambitious project / lack of margins Project objectives (technical, costs, schedule) difficult to reach Impact on project global performance (Eacc cavity, Peakpower coupler, … , all WP schedules …) 128 SEVERE Transfer to ESS    Management, project baseline and monitoring (costs- schedule / risks) 5. Project objectives (performances, time schedule, costs, ..) difficult to reach CEA/ESS Risk workshop

Risk Register Management & Engineering Management, procurement Risk Label Level (pre-mitigation) Mitigation Strategy / main actions Level (post- mitigation) ("As a result of...") ("There is a risk that...") ("Resulting in...") Management / Procurements Bad financial health of main long-term contractors Main long-term contractors declared bankrupt Deliverables with lower performances; financial lost and re-contraction; delay for new procurements 32 MAJOR Double source opportunity analysis (Couplers, …), market survey 8 MINOR ERIC finalization and Invoicing process not clearly define. In-kind constraints No agreement on VAT refunding Project descoping 128 SEVERE Agreement set up close follow up 1 LOW Procurement strategy not precised, market rules constraints No industry capitalization between prototyping and serie phases Overcost, process not optimized or not homogenous 64 Innovation partnership 2 6.Main long term contractors declared bankrupot 6. Double source opportunity analysis (Couplers, …), market survey 7. No agreement on VAT mandate 7. Close follow up for an agreement 8.No industry capitalization between prototyping and serie phases 8. Look for adapted process like innovative partnership CEA/ESS Risk workshop

Risk Register Management & Engineering Management, project QA 9.Documentation management plan including validation workflow (by ESS and CEA) / structuration compatible with ESS DMS + internal validation workflow Management / Project QA  No efficient Document System Management between CEA and ESS (document identification number, validation workflow role definition … ) => technical document sharing is not reliable Technical data (inputs) used by CEA is not at the last issue or CEA document (output) not set as reference Possible technical interface issues 64 SEVERE Documentation management plan including validation workflow (by ESS and CEA) / I2I structuration compatible with ESS DMS + internal validation workflow 4 MINOR System engineering / Product management (Interfaces, Configuration management, Product QA ...)  Lack of interfaces documents and validation process. Unclear definition of interfaces Problems inducing delay and extracosts at installation time 128 Detailed scope definition . Interfaces specification 16 MAJOR 9.Technical data (inputs) used by CEA is not at the last issue or CEA document (output) not set as reference 10.Detailed scope definition and interfaces definition 10. Unclear definition of interfaces CEA/ESS Risk workshop

Risk Register Management & Engineering Management, interfaces Risk Label Level (pre-mitigation) Mitigation Strategy / main actions (post-mitigation) ("As a result of...") ("There is a risk that...") ("Resulting in...") Management / Interfaces with ESS (communication / reporting / validation) Organization chart is not symmetrical. ESS and CEA interlocutors not fully identified Uncomplete communication or at the wrong level Loss of information 64 SEVERE Management Plan (management matrix) Identify the responsible interlocutors from CEA point of view Decision workflow to set up and to validate 8 MINOR Insufficient availability of ESS and / or CEA managers or organizational problems Delays in decisions (CCB, reviews, options choices, expenses …) or in information exchanges Amendements (schedule,technical, costs) Periodical (monthly) managerial meetings with validated record of decisions Management / Safety Applicable safety standards list changes during or after design (esp. manufacturing phases) Design not qualified, licensing compromised Rework, additional justifications (calculation, tests) 128 Safety rules list agreement between CEA/ESS before IKCA notification 2 LOW Management / Project baseline and monitoring (cost schedule/ risks) Initial estimate based upon experiences and analogy (offer is not a detailed estimate) leading to a weak project baseline. Lesson learnt Project variations impact the project baseline (cost and duration) PM monitoring no longer useful because variation issues impossible to fix, WP leader no more committed, changes … 32 MAJOR Management plan (baseline monitoring) - link with configuration management 16 Ambitious project / lack of margins Project objectives (technical, costs, schedule) difficult to reach Impact on project global performance (Eacc cavity, Peakpower coupler, … , all WP schedules …) Transfer to ESS    1. Management : interface matrix Decisions workflow to set up 1. Uncomplete communication or at the wrong level 2. Delays in decisions or in informations exchanges 2. Periodical managerial meeting with recorded decisions and actions Management, safety 3. Safety rules list and process to applied agreement before schedule notification 3. Design not qualified, licensing compromised Management, project baseline and monitoring (costs- schedule / risks) 4.Project variations impact the baseline (cost, duration, …) 4. Project variations impact the baseline (cost, duration, …) 5. Project objectives (performances, time schedule, costs, ..) difficult to reach CEA/ESS Risk workshop

Risk Register Management & Engineering Management, procurement Risk Label Level (pre-mitigation) Mitigation Strategy / main actions Level (post- mitigation) ("As a result of...") ("There is a risk that...") ("Resulting in...") Management / Procurements Bad financial health of main long-term contractors Main long-term contractors declared bankrupt Deliverables with lower performances; financial lost and re-contraction; delay for new procurements 32 MAJOR Double source opportunity analysis (Couplers, …), market survey 8 MINOR ERIC finalization and Invoicing process not clearly define. In-kind constraints No agreement on VAT refunding Project descoping 128 SEVERE Agreement set up close follow up 1 LOW Procurement strategy not precised, market rules constraints No industry capitalization between prototyping and serie phases Overcost, process not optimized or not homogenous 64 Innovation partnership 2 Management / Project QA  No efficient Document System Management between CEA and ESS (document identification number, validation workflow role definition … ) => technical document sharing is not reliable Technical data (inputs) used by CEA is not at the last issue or CEA document (output) not set as reference Possible technical interface issues Documentation management plan including validation workflow (by ESS and CEA) / I2I structuration compatible with ESS DMS + internal validation workflow 4 System engineering / Product management (Interfaces, Configuration management, Product QA ...)  Lack of interfaces documents and validation process. Unclear definition of interfaces Problems inducing delay and extracosts at installation time Detailed scope definition . Interfaces specification 16 6.Main long term contractors declared bankrupot 6. Double source opportunity analysis (Couplers, …), market survey 7. No agreement on VAT mandate 7. Close follow up for an agreement 8.No industry capitalization between prototyping and serie phases 8. Look for adapted process like innovative partnership Management, project QA 9.Documentation management plan including validation workflow (by ESS and CEA) / structuration compatible with ESS DMS + internal validation workflow 9.Technical data (inputs) used by CEA is not at the last issue or CEA document (output) not set as reference 10.Detailed scope definition and interfaces definition 10. Unclear definition of interfaces CEA/ESS Risk workshop

Risk Register Criticity matrix Management & ENGINEERING ESSI Management & Engineering - before mitigation 16 32 64 128 256   Very Likely (16) - 1 Likely (8) 4 3 Not likely (4) Unlikely (2) Not Credible (1) Negligible (1) LOW (2) MEDIUM (4) HIGH (8) VERY HIGH (16) ESSI Management & Engineering - after mitigation 16 32 64 128 256   Very Likely (16) - Likely (8) Not likely (4) Unlikely (2) 1 Not Credible (1) 2 Negligible (1) LOW (2) MEDIUM (4) HIGH (8) VERY HIGH (16) CEA/ESS Risk workshop

Mitigation Strategy and main actions Action responsible Who ? Risk ID Mitigation Strategy and main actions Action responsible Who ? Level of priority CEA ESS WP1-I1 To set up a management matrix identifying the responsible interlocutors Decision workflow to set up and to validate FAD ML 1 WP1-I2 Periodical (monthly) managerial meetings with validated record of decisions WP1-S1 Safety rules list agreement between CEA/ESS before IKCA notification CC To be completed WP1-PC1 Management plan (baseline monitoring) - link with configuration management VH WP1-P1 Double source opportunity analysis (Couplers…), market survey - WP1-P2 VAT Mandate : set up close follow up WP1-P3 Innovation partnership WP1-Q1 Documentation management plan including validation workflow (by ESS and CEA) / I2I structuration compatible with ESS DMS + internal validation workflow WP1-EM1 Detailed scope definition . Interfaces definition CEA/ESS Risk workshop

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