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

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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

3. Presentation of ESSI team
CEA/ESS Risk workshop

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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

13. 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

14. 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

15. 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

16. Thank you for your attention
Commissariat à l’énergie atomique et aux énergies alternatives
Centre de Saclay | Gif-sur-Yvette Cedex
T. +33 (0) xx xx | F. +33 (0)
Etablissement public à caractère industriel et commercial | RCS Paris B
DSM Irfu
CEA/ESS Risk workshop