Appendix 3.8a Risk Register

Walsall DSDA Access Project BAFFB Sep 2011
Appendix 3.8A
Risk Register
Darlaston SDA Access Project (BAFFB Scheme)
Risk Register Ver 6.0
Implications of Risk
Impact of Risk
(on the project)
Score 1 - 4
Inherent Risk
Likelihood
(of risk occurring)
Score 1 - 6
Last amended: 04/09/11
Proximity
TOTAL
Score
Prep
(P)
Short
(ST)
Med
(MT)
Action
Impact of Risk
(on the project)
Score 1 - 4
Long
(LT)
Residual Risk
Likelihood
(of risk occurring)
Score 1 - 6
TOTAL
Score
Risk Owner
Employer (E)
or
Contractor (C)
Risk Ref.
Risk Factor
A1.
Scheme Development Risks
A1 - 1
Objections from British Waterways leading to Public Inquiry
Delay to programme and probable increase

in costs
15
Regular liaison with objectors throughout design process
9E
A1 - 2
British Waterways insist on canal closure
Delay to programme resulting from phased

construction or increase in costs resulting
from more intense construction programme
15
Early liaison with British Waterways and their stakeholders
12 E
A1 - 3
Objections from English Heritage leading to Public Inquiry

in costs
Consult directly prior to submission of business case.
6E
A1 - 4
Objections from Highways Agency leading to Public Inquiry

in costs
Regular liaison with objector throughout design process
6E
A1 - 5
Objections from English Nature leading to Public Inquiry

in costs
6E
A1 - 6
Objections from Network Rail leading to Public Inquiry

in costs
6E
A1 - 7
Objections from Environment Agency leading to Public Inquiry

in costs
6E
A1 - 8
Objection from Severn Trent Water leading to Public Enquiry

in costs
6E
A1 - 9
Objections from pressure groups e.g. Friends of the Earth

leading to changes in design
Delay to programme and negative public

perception of scheme
If objections arise, engage through agreed consultation

mechanisms.
5E
A1 - 10
Scheme doesn't attract regional support in forthcoming RFA2

process RISK CLOSED

in costs or scheme fails
Submit robust RFA application & champion scheme
6E
A1 - 11
Objections from people who have relatives buried near to site

of aqueduct on Bentley Mill Way leading to need for
environmental treatments e.g. acoustic or visual barriers

in costs
Liaise with Bereavement Services to minimise potential

objections
3E
A1 - 12
Requirement for variable demand modelling to be undertaken

RISK CLOSED
Delay to programme and increase in cost
12
Assess need for VDM prior to business case submission

and agree results with DfT
9E
A2.
Implementation of Infrastructure Improvements
A2 - 1
Part 1 claims actual costs significantly exceed estimates
Increasing costs on fixed funding approval
Early negotiation with land/property owners and provision

of a contingency budget
3E
A2 - 1A
Land compensation costs significantly exceed estimates
Early negotiation with land/property owners and provision

of a contingency budget
3E
A2 - 2
Noise insulation actual costs significantly exceed estimates
Provision of a contingency budget
4E
A2 - 3
Statutory undertakers diversion costs unacceptably high
Uneconomic costs resulting in scheme

failure
Consult with statutory undertakers in line with

communications plan
6E
A2 - 3A
Statutory undertakers C4 cost estimates significantly exceed

C3 cost estimates
Liaise with statutory undertakers and early commission of

C4 estimates
4E
A2 - 4
Significantly uncharted services found

in costs
Availability of contingency budget.
8E
A2 - 5
Contaminated land found in unexpected locations

in costs
Robust programme of site investigation and ongoing

liaison with Environment Agency
5E
A2 - 6
Excavation reveals contaminate levels are higher than

assumed resulting in higher disposal costs
Conduct site investigation early on in design process
9E
A2 - 7
Unexpected very high contaminants found

(high/toxic/dangerous)
Delay to programme, design changes and

probable increase in costs
Conduct early site investigation
9E
Status
Sep-11
Closed
Closed
X
Proximity codes: P = preparation period 0 - 3 years
ST = opening year to 5 years after opening
MT = years 5 to 15 after opening
LT = more than 15 years after opening
Status codes: C = closed

= no change
= worse
= better
Impact of Risk
(on the project)
Score 1 - 4
Inherent Risk
Likelihood
(of risk occurring)
Score 1 - 6
Proximity
TOTAL
Score
Prep
(P)
Short
(ST)
Action
Med
(MT)
Impact of Risk
(on the project)
Score 1 - 4
Long
(LT)
Residual Risk
Likelihood
(of risk occurring)
Score 1 - 6
TOTAL
Score
Risk Owner
Employer (E)
or
Contractor (C)
Risk Ref.
Risk Factor
A2 - 8
Potential remedial works to aqueduct to enable British

Waterways co-operation. (Potential for cost share with British
Waterways.)

in costs
Transfer risk to contractor
6E
A2 - 9
Contaminated ground water enters works from former IMI

copper works site

in costs
Transfer risk to IMI site owners
8E
A2 - 10
Unforeseen archaeological / environment / ecological

conditions impact on the scheme e.g. live ordnance from the
Second World War

in costs
Identify possible 'extraordinary' scenarios and ensure

procedures to be followed are documented
4E
A2 - 11
Unforeseen mineshafts found

in costs
Carry out searches in the design process and carry out

site investigations
8E
A2 - 12
Risk of River Tame flooding during construction

Transfer risk to contractor - Erect flood defences - Liaise

with Environment Agency
3C
A2 - 13
Existing grade II listed aqueduct affected by construction of

new (adjacent) aqueduct RISK CLOSED

15
Early involvement of British Waterways and Council

heritage teams
15 E
A2 - 14
Canal integrity breached leading to serious flooding. Included in

A2 - 8

Transfer risk to Contractor
6C
A2 - 15
Underpinning of existing aqueduct foundations required RISK

CLOSED

18
Site investigation in first instance. Possible transfer of risk

to contractor
15 E
A2 - 16
Lowering of existing carriageway undermines existing aqueduct

due to contractor operations

18
Site investigation in first instance. Possible transfer of risk

to contractor
18 C
A2 - 17
Performance of statutory undertakers e.g. time overruns

in costs
18
Transfer risk to statutory undertakers through contract
15 E
A2 - 17A
Management of statutory undertakers e.g. time overruns

in costs
12
Contractor to develop risk action plan
12 C
A2 - 18
Condition of existing carriageway at tie-ins requires

reconstruction work to be undertaken

in costs
Assess carriageway condition prior to scheme

commencement - Identify maintenance resources
5C
A2 - 19
Failure of railway track possession dates

in costs
15
Transfer risk to Network Rail & their contractors who will

construct rail bridge.
15 E
A2 - 20
Performance of Network Rail construction programme e.g. time

overrun

in costs
Transfer risk to Network Rail & their contractors who will

construct rail bridge.
6E
A2 - 21
Exceptional inclement weather during construction period
Delay to scheme and rise in costs
12
Dynamic programming of works on site
12 C
A2 - 22
Highways works in neighbouring local authority area during

construction
Diversions leading to traffic congestion and

delay with possible impact on programme
and costs
15
Liaison with neighbouring authorities and agreement re

programme
12 C
A2 - 23
Highways Agency works on strategic network during

construction
Diversions leading to traffic congestion and

delay with possible impact on programme
and costs
15
Liaison with Highways Agency and agreement re

programme
12 C
A2 - 24
Land development in vicinity of highway improvements
Changes to vehicular and pedestrian

flows/patterns with capacity and safety
implications
Liaison with Planning Department and Traffic Manager re

any possible development works
9E
A2 - 25
Additional Traffic management
Increased costs on fixed funding approval
Liaison with Traffic Management section and early

quantification of TM cost
2C
A2 - 26
Design development / design growth
Delay to scheme and rise in costs
Communications Plan to keep stakeholders informed and

minimise chance of surprise changes
8E
A3.
Operator, Third Party & User Responses / Impacts
A3 - 1
Land-use developments on which BCR are based are not

realised
Scheme benefits not realised
Obtain funding commitment to scheme from key

developers prior to scheme start.
15 E
Status
Sep-11
Closed
Closed


= no change
= worse
= better
Impact of Risk
(on the project)
Score 1 - 4
Inherent Risk
Likelihood
(of risk occurring)
Score 1 - 6
Proximity
TOTAL
Score
Prep
(P)
Short
(ST)
Action
Risk Ref.
Risk Factor
Med
(MT)
A3 - 2
Failure to obtain funding
12
A3 - 3
Traffic generation less than anticipated
Reduced scheme benefits
A3 - 4
Traffic generation greater than anticipated
Infrastructure unable to cope with actual

demand leading to localised congestion
A4.
Highway Operations
A4 - 1
Maintenance costs for new/improved infrastructure are greater

than anticipated
Financial implications for Walsall Council's

annual maintenance budget
B1.
Project Management
B1 - 1
Loss of political support resulting from significant blight notice

RISK CLOSED
Scheme fails
B1 - 2
Project Board members' lack of clarity over roles and

responsibilities. (Quantification included in B1 - 6.)
Key decision-making process undermined

and possible delay to programme
B1 - 3
Poor leadership provided by Project Board. (Quantification

included in B1 - 6.)
Key decision-making process undermined

and possible delay to programme
B1 - 4
Political influences on design. (Quantification included in B1 6.)
Scheme health and safety compromised
B1 - 5
Unrealistic programming of scheme delivery RISK CLOSED
B1 - 6
Impact of Risk
(on the project)
Score 1 - 4
Long
(LT)
Residual Risk
Likelihood
(of risk occurring)
Score 1 - 6
TOTAL
Score
Risk Owner
Employer (E)
or
Contractor (C)
Status
Sep-11
Early Contractor Involvement.
15 E
Commitment of regeneration stakeholders to scheme;

robust traffic modelling
6E
Robust traffic modelling; ongoing engagement of key

stakeholders in developing business case
9E
Early dialogue with maintenance team and input to detailed

design
4E
Ongoing communication with affected land owners & local

members - Negotiation of land/property sales.
16 E
Clear terms of reference
8E
Training for Project Board members
8E
15
Training for Project Board members
12 E
Delay to programme
ECI in project planning
4E
Change in internal political support leads to design changes
Scheme fails
Ongoing communication with members in line with

communication plan
6E
B1 - 7
Staff changes
Lack of team continuity and threat to

programme
12
Effective document control and project management

procedures in place, including arrangements for 'handover'
12 E
B2.
Scheme Approval and Funding
B2 - 1
DfT refuse programme entry RISK CLOSED
Scheme fails
12
Regular liaison with DFT
16 E
B2 - 2
DfT refuse conditional approval RISK CLOSED
Scheme fails
8E
B2 - 3
DfT refuse full approval
Scheme fails
8E
B2 - 4
Economic/financial climate leads to DfT deferring scheme

approval

in costs
Accept outside of control of Walsall MBC
6E
B2 - 4A
Employer delays construction start date
Continuity of Project Team and sufficient advance

programming of work streams
9E
B2 - 5
Rising cost of land / property when completing acquisitions

following confirmation of CPO or at negotiation stage.
(Quantification included in B2 - 8.)
Accelerate negotiation with landowners
2E
B2 - 6
Adverse impact of tax regimes e.g. land fill tax
Increasing costs
4E
B2 - 7
Land not being acquired by negotiation. Sufficient time

available within current programme
CPO Public Inquiry required
12
Develop CPO in tandem - Maximise resources in

negotiation terms
12 E
B2 - 8
Land cannot be acquired by negotiation at reasonable

budgeted cost
Cost increase. Without CPO, scheme fails
12
Develop CPO in tandem - Maximise resources in

negotiation terms
12 E
Closed
Closed
Closed
Closed


= no change
= worse
= better
Impact of Risk
(on the project)
Score 1 - 4
Inherent Risk
Likelihood
(of risk occurring)
Score 1 - 6
Proximity
TOTAL
Score
Prep
(P)
Short
(ST)
Med
(MT)
Action
Impact of Risk
(on the project)
Score 1 - 4
Long
(LT)
Residual Risk
Likelihood
(of risk occurring)
Score 1 - 6
TOTAL
Score
Risk Owner
Employer (E)
or
Contractor (C)
Risk Ref.
Risk Factor
B2 - 9
Planning Application refused or Certificate of Lawfulness not

obtained
Scheme fails
Early planning authority involvement
8E
B2 - 10
Additional time required for CPO Public Inquiry
Delay to programme
6E
B2 - 11
Additional time required for Planning Public Inquiry
Delay to programme
8E
B2 - 12
Statutory orders being approved delayed
Scheme fails
8E
B2 - 13
Change of Government transport policy RISK CLOSED
Weakened policy case for scheme or policy

no longer supports scheme
6E
B2 - 14
British Waterways restrict access and apply onerous conditions

on construction of the Bentley Road South canal bridge RISK
CLOSED
Change to programme and probable

increase in costs
12
Regular liaison with BW throughout design process.
9E
B2 - 15
Environment Agency refuse drainage outfalls to River Tame
Additional cost of pumping systems and

long-term maintenance
Early involvement of Environment Agency in design

process.
2E
B2 - 16
Failure to secure Council commitment to fund the 'local

contribution' RISK CLOSED
Scheme fails
Seek early Cabinet approval of local contribution and

ensure Capital Programme 3-year budget planning takes
account of scheme
12 E
B2 - 17
Inflation rates exceed estimates
Escalation of scheme costs
Ongoing monitoring of inflation rates and forecasting of

impact on scheme costs
6E
B2 - 18
Forced property purchase under CPO rules leads to more

property being acquired than forecast
Early negotiation of land/property acquisition
8E
B2 - 19
Unforeseen Environment Agency management plan

requirements
Early involvement of Environment Agency in design

process.
9E
B2 - 20
Unforeseen flora and fauna (e.g. Japanese Knotweed)
Additional surveys to identify early
6E
B2 - 21
Discovery of unforeseen protected species

in costs
Subsequent stages of EIA analysis will address
6E
B2 - 22
Secretary of State rejects scheme
Scheme fails
Ensure robust procedures in place to deal with statutory

order applications
8E
B2 - 23
Inflation included in base estimate incorrect
12
Included within QRA so if risk materialises funds are

available
9E
B3.
Procurement and Delivery
B3 - 1
Economic conditions elevate the cost of construction

significantly
Transfer risk to contractor agreeing a fixed contract cost
4C
B3 - 2
Difficulty in engaging a contractor to construct the scheme

RISK CLOSED

in costs
Appointment of Framework Contractor - ECI in design

process.
4E
B3 - 3
Changes in national or EU procurement policy leading to new

procurement approach RISK CLOSED

in costs
Accept outside of control of Walsall MBC, but procurement

timetable to be accelerated
2E
B3 - 4
Unrealistic programming of scheme procurement RISK

CLOSED

in costs
Realistic planning in conjunction with framework

contractor.
2E
B3 - 5
Additional management of contractual disagreements

in costs
Minimise threat of disagreements through ECI
5E
B3 - 6
Standards change during/after design completed RISK

CLOSED

in costs
Awareness of any proposed changes and any open

consultations
6E
Status
Sep-11
Closed
Closed
Closed
Closed
Closed
Closed

Closed

= no change
= worse
= better
Impact of Risk
(on the project)
Score 1 - 4
Inherent Risk
Likelihood
(of risk occurring)
Score 1 - 6
Proximity
TOTAL
Score
Prep
(P)
Short
(ST)
Med
(MT)
Action
Impact of Risk
(on the project)
Score 1 - 4
TOTAL
Score
Risk Owner
Employer (E)
or
Contractor (C)
Risk Ref.
Risk Factor
B3 - 7
Changes in legislation

in costs
Awareness of any proposed changes and any open

consultations
6E
B4.
Contractor Construction Risks
B4 - 1
Abnormal weather during earthworks (non-exceptional event)
Works temporarily halted - delay incurred

and cost increase
Accept beyond control of contractor, but risk management

plan to be developed in case risk materialises
9C
B4 - 2
Water/ground pollution from run off from excavations, diesel

spillage, etc.
Delay to programme and increase in costs
Make contractor aware of risk. Contractor to develop risk

action plan
9C
B4 - 3
Control of transport and site vehicle traffic
Potential for accidents and delay

action plan
6C
B4 - 4
Physical security of site during construction, Direct Protester

Action or vandalism
10

action plan
10 C
B4 - 5
Site security and storage of materials, especially hazardous

materials
Potential for accidents and delay

action plan
9C
B4 - 6
Potential nuisance for local people such as noise, dust on

roads
Additional time to deal with complaints
10

action plan
10 C
B4 - 7
Failure to meet stakeholder access requirements
Additional time to deal with complaints and

increased costs

action plan
8C
B4 - 8
Interface with third parties e.g. British Waterways and Network

Rail
Additional time to deal with complaints and

increased costs

action plan
8C
B4 - 10
HSE Requirements new regulations
Additional training, delay and cost
12

action plan
12 C
B4 - 11
Delays to programme due to non-performance of supplier or

sub-contractor failure
12

action plan
12 C
B4 - 12
Lack of local resources, materials or suitable skilled workforce
Resources, materials or labour to be

sourced from outside area at greater cost
12

action plan
12 C
B4 - 13
Protection and access to neighbouring buildings, structures

and other material assets, and adjacent developments

action plan
9C
B4 - 14
Waste management / disposal by licensed carriers to licensed

tips
Additional cost to be borne by contractor

action plan
9C
B4 - 15
Different construction start date within the year from tender

assumption (caused by changes to Contractor's programme
due to circumstances within his control)

action plan
9C
B4 - 16
Visual impact / nuisance from site compounds. (Quantification

included in B4 - 6.)
10

action plan
10 C
B4 - 17
Planting season not achieved as per programme

action plan
6C
B4 - 18
Remedial works during construction

action plan
8C
B4 - 18A
Remedial works after construction

action plan
8C
B4 - 18B
Disallowed costs

action plan
8C
B4 - 19
Design Issues regarding temporary works

action plan
4C

Long
(LT)
Residual Risk
Likelihood
(of risk occurring)
Score 1 - 6
Status
Sep-11

= no change
= worse
= better
Impact of Risk
(on the project)
Score 1 - 4
Inherent Risk
Likelihood
(of risk occurring)
Score 1 - 6
Proximity
TOTAL
Score
Prep
(P)
Short
(ST)
Med
(MT)
Action
Impact of Risk
(on the project)
Score 1 - 4
TOTAL
Score
Risk Owner
Employer (E)
or
Contractor (C)
Risk Ref.
Risk Factor
B4 - 20
Ground Conditions unforeseen RISK CLOSED
12

action plan
12 C
B4 - 21
Additional GI required

action plan
9C
B4 - 22
Groundwater over and above allowed in target

action plan
9C
B4 - 23
Use of partially complete works causing damage
Remedial works required. Cost escalation.
12

action plan
12 C
B4 - 24
Phasing of sections of the works in order to reduce impact on

traffic and local business

action plan
4C
B4 - 25
Temporary configuration of traffic signals to suit method of

working

action plan
4C
B4 - 26
Additional pedestrian traffic management

action plan
4C
B4 - 27
Excavated material not suitable for inclusion in works (e.g.

backfill of drainage trenches)

action plan
8C
B4 - 28
Selection of excavated material not practical due to space

constraints

action plan
3C
B4 - 29
Temporary surfacing to widened areas of carriageway to

facilitate phasing and traffic management proposals

action plan
3C
B4 - 30
Piling increased costs / delays due to obstructions and piling

design changes
12

action plan
12 C
B4 - 31
Unforeseen ground conditions - formation does not achieve

design CBR (strength / stability of the sub-grade) Soft
spots/soft areas at formation

action plan
8C
B4 - 32
Quantities incorrect

action plan
4C
B4 - 33
Pricing and rates incorrect

action plan
4C

Long
(LT)
Residual Risk
Likelihood
(of risk occurring)
Score 1 - 6
Status
Sep-11
Closed

= no change
= worse
= better

Appendix 3.8a Risk Register

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Appendix 3.8a Risk Register

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Formats disponibles

Walsall DSDA Access Project BAFFB Sep 2011

Darlaston SDA Access Project (BAFFB Scheme)

Risk Register Ver 6.0

Last amended: 04/09/11

Scheme Development Risks

Objections from British Waterways leading to Public Inquiry

Delay to programme and probable increase

Regular liaison with objectors throughout design process

British Waterways insist on canal closure

Delay to programme resulting from phased

Early liaison with British Waterways and their stakeholders

Objections from English Heritage leading to Public Inquiry

Delay to programme and probable increase

Consult directly prior to submission of business case.

Objections from Highways Agency leading to Public Inquiry

Delay to programme and probable increase

Regular liaison with objector throughout design process

Objections from English Nature leading to Public Inquiry

Delay to programme and probable increase

Consult directly prior to submission of business case.

Objections from Network Rail leading to Public Inquiry

Delay to programme and probable increase

Regular liaison with objector throughout design process

Objections from Environment Agency leading to Public Inquiry

Delay to programme and probable increase

Regular liaison with objector throughout design process

Objection from Severn Trent Water leading to Public Enquiry

Delay to programme and probable increase

Consult directly prior to submission of business case.

Objections from pressure groups e.g. Friends of the Earth

Delay to programme and negative public

If objections arise, engage through agreed consultation

Scheme doesn't attract regional support in forthcoming RFA2

Delay to programme and probable increase

Submit robust RFA application & champion scheme

Objections from people who have relatives buried near to site

Delay to programme and probable increase

Liaise with Bereavement Services to minimise potential

Requirement for variable demand modelling to be undertaken

Delay to programme and increase in cost

Assess need for VDM prior to business case submission

Implementation of Infrastructure Improvements

Part 1 claims actual costs significantly exceed estimates

Increasing costs on fixed funding approval

Early negotiation with land/property owners and provision

Land compensation costs significantly exceed estimates

Increasing costs on fixed funding approval

Early negotiation with land/property owners and provision

Noise insulation actual costs significantly exceed estimates

Increasing costs on fixed funding approval

Provision of a contingency budget

Statutory undertakers diversion costs unacceptably high

Uneconomic costs resulting in scheme

Consult with statutory undertakers in line with

Statutory undertakers C4 cost estimates significantly exceed

Increasing costs on fixed funding approval

Liaise with statutory undertakers and early commission of

Significantly uncharted services found

Delay to programme and probable increase

Availability of contingency budget.

Contaminated land found in unexpected locations

Delay to programme and probable increase

Robust programme of site investigation and ongoing

Excavation reveals contaminate levels are higher than