APPENDIX D

EXAMPLE OF RISK ALLOCATION MATRIX 1 of 4

RISK	Design-Bid-Build			Change	Design-Build
	Agency	Shared	Contractor		Agency	Design-Builder
Design Issues
Definition of Scope	X				X
Project Definition	X				X
Establishing Performance Requirement	X				X
Preliminary Survey/Base Map	X				X
Geotechnical Investigation - Initial Borings based on Preliminary Design	X				X
Geotechnical Investigation- Borings based on Final Design	X			➡		X
Establish/Define Initial Subsurface Conditions	X				X
Initial Project Geotechnical Analysis/Report based on Preliminary Design	X				X
Final Project Geotechnical Analysis/Report based on Final Design	X			➡		X
Plan Conformance with Regulations/Guidelines/RFP	X			➡		X
Plan Accuracy	X			➡		X
Project Design Criteria	X				X
Conformance to Project Design Criteria	X			➡		X
Design Review Process	X			➡		X
Design QC	X			➡		X
Design QA	X			➡		X
Owner Review Time	X				X
Changes in Scope	X				X
Constructability of Design	X					X
Contaminated Materials	X				X

APPENDIX D

EXAMPLE OF RISK ALLOCATION MATRIX 2 of 4

RISK	Design-Bid-Build			Change	Design-Build
	Agency	Shared	Contractor		Agency	Design-Builder
Construction
DBE Compliance			X			X
Safety/Safety QA			X			X
Construction Quality/Workmanship			X			X
Schedule			X			X
Materials Quality			X			X
Materials Documentation			X			X
Material Availability			X			X
Initial Performance Requirements of QA Plan	X				X
Final Construction/Materials QC/QA Plan	X			➔		X
Construction/Materials QA	X			➔		X
Construction QC			X			X
Construction QA Procedural Compliance Auditing	X			➔	X
Construction IA Testing/Inspection	X				X
Construction Staking		X		➔		X
Erosion Control		X		➔		X
Spill Prevention		X		➔		X
Accidents within Work Zone/Liability			X			X
Third Party Damages			X			X
Operations and Maintenance During Construction			X			X
Maintenance under Construction - New Features			X			X
Maintenance under Construction - Existing Features			X			X
Maintenance of Traffic		X		➔		X
Quantity/Cost of WSP Callbacks	X			➔		X
Availability of WSP Callbacks	X				X
Damage to Utilities under Construction			X			X
Falsework			X			X
Shop Drawings			X			X
Equipment Failure/Breakdown			X			X
Work Methods			X			X
Early Start of Construction/At Risk Construction		X		➔		X
Community Relations	X				X
Performance of Defined Mitigation Measures	X			➔		X
Warranty	X			➔		X

APPENDIX D

EXAMPLE OF RISK ALLOCATION MATRIX 3 of 4

RISK	Design-Bid-Build			Change	Design-Build
	Agency	Shared	Contractor		Agency	Design-Builder
Force Majeure/Acts of God
Strikes/Labor Disputes - On Site Labor	X			➡		X
Tornado/Earthquake	X				X
Epidemic, Terrorism, Rebellion, War, Riot, Sabotage	X				X
Archaeological or Paleontological Discovery *	X				X
Suspension of any Environmental Approval *	X				X
Changes in Law	X				X
Lawsuit Against Project	X				X
Storm/Flooding	X				X
Fire or Other Physical Damage	X				X
* Note: Will ultimately rollover to Environmental
Differing Site Conditions/Changed Conditions
Changed Conditions	X				X
Differing Site Conditions	X				X
Completion and Warranty
Establishment/Definition of any Risk Pool	X				X
Long-Term Ownership/Final Responsibility	X				X
Insurance			X			X

APPENDIX D

EXAMPLE OF RISK ALLOCATION MATRIX 4 of 4

RISK	Design-Bid-Build			Change	Design-Build
	Agency	Shared	Contractor		Agency	Design-Builder
Local Agency, Utility, Railroad Issues
Identification of Initial Local Agency Impacts	X				X
Obtaining Initial Local Agency Permits	X				X
Establishing Initial Local Agency Requirements	X				X
Establishing Final/Actual Local Agency Impacts	X			➔		X
Modifications to Existing Local Agency Permits	X			➔		X
Identification of Initial Utility Impacts from Preliminary Design	X				X
Establish Initial Utility Locations/Conditions	X				X
Defining required Utility Relocations from Preliminary Design	X				X
Utility Relocations prior to Contract Execution	X				X
Relocation of Utilities under Project Utility Agreement during Contract			X			X
Modified Project Utility Agreement with Private Utility based on Final Design	X			➔		X
Modified Project Utility Agreement with Public Utility based on Final Design	X			➔		X
Damage to Public or Private Utilities under Construction			X			X
Verification of Utility Locations/Conditions	X			➔		X
Coordination with Utility Relocation Efforts during Contract		X		➔		X
Unforeseen Delays due to Utility/Third Party	X				X
Utility/Third Party Delays resulting from Contract Final Design	X			➔		X
Identification of RR Impacts based on Preliminary Design	X				X
Obtaining Initial RR Agreement based on Preliminary Design	X				X
Coordinating with RR under Agreement	X			➔		X
Other Work/Coordination		X		➔		X
Third Party Agreements (Fed, Local, Private, etc.)	X				X
Coordinating with Third Parties under Agreement		X		➔		X
Coordination/Collection for Third Party Betterments		X		➔		X
Coordination with Other Projects		X		➔		X
Coordination with Adjacent Property Owners		X		➔		X