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1 NZ Transport Agency Page 1 of 23
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6 NZ Transport Agency Page 6 of 23 DRAFT LIVE - TREAT LIVE - PARKED IMPACTED CLOSED REJECTED PROPOSED LIVE REJECTED COMPLETED - SUCCESSFUL COMPLETED - UNSUCCESSFUL
7 NZ Transport Agency Page 7 of 23 Risk Status A risk is to have a status which reflects it's position in the Risk Lifecycle. Treatment Status A treatment action is to have a status which reflects it's position in the Treatment Lifecycle. Lifecycle Stage Status Description Lifecycle Stage Status Description Identify Draft The initial status of a risk is Draft. This status remains until sufficient data is provided to satisfy progression to a Live status as follows: Identify Proposed The treatment action is intended as a future activity. For an entry to progress to Live the following fields shall be populated, as a minimum: RID Title Description Date Raised Risk Owner Risk Bearing Organisation Phase Established Controls Current Exposure Treatment Strategy Residual (Target) Exposure The person making the entry is required to inform the nominated Risk Owner of the creation of the new entry. The status should only be changed to Live with the agreement of the Risk Owner. Manage Live - Treat The treatment strategy is to treat, this may consist of; pursuing an opportunity, removing the threat Manage Live The treatment action is in source, changing the likelihood, changing the consequence or a combination thereof. progress. Live - Parked a). The risk level is below the established Risk Tolerance Threshold, or b). The risk treatment is to tolerate the risk, i.e. no treatment (a 'Treat' risk will change status to 'Parked' following successful completion of treatment(s)), or c). The risk treatment is to share (e.g. transfer via insurance). Note: If the shared risk occurs there may still be an impact on objectives, i.e. risk transfer may have been purely financial. Outcome Impacted The risk has occurred. The consequential impact is to be recorded in the commentary field. Provide data on reactive treatment including relevant cost and time impact data. Note: The impact of a risk may occur on more than one occasion throughout the life of the project/contract/activity to which the risk relates, the consequential impact of each occurrence must be recorded to ensure a full understanding of the overall impact on objectives. Outcome Completed - successful The treatment action is complete and did reduce the current exposure of the threat/increase the current exposure of the opportunity. Closed Management of the risk is no longer required because: a). The risk treatment is to avoid the possibility of occurrence by removing the activity to which the risk relates from the scope of work, or b). The associated activity has been completed and the risk did not impact. Completed - unsuccessful The treatment action is complete but did not reduce the current exposure of the threat/increase the current exposure of the opportunity. Rejected The risk register entry has been rejected because: a). It is no longer relevant, or b). It has been raised in error. Rejected The action has been rejected because: a). It is no longer relevant, or b). It has been raised in error.
8 NZ Transport Agency Page 8 of 23 NZ Transport Agency Risk Level Threat Level Action Notification of new risk or risk where the Threat/ Opportunity level has increased Reporting Opportunity Level Critical Threat Maintain record in risk register, determine requirement for treatment, thereafter implement, manage and monitor as appropriate. Notify NZTA Client within 1 working day or immediately if urgent response is required. NZTA Client to evaluate risk for escalation. As per reporting requirements of Section 7.1 of Z/44. Critical Opportunity High Threat High Opportunity Medium Threat Notify NZTA Client within 5 working days or immediately if urgent response is required. NZTA Client to evaluate risk for escalation. Medium Opportunity Low Threat Maintain record in risk register, risk may be Parked without requirement for treatment, requires ongoing monitoring. Notify Line Manager within 5 working days. Low Opportunity
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11 NZ Transport Agency Page 11 of 23 Estimated Project Cost Capital Project Phase > $5M - $20M > $20M - $50M > $50M Programme Business Case Indicative Business Case General General General General General or Advanced General or Advanced Detailed Business Case General General or Advanced Advanced Pre-Implementation Implementation General or Advanced Advanced Advanced
12 NZ Transport Agency Page 12 of 23 Maintenance and Operations Contracts General Approach
13 NZ Transport Agency Page 13 of 23 NZ Transport Agency Threat Likelihood Rating Rare Unlikely Possible Likely Almost Certain Likelihood (applicable to Capital Projects) 5% >5% - 30% >30% - 55% >55% - 85% >85% Frequency (applicable to M&O contracts) Less than once in 10 years At least once in a period of >6-10 years At least once in a period of >2-6 years At least once in a period of >1-2 years At least once in a period of 12 months NZ Transport Agency Opportunity Likelihood Rating Rare Unlikely Possible Likely Almost Certain Likelihood (applicable to Capital Projects) 5% >5% - 15% >15% - 25% >25% - 35% >35% Frequency (applicable to M&O contracts) Less than once in 20 years At least once in a period of >16-20 years At least once in a period of >10-16 years At least once in a period of >5-10 years At least once in a period of 5 years
14 Insignificant Minor Moderate Severe Extreme NZ Transport Agency Page 14 of 23 NZ Transport Agency Risk Rating Criteria (consequence) Rating Scale Reputation Performance Stakeholders Public / Media Legal/Compliance Delivery Cost Health & Safety Environmental Disruption to stakeholder relationship slowing progression of nationally strategic activity, and/or Loss of route availability of a national strategic high volume highway Sustained national and/or international media coverage Intervention by Minister required, possibly leading to loss of Ministerial confidence. Commission of Inquiry instigated High profile prosecution(s) with potential for custodial sentence Programme slippage resulting in late delivery by more than 0 days Negative financial impact of more than $0M. Loss of life, permanent disability or injury, or multiple serious injuries. Permanent pollution damage or other environmental damage Disruption to stakeholder relationship slowing progression of regionally strategic activity, and/or Loss of route availability of a national strategic highway Sustained media coverage (weeks) Possible Ministerial inquiry leading to loss of Ministerial confidence/form al enquiry by OAG or statutory agency Individual prosecution Programme slippage resulting in late delivery by between 0 and 0 days Negative financial impact between $0M to $0M. Serious injury (injuries) requiring specialist medical treatment or lost time greater than three weeks Significant and widespread pollution or other environmental damage, with long term effects Disruption to stakeholder relationship slowing progression of regional activity, and/or Short term (days) Breach with legal media coverage rebuke/ abatement Parliamentary/Minis notice/ restrictions terial questions or 3rd party investigation Programme slippage resulting in late delivery by between 0 and 0 days Negative financial impact between $0M to $0M. Injury requiring medical treatment or lost time of 1 day to three weeks Pollution or other environmental damage at a localised level, with medium term effects Loss of route availability of a regional strategic highway Disruption to stakeholder relationship slowing progression of site specific activity, and/or Loss of route availability of a regional connector highway Local media coverage for 1-5 days Official information request. Negative feedback from Minister Breach with letter from authority requesting action Programme slippage resulting in late delivery by between 0 and 0 days Negative financial impact between $0M to $0M Injury requiring short Minimum pollution or term medical treatment other environmental and workplace absence damage. Short term less than one day effects only Disruption to stakeholder relationship, and/or Loss of route availability of a regional distributor highway Local media coverage for 1 day Breach managed at a regional level Programme slippage resulting in late delivery by less than 0 days Negative financial impact of less than $0M Injury requiring shortterm first-aid care and no absence from the workplace Small scale pollution or other environmental damage is localised with no resultant effects. Contained locally
15 Insignificant Minor Moderate Severe Extreme NZ Transport Agency Page 15 of 23 NZ Transport Agency Opportunity Rating Criteria (consequence) Rating Scale Reputation Performance Stakeholders Public / Media Delivery Cost Health & Safety Environmental Enhancement to stakeholder relationship likely to lead to improved implementation of either national or regional strategic activity, and/or Improvement of route availability of either a national strategic high volume highway or a national strategic highway. Enhancement to stakeholder relationship likely to lead to improved implementation of a regional activity, and/or Potential for improvement of route availability of a regional strategic highway. Enhancement to NZTA reputation from recorded regional stakeholder feedback, and/or Potential for improvement of route availability of a regional connector highway. Perceived enhancement to NZTA reputation from nonrecorded regional stakeholder feedback, and/or Improvement of route availability of a regional distributor highway. Perceived enhancement to NZTA reputation from nonrecorded supplier/partner feedback. Enhancement to NZTA reputation from positive international or national media coverage likely to lead to recognition from Minister. Enhancement to NZTA reputation from positive international or national media coverage likely to lead to recognition from NZTA Board. Enhancement to NZTA reputation from regional media coverage likely to lead to recognition from Senior Leadership Team. Programme advancement resulting in early delivery by more than 0 days. Programme advancement resulting in early delivery by between 0 and 0 days. Programme advancement resulting in early delivery by between 0 and 0 days. Enhancement to NZTA Programme reputation from positive industry media coverage. advancement resulting in early delivery by between 0 and 0 days. Perceived Programme enhancement to NZTA reputation arising from an absence of negative media coverage. advancement resulting in early delivery by less than 0 days. Positive financial impact of more than $0M. Positive financial benefit between $0M to $0M. Positive financial benefit between $0M to $0M. Positive financial benefit between $ 0M to $0M. Positive financial benefit of less than $0M. Demonstrate Health & Safety innovation likely to lead to changes in international standards. Demonstrate Health & Safety innovation likely to lead to changes in national standards. Demonstrate a number of enhancements to Health & Safety best practice. Demonstrate industry leading application of Health & Safety best practice. Demonstrates compliance with Health & Safety practice. Demonstrate environmental innovation likely to lead to changes in international standards. Demonstrate environmental innovation likely to lead to changes in national standards. Demonstrate a number of enhancements to environmental best practice. Demonstrate industry leading application of environmental best practice. Demonstrates compliance with environmental practice.
16 Likelihood Likelihood NZ Transport Agency Page 16 of 23 Threat Opportunity Insignificant Minor Moderate Severe Extreme Extreme Severe Moderate Minor Insignificant Almost Certain LOW MEDIUM HIGH CRITICAL CRITICAL CRITICAL CRITICAL HIGH MEDIUM LOW Almost Certain Likely LOW MEDIUM HIGH CRITICAL CRITICAL CRITICAL CRITICAL HIGH MEDIUM LOW Likely Possible LOW MEDIUM MEDIUM HIGH CRITICAL CRITICAL HIGH MEDIUM MEDIUM LOW Possible Unlikely LOW LOW MEDIUM MEDIUM HIGH HIGH MEDIUM MEDIUM LOW LOW Unlikely Rare LOW LOW LOW LOW HIGH HIGH LOW LOW LOW LOW Rare Insignificant Minor Moderate Severe Extreme Extreme Severe Moderate Minor Insignificant Consequence
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18 NZ Transport Agency Page 18 of 23 Economic evaluation manual
19 NZ Transport Agency Page 19 of 23 Estimated Project Cost Estimate > $5M - $20M > $20M - $50M > $50M Programme Estimate General General General Option Estimate General General or Advanced General or Advanced Scheme Estimate General General or Advanced Advanced Pre-Design Estimate General or Advanced Advanced Advanced Design Estimate General or Advanced Advanced Advanced Construction Estimate General or Advanced Advanced Advanced manual Cost estimation
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