# D3 — Risk Register

**Date:** 2026-04-29
**Source:** Decision log + assumption ledger + clarifications + classification

| Risk ID | Description | Likelihood (L/M/H) | Impact (L/M/H) | Mitigation | Owner | Reference |
|---------|-------------|---------------------|-----------------|-----------|-------|-----------|
| R-001 | **Multi-party coordination — 12 per-station contractors + depot Civil + REC + ROTEM** (per D-017) | High | High | ICD-MASTER + per-interface ICDs; weekly coordination call; escalation to SMC PMO; +50% engineering effort baked in | Project Manager | D-017, C2 |
| R-002 | **Per-station-contractor panel-install schedule slip** blocking M-09 | High | Medium-High | Float buffer at M-09; coordinate weekly with each per-station contractor; parallel preparation activities; 12 stations × independent risk | PM + Interface Manager | D1 |
| R-003 | **Civil Contractor ductbank not ready by M-08** for cable pulling | Medium | High | Coordinate at NTP via C2 INT-007; assume 67% complete per progress photo; expedite via SMC PMO if at risk; partial pull possible if subset ready | PM + Site Supervisor | D1, A-005 |
| R-004 | **Notifier USA FAT delay** (manufacturing or schedule) | Medium | Medium | 14-day FAT window in M-04; expedite logistics + alternate NCM-W stock if available; supplier MOU at Phase 9 RFQ | PM + Procurement | A-407, D-016 |
| R-005 | **Suprema Korea FAT delay** | Medium | Medium | Same as R-004 | PM + Procurement | A-407, D-016 |
| R-006 | **Customs clearance delay** on imported electronics (Notifier USA + Suprema Korea + UPS Asia) | Low-Medium | Medium | Pre-NTP supplier confirmation; broker engagement at PO; bonded warehouse pre-positioning if at risk | Procurement | TOR §3.4 |
| R-007 | **6-month bid validity vs short supplier quote validity** | Medium | Low (cost-only) | RFQ specifies 6-month validity required; alternative: buffer 5-10% per item if shorter validity unavoidable | Procurement | A-404 |
| R-008 | **Site survey reveals scope expansion** beyond bid baseline | Medium | Low (PHP 50-200k delta per item) | Q-012 site visit complete; pre-NTP site survey + change-order mechanism per TOR | PM | TOR §11.13 |
| R-009 | **24-hour shift labor cost premium** if site-access constraints tighter than A-301 baseline | Low | Low | TOR §11.4 contemplates 24-hr; assume baseline rate; Q-011 closure refines | PM | A-301 |
| R-010 | **Q-007 IP-MPLS protocol detail** revealing gateway sizing change | Low | Low | Equivalent-items clause (Email §1) covers; gateway baselines NCM-W which supports multiple protocols | Engineer-in-charge | Q-007 |
| R-011 | **Q-021 REC CER L2 switch** make/model revealing FOC/SFP incompatibility | Low | Low | Standard LC SFP at any speed (1G or 10G); broad compatibility | Engineer-in-charge | Q-021 |
| R-012 | **DOTr scheduling for FAT witness** (R-004/R-005 dependency) | Low-Medium | Medium | Coordinate DOTr availability at Phase 1 engineering deliverables stage; lock dates 6-8 weeks ahead of FAT | PM | TOR §8.11 |
| R-013 | **No-China rule** (TOR §8.10) limiting supplier options for L2 switches / UPS / cables | Medium | Low (cost-only) | Pre-vetted non-China suppliers (Hirschmann/Moxa, APC/Eaton, Belden/Corning); RFQ template enforces | Procurement | TOR §8.10 |
| R-014 | **PCAB license / R.A. 9292 staff certification** delays at TOR §8 enforcement | Low | High (bid-disqualifying if missing) | Pre-bid validation of PM/EIC/IM/IE credentials; PCAB license current | PM + HR | TOR §8 |
| R-015 | **EMCS scope reversal** (Q-014 was closed OUT but customer could reverse at award) | Low | High (~PHP 50-100M+ scope addition) | D-015 user direction is firm; bid letter explicitly notes EMCS exclusion; if reversed at award, change-order with full pricing | PM | D-015 |
| R-016 | **Stations 13/14 scope reversal** (D-015 closed at 12 stations) | Low | Medium (~PHP 5-10M per extra station) | D-015 user direction is firm; bid letter notes 12 stations explicitly | PM | D-015 |
| R-017 | **Bond + insurance premium higher than A-402** baseline (1-2% of contract price) | Low | Low (PHP 100-500k delta) | Multi-quote at PO from local surety firms; SMC's preferred surety panel may apply | Finance | A-402 |
| R-018 | **2-yr warranty service response time** (24-hr per TOR §10) requiring on-call team | Low | Low (operating cost) | Standby team or distributor service contract; baked into 2-yr warranty cost | PM | TOR §10 |
| R-019 | **Software upgrade compatibility** during 3-yr support (TOR §4.23) | Low | Low | 30-day notice procedure per spec; staged-rollout policy; supplier-coordinated upgrades | Engineer-in-charge | TOR §4.23 |
| R-020 | **Cyber-security exposure** during operations | Low-Medium | Medium-High (operating risk; not bid) | Optional cyber-security hardening offered per WBS 9.13; default isolated VLAN posture per A5 | Customer IT + us | A5 |

## Top 5 risks for proposal narrative

1. **R-001 / R-002** — Multi-party coordination is the project's defining challenge. ICD discipline + dedicated Interface Manager (per TOR §8.5) + weekly coordination calls.
2. **R-003** — Civil Contractor dependency on ductbank readiness. Coordinate at NTP.
3. **R-004 / R-005** — FAT scheduling overseas. Pre-NTP supplier MOU.
4. **R-014** — Staff certification compliance. Pre-bid validation.
5. **R-015 / R-016** — Scope reversal at award. Bid letter explicit.

## Contingency

Contingency budget recommendation: **5-8%** of Contract Price (within typical 5-10% range for multi-site multi-discipline integration; informed by R-001/R-002 high coordination risk + R-014 staffing risk; reduced from typical 10% by D-015 scope-locking + Q-012 site visit done).

Captured as line item in Phase 6 BOQ (commercial section).