SMR4 Attachment J-12 - RIO Identification Worksheet (In Depth) Final.pdf

SIR 693KA7-25-R-00001

Surface Movement Radar Model 4 (SMR4) Section J, Attachment J-12

RIO Identification Template (In Depth)

Title: [REQUIRED] A brief title that provides high level context of the RIO

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Step 1: Basic Information

Identified by: [REQUIRED] The individual who identified the RIO Date Identified: [REQUIRED]

Involved Org(s): The organization(s) impacted/interested in the RIO

RIO Owner: [REQUIRED] The individual who identified the RIO The individual of primary responsibility for the RIO

Step 2: Identify the Risk, Issue, or Opportunity

RIO Management is the standardized, continuous, and proactive process that identifies RIOs, assesses and analyzes RIOs, effectively mitigates risks/issues, and leverages opportunities to achieve program/portfolio objectives.

☐ Risk: A future event or situation with a realistic probability of occurring that may have a negative impact to the successful accomplishment of one or more program/portfolio objectives.

☐ Issue: An event or situation that has occurred or is certain to occur and has a negative impact to the successful accomplishment of one or more program/portfolio objectives.

☐ Opportunity: A future event or situation with a realistic probability of occurring that may have a positive impact to the successful accomplishment of one or more program/portfolio objectives.

Step 3: More Information

Elaboration (optional, clarifying or contextual information)

Context: Circumstances, interrelationships, sources, and contributing factors

Root Cause: Summary of the underlying factor(s) that cause the RIO to occur

Impact: Summary of the RIO effect on the program if/when it materializes

Notes: Additional information that is important to document and maintain

Timeline (sketch out when the expected impact(s) might occur)

FINAL

RIO Statement IF [REQUIRED] form the beginning of the if/then RIO statement, THEN [REQUIRED] form the beginning of the if/then RIO statement

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NOW IMPACT

Note: Consider plan start date, plan completion (target resolution) date, and realization date.

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Step 4: RIO Assessment

Likelihood What is the probability that the "If" condition will occur? On the following page circle the applicable level (A, B, C, D or E) on the scorecard.

Impact Given the event occurs, what is the magnitude of the "Then" condition? On the following page circle the impact description in each facet (technical, schedule, and cost) column. Take note of the highest impact level (1, 2, 3, 4, or 5) from the three facets for use when rating the RIO

– this is the “driving impact”.

Rating On the following page circle the likelihood and highest impact level on the corresponding grid to identify the rating of the RIO. Rating can be expressed in two forms, alpha-numeric or the numeric equivalent (for example, a Risk or Issue rating can either be E2 or 13, and an Opportunity can be E2 or -13).

Scoring Notes Summarize the rationale for the selected rating

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Step 5: RIO Plan

RIO plans consist of a specific course of action, approach concept(s), and discrete steps for each applicable RIO, and must be included for all RIOs with an approach strategy of Control.

• Risks: The objective of the plan is to reduce the likelihood of occurrence and/or negative impact if the risk is realized.

• Issues: The objective of the plan is to reduce the negative impact

• Opportunities: The objective of the plan is to improve the likelihood and/or positive impact.

Once a plan strategy has been chosen, a high level plan description is generated. If there are logical groupings of tasks or multiple methods used to enact the plan, these can be identified as unique approaches.

Plan Title: [REQUIRED] A brief title that provides high level context of the plan

Plan Description: [REQUIRED] Description of the course of action to address the RIO

Plan Owner The individual of primary responsibility for the Plan

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Plan Strategy (Select One) Definition

☐ Avoidance Avert the potential of occurrence and/or impact by selecting a different programmatic path than planned.

☐ Transfer Shift the RIO to another organization. For more information on transferring a RIO see Section 2.3.6.

☐ Control MOST COMMON - Develop options & alternatives for taking action to address the RIO.

☐ Assumption Accept the likelihood/probability and the impacts associated with a RIO's occurrence.

☐ Research & Knowledge Expand experience and subject matter expertise

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Step 6: RIO Mitigation Steps / Response Activities

Steps are required for Control and R&K, and recommended for all other strategies. Plans consist of a series of steps that when completed reduce the rating of the RIO to the desired threshold for the program. When developing the plan steps, interdependences should be identified and considered, when applicable. This level of detail will enable the organization to monitor the progress of reducing the likelihood and impact of Risks and Issues and achieving desired Opportunities.

Action Plan - First Approach

# Title/Notes Step Owner Target Start Date Target Due Date

[REQUIRED] Title provides context on the course of action Optional additional Step information

[REQUIRED]

Party of primary responsibility for the Step

[OPTIONAL] Date when the RIO Step will be initiated

[REQUIRED]

Date when the RIO Step will be completed

REQUIRED] Title provides context on the course of action Optional additional Step information

[REQUIRED]

Party of primary responsibility for the Step

[OPTIONAL] Date when the RIO Step will be initiated

[REQUIRED]

Date when the RIO Step will be completed

REQUIRED] Title provides context on the course of action Optional additional Step information

[REQUIRED]

Party of primary responsibility for the Step

[OPTIONAL] Date when the RIO Step will be initiated

[REQUIRED]

Date when the RIO Step will be completed

REQUIRED] Title provides context on the course of action Optional additional Step information

[REQUIRED]

Party of primary responsibility for the Step

[OPTIONAL] Date when the RIO Step will be initiated

[REQUIRED]

Date when the RIO Step will be completed

Action Plan - Second Approach (Optional)

# Title/Notes Step Owner Target Start Date Target Due Date

[REQUIRED] Title provides context on the course of action Optional additional Step information

[REQUIRED]

Party of primary responsibility for the Step

[OPTIONAL] Date when the RIO Step will be initiated

[REQUIRED]

Date when the

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REQUIRED] Title provides context on the course of action Optional additional Step information

[REQUIRED]

Party of primary responsibility for the Step

[OPTIONAL] Date when the RIO Step will be initiated

[REQUIRED]

Date when the

Reference: Documented Sources (Optional)

Identify documents as required to describe context for the RIO.

Title of Document Revision / Date (when applicable) Location

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