Project Risks, Issues, Change Requests, and Action Items

As a project manager, you can identify and manage risks, issues, and change requests. You can also assign action items to themselves and other users.
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As a project manager, you can identify and manage risks, issues, and change requests. You can also assign action items to themselves and other users.
A project risk management process includes identifying, analyzing, planning, tracking, and communicating risk. You want to make informed decisions by assessing potential problems and the severity of their impact. As a project manager, you create a risk or an issue and attempt to assess, measure, and manage the risk. You can identify risks at any time during a project lifecycle. You can escalate a risk to an issue when it appears likely to affect the project in a significant way. Change requests result from issues and can help facilitate effective resolutions.
2
Example: Risk Management Process
The following workflow diagram describes one way to manage project risks, issues, and change requests:
Image describing how to manage project risks
Image describing how to manage project risks
For example, your project team is developing a new product using a new technology. The resources in the organization who have experience with this technology are limited. The team must use external resources to complete the project. The product is bundled with third-party APIs and require legal approvals. The team identifies two risks affecting this project:
  • A limited number of qualified resources
  • A dependency on the approval proces
After an analysis of the impact of the risks on the project, the project manager creates a risk for the limited resources and an issue for the dependency.
: You can use processes to automate the project risk management workflow. For example, you can create processes to notify you when the audit trail for a risk has been modified. You can create a process to send notifications when issue-related tasks are completed. Apply the information on this page about risks, issues, and change requests to your automated processes. See Configure Processes.
Review the Prerequisites
To complete all tasks in this article, you need the following access rights:
  • Project: Risk, Issue, Change Request: Create/Edit
  • Project: Risk, Issue, Change Request: Delete
  • Project: Risk, Issue, Change Request: Delete: All
  • Project: Risk, Issue, Change Request: Edit: All
  • Project: Risk, Issue, Change Request: View
  • Project: Risk, Issue, Change Request: View: All
Create a Risk
A
risk
is a potential future event that has a positive or negative impact on a project objective. Identify the risks early in a project to become aware of potential effects on the project scope, schedule, budget, and other factors. In this article, the team decides to mitigate the limited resources risk by employing external resources. The project manager creates a detailed risk providing all the information and selects Resource Availability from the Category drop-down list.
If the overall score for a detailed risk differs from the rating you assigned to it, the two risk management components interact. The score of the detailed risk overrides the rate that you assigned. If you create a detailed risk without assigning rates, scores from the risk entries color the appropriate factor in the list. Deleting a detailed risk changes the project overall risk score and the combined risk score for that particular risk category.
Follow these steps:
  1. Open a project and click
    Risks/Issues/Changes
    .
  2. Click
    New
    .
  3. Complete the fields in the
    General
    section:
    • Category
      Defines the category to which the risk belongs.
      Values:
      • Flexibility
        : The project is not adaptable.
      • Funding
        : The project funding is not allocated or is available with constraints.
      • Human Interface
        : The user interface (UI) is poorly defined.
      • Implementation
        : Uncertainties exist in the implementation effort and user acceptance
      • Interdependencies
        : The project is dependent on other projects.
      • Objectives
        : The requirements, objectives, scope, and benefits are unreasonable, unclear, not measurable, and not verifiable.
      • Organizational Culture
        : The project requires changes to the organization culture, business processes, procedures, or policies.
      • Resource Availability
        : The internal resource availability is uncertain and external resources are required.
      • Sponsorship
        : The sponsorship is not clearly identified and committed.
      • Supportability
        : It is not easy to support the project in the future and requires major updating.
      • Technical
        : The project technology is unproven and new internal or external expertise is required.
      When you specify a risk category, the overall risk score overrides any differing status selection that you make for the risk category or factor.
    • Owner
      Defines the name of the resource who is managing the risk. This resource is responsible for verifying that the risk is managed and tracked appropriately through its lifecycle.
      Default:
      The resource that is currently logged in.
    • Impact Date
      Defines the date by which repercussions from this risk could affect the project. If you identify an impact date, enter a date in the Target Resolution Date field.
      Default:
      Current date
    • Response Type
      Defines the type of response you want to make with this risk.
      Values:
      • Watch
        . You do not want to respond to a risk. This type is typically assigned for any risk whose calculated risk score is low. Though the risk probability or impact is not sufficient to warrant an action, you still want to keep the risk open and monitor it.
      • Accept
        . The risk exposure is accepted, and in some cases, there is no intent to pursue the risk.
      • Transfer
        . You want to transfer the risk to a different project. Once transferred, you can close the risk.
      • Mitigate
        . You want to apply a risk response strategy to resolve the risk.
      Default: Watch
      Note:
      In this article, select
      Mitigate
      .
  4. Click Save.
  5. Complete the fields in the
    Details
    section:
    • Assumptions
      Defines the assumptions that determine that this item could be a risk. You can verify these assumptions to help ensure that they continue to be valid through the duration of the risk life. If the assumptions change, the impact or probability of the risk can also change.
    • Associated Risks
      Defines the risks within the project that are associated with this risk. You can only link this risk to risks within this project.
    • Associated Issues
      Defines the issues within the project that are associated with this risk. You can only link this risk to issues within this project.
  6. Complete the fields in the
    Quantify Risk
    section:
    • Probability
      Defines the probability that the risk can occur. The risk probability is used to calculate the risk exposure.
      Values: Low
      (1),
      Medium
      (2), or
      High
      (3)
      Default: Low
    • Calculated Risk
      Displays the score calculated based on the selections you make in the
      Probability
      and
      Impact
      fields.
      Values:
      • 1: 3 (Green). The calculated risk is low.
      • 4: 6 (Yellow). The calculated risk is medium.
      • 7: 9 (Red). The calculated risk is high.
    • Impact
      Defines the effect of the risk on the project. The effect of the risk on the project performance, supportability, cost, and schedule determine the impact. This value is used to calculate the risk exposure.
      Default: Low
  7. Attach a document which provides valuable background on the risk, its mitigation or effect on the project, if any in the
    Attachments
    section.
  8. Complete the following fields in the
    Resolution
    section:
    • Resolution
      Defines the final resolution of this risk once the risk is mitigated. The resolution data is useful for recalling the outcome of a risk response strategy when planning or approaching future project risk plans.
      Note:
      You can define a resolution while creating the risk, or before closing it.
    • Residual Risks
      Specifies the risks encountered or created within the project as a result of the mitigation that is taken to resolve the risk. Unlike associated risks, residual risks do not share similar outcomes, but result from an action you take in resolving a risk.
  9. Save your changes.
Create a Risk Response Strategy
After you decide to mitigate the risk, assign the owner of the risk to develop a response strategy. Risk response strategies document the actions, tracking requirements, and other supporting information that is required to reduce the risk probability and impact.
Regardless of who owns the risk, you can assign individual response strategies to different resources, and each response strategy can have its own due date. These dates and names can be used with processes to send notifications and reminders to risk owners. You typically create a risk response strategy when you select a Response Type of Mitigate.
In some cases, you can accept the risk exposure and not pursue the risk.
Follow these steps:
  1. Open a project and click
    Risks/Issues/Changes
    .
  2. Open the risk.
  3. Open the
    Properties
    menu and click
    Response Strategy
    .
  4. Complete the fields and click
    Add
    to save your changes.
Close a Risk
Once the risk is successfully mitigated, change the status of the risk to Closed and enter the final resolution. A detailed resolution can help you recall the outcome of a risk response strategy when planning, or approaching future project risk plans.
Follow these steps:
  1. Open a project and click
    Risks/Issues/Changes
    .
  2. Open the risk.
  3. Change the
    Status
    to
    Closed
    .
  4. Enter how the risk was mitigated in the
    Resolution
    section.
  5. Save your changes.
Create a Risk from an Issue
You can create risks to address uncertainty, minimizing the costly consequences of unforeseen or unmanaged problems. You can create response strategies for risks and associate risks with tasks and processes.
You can create risks from existing issues. Basic information from common fields is carried over to the new issue for easy setup. You can link back to the originating issue from the risk for easy navigation between the records. In addition, you can manually associate risks or issues to each other. Manual association is useful for understanding the relationships between the risks and issues, providing better overall management of a project.
Follow these steps:
  1. Open a project and click
    Risks/Issues/Changes
    .
  2. In the
    Risks/Issues/Changes
    menu, click
    Issues
    .
  3. Click the name of the issue.
  4. Click
    Create Risk
    .
  5. Complete the fields in the General section. Most of the fields are the same as described earlier on this page.
  6. Click
    Save
    .
  7. Complete the fields in the Details section:
    • Risk Symptoms
      Defines the symptoms that identify this item as a risk.
    • Impact Description
      Displays a description of the result the risk had on the project.
    • Risk Impact Date
      Displays the date when the repercussions from the risk impacted the project.
    • Target Resolution Date
      Displays the target date of resolving the risk.
    • Assumptions
      Displays the assumptions that determined the risk.
    • Associated Risks
      Defines the risks within this project that are associated with this risk. You can only link this risk to risks within this project.
    • Associated Issues
      Defines the issues within this project that are associated with this risk. You can only link this risk to risks within this project.
    • Response Type
      Defines the type of response that you want to make with this risk.
      Values:
      • Watch. You do not want to respond to a risk. This type is typically assigned for any risk whose calculated risk score is low. In other words, though risk probability or impact is not sufficient to warrant action, you still want to keep the risk open and monitor it.
      • Accept. The risk exposure is accepted, and in some cases, there is no intent to pursue the risk.
      • Transfer. You want to transfer the risk to a different project. Once transferred, you can close the risk.
      • Mitigate. You want to apply a risk response strategy to resolve the risk.
      Default:
      Watch
  8. Complete the fields in the Quantify Risk section:
    • Probability
      Defines the probability that the impact can occur. The risk probability is used to calculate the risk exposure.
      Values:
      Low (1), Medium (2), or High (3)
      Default:
      Low
    • Calculated Risk
      Displays the score calculated based on the selections that you make in the Probability and Impact fields.
      Risk values:
      • 4: 6 (Yellow). The calculated risk is medium.
      • 7: 9 (Red). The calculated risk is high.
      • 1: 3 (Green). The calculated risk is low.
    • Impact
      Defines the effect of the particular risk on the project, which is determined by the risk effect on project performance, supportability, cost, and schedule. This value is used to calculate the risk exposure.
      Values:
      Low (1), Medium (2), or High (3)
      Default:
      Low
  9. Attach the documents, if any in the Attachments section.
  10. Complete the fields in the Resolution section:
    • Resolution
      Defines the final resolution once the risk is mitigated. The resolution data is useful for recalling the outcome of a risk response strategy when planning or approaching future project risk plans.
    • Residual Risks
      Specifies the risks that are encountered or created within the project as a result of the mitigation that is taken to resolve the risk. Unlike associated risks, residual risks do not share similar outcomes, but result from an action you take in resolving a risk.
  11. Save the changes.
After creating a risk, it appears in the risk list. A check mark icon in the Above Threshold column of the risks page indicates that the risk score exceeds the risk threshold.
Create a Risk from a Change Request
When you create a risk from a change request, some of the fields are populated with information from the related change request. To view the original change request from the risk, open the risk, and click the ID in the Originating Change Request field.
Follow these steps:
  1. Open a project and click
    Risks/Issues/Changes
    .
  2. Open the Risks/Issues/Changes menu and click Change Requests.
  3. Click the name of the change request.
  4. Click
    Create Risk
    .
  5. Complete the fields in the General section. Most of the fields are the same as described earlier on this page.
  6. Complete the fields in the Details section:
    • Risk Symptoms
      Defines the symptoms that identify this item as a risk.
    • Impact Description
      Displays a description of the result the risk had on the project.
    • Risk Impact Date
      Displays the date when the repercussions from the risk impacted the project.
    • Assumptions
      Defines the assumptions that determine that this item could be a risk. You can verify these assumptions to help ensure that they continue to be valid through the duration of the risk life. If the assumptions change, the impact or probability of the risk can also change.
    • Associated Risks
      Defines the risks within this project that are associated with this risk. You can only link this risk to risks within this project.
    • Associated Issues
      Defines the issues within this project that are associated with this risk. You can only link this risk to risks within this project.
  7. Complete the fields in the Quantify Risk section. Most of the fields are the same as described earlier on this page.
  8. Attach any documents in the Attachments section.
  9. Complete the fields in the Resolution section.
  10. Save the changes.
Assign Risk Ratings
Organizations typically prefer to fund projects which offer low and medium risks. Unless a high-risk project can provide substantial benefits, or is strategically essential to business goals, it can be terminated. You can rate a predefined list of possible risk factors for each project on the main risk page. The following colors are used to display the risk score in the form of a stoplight:
  • Red = High risk
  • Yellow = Medium risk
  • Green = Low risk
After you assign risk rates to the individual factors, an overall risk level for the project is calculated. The calculation is based on the combined risk levels of all the risk factors in the list. The overall risk level appears at the top of the factor list.
You can rate your risks on the main risk page. All the other risk management components and actions that you can perform are on the risks page within a project. Create a detailed risk on the risks page and assign it to a risk category.
  • The category is equivalent to one of the risk categories or factors that are listed on the risks list page. If the overall score for a detailed risk differs from the rating that you assigned to it on the main risk page, the two risk management components interact. The score of the detailed risk overrides the rate that you assigned. If you create detailed risk without assigning rates, scores from the risk entries color the appropriate factor in the list.
  • Some risk categories in the Contributing Factors section of the main risk page are display only. Once you create a detailed risk and assign it a risk category, the corresponding risk category in the Risk Factors section in the project risk properties cannot be edited. You can update the rating by updating the corresponding risk from the risks list page.
Deleting a detailed risk changes the project overall risk score and the combined risk score for that particular risk category. Both of these values appear in the Contributing Factors section of the main risk page.
For example, you delete a detailed Funding risk, and multiple risks of the risk category type exist. The risk score for that risk category/factor is recalculated based on the combined score of all the risks remaining in that category. If, however, you delete a Funding Risk and only one risk of the category remains, you can select a risk value from the Funding drop-down.
You can assign ratings to the project risk factors. The risk factors appear in the Contributing Factors section of the page. The Risk field at the top of the page indicates a combined risk level for the project. The risk level is based on all of the selections that are made in the Contributing Factors section of the page.
Follow these steps:
  1. Open the project and Select Risk from Properties.
  2. Select the options to rate the risk.
    • Objectives
      Specifies if the requirements, objectives, scope, and benefits are reasonable, clearly defined, measurable, and verifiable.
    • Sponsorship
      Specifies if the sponsorship is clearly identified and committed.
    • Funding
      Specifies if the project funding is available without constraints.
    • Resource Availability
      Specifies if internal resources are available for the project without constraints and external resources are not required.
    • Interdependencies
      Specifies if the project is not dependent on other projects.
    • Technical
      Specifies if the project technology is proven and new internal or external expertise is required.
    • Human Interface
      Specifies if the project has a well-defined user interface (UI).
    • Organizational Culture
      Specifies if the project requires little change to the organization culture, business processes, procedures, or policies.
    • Supportability
      Specifies if the project is easy to support in the future and do not require major updating.
    • Implementation
      Specifies if minor uncertainties exist in the implementation effort and user acceptance.
    • Flexibility
      Specifies if the project is easily adaptable.
  3. Save your changes.
    The stoplights are changed next to each risk factor to the color that is assigned to the level that you selected for each risk.
Calculated Risk Score
You can enter and view a detailed calculated risk score in the Quantify Risk section of the risk properties page. The risk score is calculated based on the selections that you make in the Probability and Impact fields on this page. Probability and impact levels are rated as follows:
  • Low = 1
  • Medium = 2
  • High = 3
For example, you set the risk probability level to High (3) and the impact level to Medium (2). The calculated risk score is 6. The calculated risk score works with the system-level risk threshold value for all projects, set by your 
CA PPM
administrator. The
risk threshold
is the acceptable level of risk that can be tolerated without acting out the risk response strategy. The risk threshold is useful because projects can have hundreds of risks. The only way to manage them is to focus on the most important ones.
The risk score matrix and the risk threshold contain default values. You can set the values as high or low as appropriate for your organization. You can view whether your risk is above the threshold on the risks page. You can design procedures or processes to deal with risks that exceed the threshold.
For more information about how risk scores are calculated and what determines the color of the risk score, see TEC439319 on CA Support Online.
Set Up the Risk Score Matrix
Use the Risk Score Setup matrix to set up the risk score for a given impact and probability combination. The system uses the matrix to determine the degree of risk (High, Medium, Low) based on the impact and probability factors of a risk.
By default, you can use the following risk rating scores to rate the Impact and Probability factors:
  • Low
  • Medium
  • High
Impact and Probability are lookup attributes in the system that have numeric values (LOOKUP_ENUM) assigned to them. The product of the impact and probability values give the Calculated risk value for a risk.
Follow these steps:
  1. From Administration, select Risk Settings under Project Management.
  2. For each Risk Impact row (Low, Medium, and High), select a Risk Probability (Low, Medium, or High) for each column.
Configure the Risk Score Matrix Using Custom Values
By default, the Risk Rating lookup uses the following alphabetic IDs for the rating levels. 
  • L= 0 (low)
  • M= 50 (medium)
  • H =100 (high)
You can configure the risk score matrix by adding custom values for the following lookups.
  • Risk Rating
  • Risk Impact
  • Risk Probability
To use custom scores (such as Low-Medium, Medium-High, or Super High) to rate the Impact and Probability factors, configure the Risk Rating Look values. The custom scores or values appear on the Risk Score Setup matrix. You can select the custom values from the drop-down menus for the Risk Impact rows and Risk Probability columns.
By default, the Risk Impact and Risk Probability lookups use the following numeric IDs to indicate the impact and probability levels:
  • 1 = Low (0)
  • 2 = Medium (50)
  • 3 = High (100)
To define custom values for the Impact and Probability factors themselves, configure the Risk Impact and Risk Probability lookup values. The custom Risk Impact values appear on the Risk Score Setup matrix as additional rows with drop-downs menus displaying "Select". The custom Risk Probability values appear on the Risk Score Setup matrix as additional columns with drop-downs menus displaying "Select". Click Select to select the appropriate risk impact or probability value for a matrix row or a column.
Follow these steps:
  1. From Administration, select Lookups under Data Administration.
  2. Filter for the lookup that you want to configure (for example, Risk Rating - Standard LMH)
  3. Click Values and then click New to define a custom value for the lookup.
  4. Define the custom value attributes. For example, add the following custom risk rating value:
    • Lookup Value Name = Low-Medium
    • ID= 25
    • Partition= System
  5. Click Save and Return.
  6. Click Reorder Values.
  7. Use the up and down arrows to place the new custom value in the right order.
  8. Click Save and Return.
After adding custom values for the Risk Rating, Risk Impact, or Risk Probability lookups, go to the Risk Settings page under Administration and select the newly added values in the Risk Score Setup matrix. See Set Up the Risk Score Matrix for details.
Add Notes for Risks, Issues, or Change Requests
You can add notes about a risk, issue, or change request. The notes that you add appear in a list on the respective notes page. The notes appear in the order in which they were created, with the most recent note appearing at the top of the list. From this page, you can sort the list of notes and add additional notes. You can neither edit nor reply to these notes.
View notes in the list section of the risks page. Users with access to the Risks/Issues/Changes page for a project can view notes.
Follow these steps:
  1. Open the project and click Risks/Issues/Changes.
  2. Open the Risks/Issues/Changes menu and select an item.
  3. Open the risk, issue, or change request to add a note.
  4. Click Notes.
  5. Complete the fields and click Add to save the notes.
Associate Key Tasks with a Risk
You can assign a risk to an existing task, or can create a task. You can also assign risks to one or more key tasks. A key task is significant in some way. For example, the start date of other tasks can depend on the key task. Using the risk associated tasks page, you can view a list of the tasks that are associated with the risk. You can associate the risks that you create with your tasks and can view them on the task associated risks page. You cannot reply to or cannot edit the risks that are listed on the page. Resources with project access can view the risks.
Follow these steps:
  1. Open the project and click Risks/Issues/Changes.
  2. Click the risk name.
  3. Click Associated Tasks.
  4. To add an existing task, click Add Existing Tasks. Select the check box next to the task to associate to the risk, and click Link To.
  5. To add a new task association, click New.
  6. Complete the fields in the General section:
    • Milestone
      Designate the task as a milestone task. Milestones are tasks that have a due date but not a duration (a period between a start and finish date). Once saved, the Start field on the task properties page is locked.
      Default:
      Cleared
      You cannot assign staff to milestones or cannot designate them as summary tasks.
    • Key Task
      Specifies whether you want to identify this task as a key task. A key task is significant in some way. For example, the start date of other tasks can depend on the key task.
      Example:
      If this task is one whose completion is essential to the start date of other tasks, then mark this task as a key task.
      Default:
      Selected
    • Status
      Displays the status of the task that is based on the value of % Complete. This field is automatically calculated and updated based on the task % Complete value.
      Values:
      • Completed. The ETC task is zero and the percentage completed is 100.
      • Not Started. Actuals are not posted and the percentage completed is zero.
      • Started. Displays when a resource posts actuals to the task assignment. The percentage that is completed on the task is more than zero and less than 100.
      Default:
      Not Started
    • % Complete
      Defines the percent of work that has been completed when the task is partially completed.
      Values:
      • Zero. The task is not started.
      • 1 through 99. The task has ETC or actuals posted and the task is not started.
      • 100. The task is complete.
      Default:
      0
    • Charge Code
      Defines the charge code for the task. Task-level charge codes supersede project-level charge codes where both are specified.
    • Must Start On
      Defines the date on which the task is required to start. This date is used as a date constraint during autoscheduling.
    • Must Finish On
      Defines the date on which the task is required to finish. This date is used as a constraint during autoscheduling.
    • Start No Earlier Than
      Defines the earliest possible start date for a task. This date is used as a constraint during autoscheduling.
    • Start No Later Than
      Defines the latest possible start date for the task. This date is used as a constraint during autoscheduling.
    • Finish No Earlier Than
      Defines the earliest possible finish date for a task. This date is used as a constraint during autoscheduling.
    • Finish No Later Than
      Defines the latest possible finish date for a task. This date is used as a constraint during autoscheduling.
    • Exclude from Autoscheduling
      Specifies excluding the dates for this task during the auto-scheduling process.
      Default:
      Cleared
      Required:
      No
      This field works with the
      Schedule Assignments on Excluded Tasks
      field on the auto-schedule page. For example, you exclude the task from auto-scheduling but you allow changes to excluded task resource assignment dates during auto-scheduling. The auto-schedule process changes the task resource assignment dates, while remaining within the start and finish dates for the task.
  7. Save the changes.
Manage the List of Values for the Risk Categories Lookup
The system-defined list of values for risk categories (RIM_CATEGORY_TYPE lookup) are suggested values. You can edit this list to meet the needs of your organization in calculating and managing risk.
You can create user-defined attributes and add them to the risk weighted average formula. The lookup values for the Category Type (ID=RIM_CATEGORY_TYPE) are managed through the application in a different manner than simply adding the lookup values through Administration, Data Administration, Lookups. 
Follow these steps:
  1. Click
    Administration
    ,
    Studio
    ,
    Objects
    .
  2. Open the
    Project
    object and click the
    Attributes
    tab.
  3. Create a new number attribute. For example,
    My Risk Factor
    with an ID of
    my_risk_factor
    .
    1. Click the
      Add
      button.
    2. Select the type of attribute. In this case, it is 
      number
      .
    3. Complete all required fields and click
      Save
      .
  4. Add this new attribute to the Risk Score Attribute (found in the Project Object Attribute listing).
  5. Click on
    Risk Score
    attribute (id = risk)
  6. On the
    Risk Properties
    page, click
    [Build Weighted Average Formula]
    link.
  7. Add the new, user-defined attribute (
    my_risk_factor
    ) to the weighted average formula.
  8. You can remove other attributes and the system-defined values from the weighted average formula if you do not want them.
  9. Click
    Save
    or
    Submit
    .
  10. Check the
    Risk Category Type
    lookup list of values:
    1. Click
      Administration
      ,
      Data Administration
      ,
      Lookups
      .
    2. Search for ID = RIM_CATEGORY_TYPE, open the lookup, and navigate to the 
      Values
      tab.
      You will now see your newly added, user-defined Risk Score attribute named
      My Risk Factor
      as a value on this lookup.
  11. Place this new attribute (
    my_risk_factor
    ) on a subpage within the Project object so that users can enter a value in the field for the Risk Score calculation. 
  12. You can also remove any of the system-defined attributes for the Risk Score if you do not need to use them.
  13. To update views, navigate to
    Administration
    ,
    Studio
    ,
    Objects
    , and open the
    Project
    object and click the
    Views
    tab.
  14. Publish the modified project views if modifications are made to list views, filter views, or options. Publishing is not needed for modifications to property pages.
Automate Risk Management
The Assign Risks process is an available risk management process. As a process administrator or manager, use the assign risks process to manage the assignment and resolution of project risks. By default, this process is not active. Your process administrator activates it before you can start the assign risks process. Once active, you can access and start the process from the risk under the Processes tab.
You can customize the process using extra business rules. See
Configure Processes
for more information.
The Assign Risks process completes the following steps. The process sends notifications for each action item or step to designated assignees. 
  1. A user creates a new project risk with an
    Open 
    status and manually starts the Assign Risks process.
  2. The process checks if a risk category is specified
    .
    If a risk category is specified, creates an action item for the project manager to assign a risk owner.
     
    If a risk category is not specified, creates an action item for the project manager to enter a risk category. The risk owner changes the risk status to
    Work in Progress
  3. Once a risk is assigned an owner, the process creates an action item for the risk owner to select an approach for risk resolution (mitigate, watch, transfer, or accept).
    • If the risk is accepted, creates an action item for the project manager to approve risk acceptance. If risk acceptance is approved, then marks the risk as Resolved. If risk acceptance is denied, action item goes back to the risk owner to select a new approach for risk resolution.
    • If risk is being watched, creates an action item for the risk owner to watch the risk. After the action is completed, the risk is marked as Resolved.
    • If the risk is being mitigated, creates an action item for the risk owner to define mitigation steps for the risk. After the action is completed, the risk is marked as Resolved.
    • If the risk is being transferred, creates an action item for the risk owner to transfer the risk to a different owner or group. After the action item is complete, the risk is marked as Resolved.
  4. After the risk is resolved, the risk owner changes the risk status to
    Closed.
Create an Issue and Close a Risk
An
issue
is an event that has affected the project. When the risk mitigation plan fails, you can escalate the risk to an issue. Create an issue from the existing risk and then close the risk. The new issue inherits the risk name, description, and some of its values, such as Status ("Open") and Date Created (current calendar date). You can always link back to the originating risk. Creating an issue from a risk brings awareness, actions, and tasks around an issue for the conclusion by the project team. Additionally, it allows the team to keep a record of issues and their outcome for analysis at project closure and future project planning.
You can also connect other risks or issues that are related to this issue. Connecting all related issues and risks helps you trace dependencies and recognize trends in future analysis and audits.
In this article, as part of the mitigation plan, external contractors are hired to complete the project. However the contractors that are hired do not have the required level of experience which is impacting the progress of the project delivery. The risk now becomes an issue and the project manager then creates an issue from this risk and closes the risk.
Follow these steps:
  1. Open the project and click
    Risk/Issues/Changes
    .
  2. Open the risk.
  3. Click
    Create Issue
    .
  4. Complete the fields in the
    General
    section:
    • Category
      Defines the category to which the issue belongs.
      Values:
      • Flexibility
        : The project is not adaptable.
      • Funding
        : The project funding is not allocated or is available with constraints.
      • Human Interface
        : The user interface (UI) is poorly defined.
      • Implementation
        : Uncertainties exist in the implementation effort and user acceptance
      • Interdependencies
        : The project is dependent on other projects.
      • Objectives
        : The requirements, objectives, scope, and benefits are unreasonable, unclear, not measurable, and not verifiable.
      • Organizational Culture
        : The project requires changes to the organization culture, business processes, procedures, or policies.
      • Resource Availability
        : The internal resource availability is uncertain and external resources are required.
      • Sponsorship
        : The sponsorship is not clearly identified and committed.
      • Supportability
        : It is not easy to support the project in the future and requires major updating.
      • Technical
        : The project technology is unproven and new internal or external expertise is required.
    • Owner
      Defines the name of the resource who is managing the issue. This resource is responsible for verifying that the issue is managed and tracked appropriately through its lifecycle.
      Default:
      The resource that is currently logged in.
  5. Complete the fields in the
    Details
    section.
  6. Attach a document which provides valuable background on the issue, its resolution or effect on the project, if any in the
    Attachments
    section.
  7. Complete the
    Resolution
    section after the issue is resolved.
  8. Click
    Save and Return
    to go to the
    Risk Properties
    page to close the risk.
  9. Change the
    Status
    to
    Closed
    .
  10. Save your changes.
Create an Issue
Create an issue when the risk impacts the project in a significant way. Since the delay in the approval process is anticipated, the project manager creates an issue and assigns the category as dependency.
Follow these steps:
  1. Open the project and click
    Risks/Issues/Changes
    .
  2. Open the
    Risks/Issues/Changes
    menu and click
    Issues
    .
  3. Click
    New
    .
  4. Complete the fields in the
    General
    section:
    • Issue ID
      Defines the unique identifier for the issue. You cannot change the identifier, once you save the issue.
    • Category
      Defines the category that the issue belongs to.
      Values:
      • Flexibility
        : The project is not adaptable.
      • Funding
        : The project funding is not allocated or is available with constraints.
      • Human Interface
        : The user interface (UI) is poorly defined.
      • Implementation
        : Uncertainties exist in the implementation effort and user acceptance
      • Interdependencies
        : The project is dependent on other projects.
      • Objectives
        : The requirements, objectives, scope, and benefits are unreasonable, unclear, not measurable, and not verifiable.
      • Organizational Culture
        : The project requires changes to the organization culture, business processes, procedures, or policies.
      • Resource Availability
        : The internal resource availability is uncertain and external resources are required.
      • Sponsorship
        : The sponsorship is not clearly identified and committed.
      • Supportability
        : It is not easy to support the project in the future and requires major updating.
      • Technical
        : The project technology is unproven and new internal or external expertise is required.
    • Owner
      Defines the name of the resource who is managing the issue. This resource is responsible for verifying that the issue is managed and tracked appropriately through its lifecycle.
      Default:
      The resource that is currently logged in.
    • Creator
      Displays the name of the resource who created the issue.
      Default:
      The resource that is currently logged in.
  5. Complete the fields in the
    Details
    section.
  6. Attach a document which provides valuable background on the issue, its resolution or effect on the project, if any in the
    Attachments
    section.
  7. Complete the
    Resolution
    section after the issue is resolved.
  8. Save your changes.
Close an Issue
Once the issue is resolved, change the status to Closed, and enter a final resolution. A detailed resolution can help you recall the outcome of an issue when planning or approaching future projects issue plans.
Follow these steps:
  1. Open the project and click
    Risks/Issues/Changes
    .
  2. Open the
    Risks/Issues/Changes
    menu and click
    Issues
    .
  3. Open the issue.
  4. Change the
    Status
    to
    Closed
    .
  5. Enter how the issue was resolved in the
    Resolution
    section.
  6. Save your changes.
Create an Issue from a Risk or Change Request
You can create issues from risks or change requests to escalate a serious risk to a higher level. You can also create issues that are independent of risks and change requests. Similar to risks, you can associate issues with action items, tasks, and processes.
Follow these steps:
  1. Open the project and click Risks/Issues/Changes.
  2. Open the Risks/Issues/Changes menu and click Issues or Change Requests.
  3. Click New or click the name of a change request and then click Create Issue.
  4. Complete the requested information.
    • Owner
      Defines the name of the resource who is managing the risk. This resource is responsible for verifying that the issue is managed and tracked appropriately through its lifecycle. If you create an issue from a closed risk, the value for this field is taken from the Owner field on the risk properties page.
      Default
      : The resource that is currently logged in.
  5. Complete the fields in the Details section.
  6. Attach any documents.
  7. Complete the Resolution field in the Resolution section.
  8. Save your changes.
Import an Issue from Another System of Record
If your organization uses a different system such as Microsoft Excel or Access to create and monitor issues, use the XML Open Gateway (XOG) to import them into 
CA PPM
. For more information, see
XML Open Gateway (XOG) Development
.
Close a Change Request and Track It as an Issue
You can quickly create a change request from an existing issue. Basic information from common fields is copied to the new change request for easy setup. A link back to the originating change request is provided on the issue properties page for easy navigation between the records. In addition, you can manually associate issues or change requests to each other. Association can help you understand the relationships between the issues and change requests, and provide better overall project management. Click the ID in the Originating Change Request field to view the originating change request.
Follow these steps:
  1. Open the change request.
  2. Change the Status to Closed.
  3. Save the changes.
  4. Click Create Issue.
  5. Complete the fields in the General section. The following field requires an explanation:
    • Owner
      Defines the name of the resource who is managing the risk. This resource is responsible for verifying that the issue is managed and tracked appropriately through its lifecycle. If you create an issue from a closed risk, the value for this field is taken from the Owner field on the risk properties page.
      Default:
      The resource that is currently logged in.
  6. Complete the fields in the Details section. The following field requires an explanation:
    • Target Resolution Date
      Defines the date for resolving the issue. The date must be the same or earlier than the impact date.
      Default:
      Current date
  7. Attach any documents.
  8. Complete the Resolution field in the Resolution section.
  9. Save the changes.
Associate Existing Tasks with Issues
You can associate tasks with the issue and can view a list of tasks that are associated with the issue. You can associate tasks, key tasks, and milestones with an issue. You cannot reply to, or edit the issues that are listed on the page. By default, not all tasks that are associated with the issue are displayed in the list. To view all tasks that are associated with the issue, expand the filter section, select All at the Key Task filter field, and then click Filter.
Follow these steps:
  1. Open the project and click Risks/Issues/Changes.
  2. Open the Risks/Issues/Changes menu and click Issues.
  3. Click the name of the issue.
  4. Click Associated Tasks.
  5. Click Add Existing Tasks.
  6. Select the task check box to associate the task with the issue, and click Link To.
Create a Change Request
A
change request
is an alteration to expand or contract the project scope, schedule, or budget. Create a change request when the issue resolution impacts the project scope, schedule, or budget or when the issue is not resolved. Recording a change request helps you analyze the project and also learn from past events. You can create change requests to submit and track stakeholder requests. Change requests are requests to expand or reduce the project scope or plans to revise schedules. A change request can be raised for a new product feature, enhancement request, defect, or changed requirement. You can track the change request status throughout the project lifecycle.
As a project manager, you might create a change request to extend the project deadline to address a resource availability issue or other dependency.
Follow these steps:
  1. Open the project and click
    Risk/Issues/Changes
    .
  2. To create a change request from an issue, open the
    Risks/Issues/Changes
    menu and click
    Issues
    . Open an issue and click
    Create Change Request
    .
  3. To create a new change request, open the Risks/Issues/Changes menu and click Change Request. Click New.
  4. Complete the fields in the
    General
    and
    Details
    sections. Most of the fields are the same as described earlier on this page.
  5. Attach a document which provides valuable background on the change request, its resolution or effect on the project, if any in the
    Attachments
    section.
  6. Complete the fields in the
    Effect
    section:
    • Impact on Baseline
      Describes how the changes in the request can affect the project baseline.
    • Impact on Other Projects
      Describes how the request can affect other projects.
    • Change in Cost
      Defines the amount by which the request can change the budget cost of the project. The budget cost is a field that is defined on the budget properties page.
    • Change in Schedule
      Defines the number of days by which the request can delay or accelerate the overall project schedule.
    • Change in Resources
      Defines a number that reflects the request for an increase or decrease in the number of resources that are needed for the project.
  7. Complete the fields in the
    Assessment
    section.
  8. Click
    Save and Return
    to go to the issue properties page to close the issue.
  9. Change the
    Status
    to
    Closed
    .
  10. Save your changes.
Create a Change Request from a Risk
You can create change requests from existing risks. The Originating Risk field displays on the change request properties page. This field is a link to the risk from which the change request derived. Basic information, such as the risk name and ID number, is copied to the new change request for easy setup.
Follow these steps:
  1. Open the project and click Risk/Issues/Changes.
  2. Click the name of the risk.
  3. Click Create Change Request.
  4. Complete the fields on the page.
  5. Save the changes.
Close a Change Request
After a change request is resolved, change its status to Closed, and enter a final resolution for the request. A detailed resolution can help recall the outcome of a request when planning or approaching future projects.
Follow these steps:
  1. Open the change request.
  2. In the General Properties section, change the status to Closed and enter a reason for the requested change.
  3. Save the changes.
View an Audit Trail for a Risk, Issue, or Change Request
You can view when and which user changed certain fields. In this way, you can track changes by resource and date. Your administrator can set up the auditing to audit and preserve a record of operations that are performed on change requests. When users edit a risk, issue, or change request, their edits appear on the Audit Trail page.
You can view the attributes of a request that have changed. The fields display on the bottom half of the change request audit trail page. The details include the name of the resource who changed the request, and when. Before you can view the change request audit trail page, your administrator must set up auditing. For more information, see
Studio Development
in the Reference section of the English documentation.
Follow these steps:
  1. Open the project and click Risks/Issues/Changes.
  2. Open the Risks/Issues/Changes menu and click Risks, Issues, or Change Request.
  3. Open the item and click Audit.
  4. Filter the list.
Assign an Action Item to Yourself or Other Users
Project action items are reminders about work that you assign to yourself or to others and that others assign to you. You can use action items to track the progress of projects and to help ensure that a project is complete and on time.
Create project-related action items from within a project. When you create an action item, you become the owner of the action item or you can assign it to resources that access the item. As the owner, you can modify and delete it.
Follow these steps:
  1. Open Home, and from Personal, click Organizer.
  2. Click New.
  3. Complete the fields in the General section. The following fields require an explanation:
    • Recurring
      Indicates if the action item occurs at regular intervals. If the action item occurs only once, clear the check box.
    • Frequency
      Specifies how often the action item to recur. For example, if you need a status report each week, enter 1 in the Frequency field.
  4. Complete the fields in the Notify section. The following fields require an explanation:
    • Notify Assignees
      Indicates if the assigned resource receives a notification by email or SMS on the Overview page.
      Default:
      Cleared
    • Send Reminder
      Indicates if a reminder email notification is sent to the assigned resources when the action item is due.
      Default:
      Cleared
    • Time Before Reminder
      If the
      Send Reminder check box is selected, the field defines the amount of time before the item is due for the reminder to occur. For example, enter 15 in the field, and select Minutes in the
      Units field.
  5. Select the resources to assign the action item in the Assignees section. Click Advanced Selection to choose from a larger list of all resources and resource groups.
  6. Save your changes.