SWALE BOROUGH COUNCIL

MILTON CREEK LANDSCAPE PROPOSALS

YEAR 3 TENDER RISK REGISTER Updated 28-May-10

Rating = vh / h / m / l / vl

Probability

Impact
Cat. No. Description Cause Impact BRAG Risk Management Risk Mitigation Allocation

General description of the Risk event
that results in a loss and how we will
know when it has or is occurring (list
taken from RICS New Rules of
Measurement pro-forma)
DD Design Development Risks
What events are likely to lead to the Risk The actual loss that will occur as a result Management of the causes of the Risk in Mitigation being the formulation of a plan Employer /
occurring ? of the Risk - in terms of the extra time, the expectation of reducing their chance to deal with the impact once the Risk Contractor
additional cost and quality of end product of happening event has occurred (incl. Early Warning &
(incl. Compensation Events to NEC Compensation Events within NEC
contract) contract)

DD 1 Inadequate or unclear project brief 0 ISSUE - Tender Documents completed Employer

DD 2 Unclear design team responsibilities 0 ISSUE - Tender Documents completed Employer

DD 2 Unclear design team responsibilities 0 ISSUE - Tender Documents completed Employer

DD 3 Unrealistic design programme 0 ISSUE - Tender Documents completed Employer

DD 4 Ineffective quality control procedures 0 ISSUE - Tender Documents completed Employer

DD 5 Inadequate site investigate Insufficient information to inform design Abortive design - delay to design 0 ISSUE - All available site information Employer
development development gathered by Design Team and incorporated
into Site Information in Tender Documents

DD 6 Planning constraints / requirements Discharge of Conditions for CMCP Potential delay to award of Contract whilst m m 14 Ongoing discussions with Planners and Re-design of proposals Employer
proposals delayed / unsuccessful awaiting approvals application submitted in due time

DD 6 Planning constraints / requirements Planning Application requirements for SSW Potential delay to award of Contract whilst m h 19 Ongoing discussions with Planners and Re-design of proposals / Re-phase element Employer
work delayed / unsuccessful awaiting approvals application submitted in due time of site into separate period

DD 6 Planning constraints / requirements Planning Application / Change of Use Potential delay to award of Contract whilst m h 19 Ongoing discussions with Planners and Re-design of proposals / Re-phase element Employer
requirements for part of CMCP work delayed awaiting approvals application submitted in due time of site into separate period
/ unsuccessful (Phase 6 area)
DD 6 Planning constraints / requirements Failure to achieve approval for crossing Potential delay to award of Contract whilst vh m 17 Ongoing discussions with Statutory Authority Re-design of proposals Employer
points over SKLR, which need to comply awaiting approvals
with the requirements of The Railway Act
DD 6 Planning constraints / requirements Failure to achieve approval and licences for Potential delay to award of Contract whilst m m 14 Ongoing review and approval with relevant Re-design of proposals / Re-phase element Employer
works as noted in the Tender Documents awaiting approvals bodies of site into separate period

DD 7 Soundness of design data Confirmation of viability of existing soils for Potential re-design of proposals with m m 14 Contractor to complete sampling and testing Design mitigation Employer
proposed planting and seeding potential delay and associated costs to enable review of specification by
Consultants
DD 8 Appropriateness of design 0 ISSUE - Tender Documents completed Employer
(constructionability)
DD 9 Degree of novelty (i.e. design novelty) 0 ISSUE - Tender Documents completed Employer

DD 10 Ineffective design co-ordination 0 ISSUE - Tender Documents completed Employer

DD 11 Reliability of area schedules 0 ISSUE - Tender Documents completed Employer

DD 12 Reliability of estimating data 0 ISSUE - Tender Documents completed Employer

13999 / Page 3 / 1 28/05/2010

SWALE BOROUGH COUNCIL
MILTON CREEK LANDSCAPE PROPOSALS

YEAR 3 TENDER RISK REGISTER Updated 28-May-10

Rating = vh / h / m / l / vl

Probability

Impact
Cat. No. Description Cause Impact BRAG Risk Management Risk Mitigation Allocation

DD 13 Use of Provisional Sums (i.e. do not give Overlap in design development & Instructions for expenditure of Provisional h m 15 Minimise Provisional Sum allowances Cost Control of allowances during Employer
price certainty) procurement programme Sums - potential additional time & cost through design development. Timely construction stage through Early Warning /
Instruction of allowances during construction Compensation Event process - re-design /
stage through Compensation Event process. specify works to minimise additional costs.
(N.B. Provisional Sums included within
Tender Documents as part of the Works
Information)

ER 13a Use of Provisional Sums (i.e. do not give F11 - Railway Crossing signage Employer
price certainty)

ER 13b Use of Provisional Sums (i.e. do not give F15 - Miscellaneous Art Projects; Employer
price certainty) including co-ordination of work by Artist

ER 13c Use of Provisional Sums (i.e. do not give F16 - Fix only Interpretation Boards Employer
price certainty) supplied by the Employer

ER 13d Use of Provisional Sums (i.e. do not give F17 - Interpretation Points Employer
price certainty)

ER 13e Use of Provisional Sums (i.e. do not give F18 - Interpretation Panel fixed to wall Employer
price certainty)

ER 13f Use of Provisional Sums (i.e. do not give F19 - Tide Marker Employer
price certainty)

ER 13g Use of Provisional Sums (i.e. do not give F20 - Bird Hide Employer
price certainty)

ER 13h Use of Provisional Sums (i.e. do not give SE1 - SE2 Diversion / removal of existing Employer
price certainty) service pipework by Specialist Sub-
Contractor
ER 13i Use of Provisional Sums (i.e. do not give Miscellaneous Builders Works as noted Employer
price certainty) in the Bills of Quantities

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SWALE BOROUGH COUNCIL
MILTON CREEK LANDSCAPE PROPOSALS

YEAR 3 TENDER RISK REGISTER Updated 28-May-10

Rating = vh / h / m / l / vl

Probability

Impact
Cat. No. Description Cause Impact BRAG Risk Management Risk Mitigation Allocation

CR Construction Risks

CR 1 Inadequate site investigation Lack of available information / investigations Potential variation in design / construction l m 11 Site Information incorporated into Tender Notification of difference between physical Employer /
methodology with associated delay to Documents conditions and Site Information dealt with Contractor
progress on site through Compensation Event process
CR 2 Archaeological remains Information not apparent on site Additional work in removing artefacts and l m 11 Notification of County Archaeological Office Notification of difference between physical Employer
investigation potential delay to progress for monitoring site works conditions and Site Information dealt with
through Early Warning process
CR 3 Underground obstructions Information not apparent from general site Additional work in removing obstructions m m 14 Provision of Site Information puts contractual Notification of difference between physical Contractor
inspection risk onto Contractor conditions and Site Information dealt with
through Early Warning process
CR 4 Contaminated ground Contamination alongside SKLR within Alteration works to existing services m m 14 Provisional Sum included in Tender Contractor to manage works on site Contractor
Country Park due to existing over and including appropriate disposal of materials Documents for works by Specialist Sub- following instruction and employment of
underground services off site - additional costs contractor (see ER 26h) suitably qualified sub-contractor
CR 4 Contaminated ground Contaminated ground within the Country Accidents & injuries - claims from Third m m 14 Site Information to be considered within the Re-design works to avoid contamination Employer /
Park from previous use of site Parties Contractor's Construction Stage Health & issues / Ensure Method Statements Contractor
Safety Plan and Method Statements (see adequately highlight issues
also CR 30)
CR 4 Contaminated ground Milton Creek clean-up requiring access onto Provision of access with possible delay to l l 5 Access to site to be negotiated between Contractor to notify Employer of delays Employer /
or through CMCP site area progress on site Contractor and Employer's Direct Contractor caused by third parties and affect on agreed Contractor
programme through Early Warning process

CR 5 Adjacent structures (i.e. requiring special KCC Waste Transfer Station requires Abortive design / work on site m l 8 Employer to negotiate with KCC and confirm Omission of work from contract Employer
precautions) additional space for expansion site boundaries
CR 6 Geotechnical problems (e.g. mining and 0 ISSUE - None known Contractor to notify Employer of hazards Employer
subsidence) found through Early Warning process
CR 7 Ground water Awaiting confirmation of groundwater issues Additional cost and delay to completion of m l 8 Additional Site Information to be provided by Contractor to notify of change to Employer
works on site Engineers methodology through Early Warning process

CR 8 Asbestos and other hazardous materials Suspected asbestos in service pipes to Additional cost and delay to completion of m l 8 Contractor to employ specialists to assess Contractor to notify Employer of hazards Contractor
SKLR (diversion of services included as works on site service diversions and complete asbestos found through Early Warning process
Provisional Sum) survey at relevant time
CR 9 Invasive plant growth 0 ISSUE - None known Contractor to notify Employer of hazards Employer
found through Early Warning process
CR 10 Tree preservation orders 0 ISSUE - None known Employer

CR 11 Ecological issues (e.g. presence of Ecological Impact of proposals for Delay to design development & m m 14 Proposals being reviewed by Consultants Design mitigation Employer
endangered species) development of CMCP consequential delay to procurement and with Natural England
construction
CR 12 Environmental impact Environmental Impact of proposals for Delay to design development & l l 5 Proposals being reviewed by Consultants Design mitigation Employer
development CMCP consequential delay to procurement and with all Statutory bodies
construction
CR 13 Physical access to site (i.e. restrictions Employer fails to give access on the date Delay to Date of Completion l m 11 Employer to ensure all access and legal Notification of delay caused through Early Employer
and limitations) noted in the Contract Data (including land arrangements in place prior to access date Warning process
owned by others - SKLR & Phase 6 area)
CR 13 Physical access to site (i.e. restrictions SNRR Contract works Sept-09 to Dec-10 Increase contract period and additional cost vh m 17 Contractor to liaise with SNRR Contractor Contractor to notify Employer of delays Contractor
and limitations) which will constrain access to parts of the for managing access (Jacksons Engineering) to agree shared caused by third parties and affect on agreed
Country Park access from Saffron Way, site compound programme through Early Warning process
location and crossing points on haul road
CR 14 Existing occupancies / users 0 ISSUE - None known Employer

CR 15 Restricted working hours / routines Working adjacent to existing buildings Increase contract period and additional cost h l 9 Contractor to conform with noise restrictions Employer's Environmental Health Officer to Contractor
for site management identified in the Tender Documents monitor site works and complaints and
(Preliminaries) instruct contractor accordingly

13999 / Page 3 / 3 28/05/2010

SWALE BOROUGH COUNCIL
MILTON CREEK LANDSCAPE PROPOSALS

YEAR 3 TENDER RISK REGISTER Updated 28-May-10

Rating = vh / h / m / l / vl

Probability

Impact
Cat. No. Description Cause Impact BRAG Risk Management Risk Mitigation Allocation

CR 16 Maintaining access Rights of way / access for users of adjacent Increase contract period and additional cost h l 9 Contractor to conform with access Employer and Contractor to monitor issues Contractor
buildings for site management requirements identified in the Tender and redefine access requirements if
Documents (Preliminaries) necessary
CR 17 Maintaining existing services Some service pipes remain and could Increase contract period and additional cost l m 11 Contractor to take consideration of Site Notification of difference between physical Contractor
constrain space for site management Information plus all other readily available conditions and Site Information dealt with
information through Early Warning process
CR 18 Additional infrastructure - - #N/A ISSUE - None known Design mitigation Employer

CR 19 Existing services (i.e. availability, capacity, - - #N/A ISSUE - None known Design mitigation Employer
condition and location)
CR 20 Location of existing services Inaccurate Site Information Additional work - delay to Date of m l 8 Notification of difference between physical Design mitigation Employer
Completion and additional costs conditions and Site Information dealt with
through Early Warning process
CR 21 Relocation of existing services Services located in position inhibiting the Additional work - delay to Date of l m 11 Planned relocations incorporated as Notification of difference between physical Employer /
development of the CMCP Completion and additional costs Provisional Sum in Tender Documents conditions and Site Information dealt with Contractor
through Early Warning process
CR 22 Statutory undertakers Poor performance of relevant companies Delay to Date of Completion and additional l m 11 Contractor to liaise with relevant parties and Contractor to notify Employer of delays Contractor
completing work for the Contractor cost manage works on site caused by third parties and affect on agreed
programme through Early Warning process

CR 23 Uncertainty over the source and Specification of non-standard materials / Delay in procurement of materials l l 5 Contractors to notify works for which they Contractor
availability of materials imported materials are unable to tender prior to the date for
return of Tenders
CR 24 Appropriateness of specifications - - #N/A ISSUE - Tender Documents completed Employer

CR 25 Incomplete design Discrepancies in design detail & inclusion of Design mitigation - possible delay to Date m l 8 Review of design by all parties and prompt Notification of discrepancies to be dealt with Employer
Provisional Sums for Completion and additional costs instruction of Provisional Sums through Early Warning process
CR 26 Weather and seasonal implications Inclement weather preventing operations to Delay to Date of Completion l l 5 Contractor to monitor weather in accordance Contractor to notify of exceptionally adverse Contractor
allow seeding works, planting, etc. at the with the contract requirements weather through Early Warning process
appropriate time
CR 27 Industrial relations 0

CR 28 Remote site 0 ISSUE - Tender Documents completed Contractor

CR 29 Competence of Contractor and Sub- Poor procurement / selection process Failure to meet contractual requirements - l l 5 Contractor to adopt robust supply chain Replace suppliers / sub-contractors if Contractor
contractors (POOR PERFORMANCE) delay to Date of Completion procurement and management. Employer to necessary
review and approve selected suppliers / sub-
contractors where specifically required by
the Specification
CR 29 Competence of Contractor and Sub- Poor procurement / selection process of Failure to meet Main Contractors programme l l 5 Employer to review and approve selected Contractor to notify Employer of delays Employer
contractors Employer's Direct Works contractors and deadlines - delay to Date of Completion suppliers / sub-contractors caused by third parties and affect on agreed
sub-contractors (POOR PERFORMANCE) Project Manager to monitor progress and programme through Early Warning process
instruct changes to programme as necessary

CR 30 Health and Safety (referenced to Lack of information available from recent Inability to plan for inherent hazards l h 16 Employer to provide further details for Re-design works to avoid contamination Employer /
Designer's Risk Assessments) remediation works (LMS 3 & 7, ABA 2) incorporation in Contractor's Construction issues / Ensure Method Statements Contractor
Stage Health & Safety Plan and Method adequately highlight issues
Statements

13999 / Page 3 / 4 28/05/2010

SWALE BOROUGH COUNCIL
MILTON CREEK LANDSCAPE PROPOSALS

YEAR 3 TENDER RISK REGISTER Updated 28-May-10

Rating = vh / h / m / l / vl

Probability

Impact
Cat. No. Description Cause Impact BRAG Risk Management Risk Mitigation Allocation

CR 30 Health and Safety (referenced to Poor H&S management on site of the Accidents & injuries - claims from Third 0 Contractor to implement rigorous H&S plans Contractor
Designer's Risk Assessments) following hazards (POOR PERFORMANCE) Parties and procedures to ensure all relevant
hazards are managed
CR 30a Health and Safety (referenced to LMS 1 Slipping or falling down m m 14 Contractor
Designer's Risk Assessments) embankment slopes, ditches, water
bodies or holes
CR 30b Health and Safety (referenced to LMS 2 Personnel being hit by vehicles or l h 16 Contractor
Designer's Risk Assessments) other machinery whilst on foot
CR 30c Health and Safety (referenced to LMS 4 Uncontrolled access to the site by m m 14 Contractor
Designer's Risk Assessments) members of the public
CR 30d Health and Safety (referenced to LMS 5 Use of machinery and tools by m h 19 Contractor
Designer's Risk Assessments) untrained workers / volunteers
CR 30e Health and Safety (referenced to LMS 6 Use of chemicals in land l m 11 Contractor
Designer's Risk Assessments) management by untrained workers /
volunteers
CR 30f Health and Safety (referenced to ABA 1 Working over or adjacent to l h 16 Contractor
Designer's Risk Assessments) existing live services
CR 30g Health and Safety (referenced to ABA 3 Working in or close to deep m h 19 Contractor
Designer's Risk Assessments) excavations
CR 30h Health and Safety (referenced to ABA 4 Lifting of heavy weights / l m 11 Contractor
Designer's Risk Assessments) materials
CR 30i Health and Safety (referenced to ABA 5 Working close to water m m 14 Contractor
Designer's Risk Assessments)
CR 30j Health and Safety (referenced to SFL 1 Site set-up, segregation and h l 9 Contractor
Designer's Risk Assessments) vehicle movements - shared access
CR 30k Health and Safety (referenced to SFL 2 Existing site restraints - landfill, h l 9 Contractor
Designer's Risk Assessments) adjacent housing, previous use of site
CR 30l Health and Safety (referenced to SFL 3 Site survey and investigation - m l 8 Contractor
Designer's Risk Assessments) haul road, adjacent users, etc.
CR 30m Health and Safety (referenced to SFL 4 & 5 Ecological & site clearance h l 9 Contractor
Designer's Risk Assessments) works - landfill debris, existing services,
etc.
CR 30n Health and Safety (referenced to SFL 6 Existing services - location, m l 8 Contractor
Designer's Risk Assessments) contamination, etc.
CR 30o Health and Safety (referenced to SFL 7 Drainage (new & existing) - l l 5 Contractor
Designer's Risk Assessments) excavations, handling & lifting, etc.
CR 30p Health and Safety (referenced to SFL 8 & 9 Excavations & sub-base h m 15 Contractor
Designer's Risk Assessments) construction - methods of working,
contamination, etc.
CR 30q Health and Safety (referenced to SFL 10 to 13 Kerbs, edgings, paving & m m 14 Contractor
Designer's Risk Assessments) wall construction - methods of working,
manual handling & lifting, etc.
CR 30r Health and Safety (referenced to SFL 13 & 14 Fencing, decking, bridge l m 11 Contractor
Designer's Risk Assessments) works - methods of working, welding /
cutting, etc.
CR 30s Health and Safety (referenced to SFL 15 & 16 Street furniture, play m m 14 Contractor
Designer's Risk Assessments) equipment - methods of working, welding
/ cutting, painting, etc.
CR 30t Health and Safety (referenced to SFL 17 Electrical works - methods of l h 16 Contractor
Designer's Risk Assessments) working, testing, etc.
CR 30u Health and Safety (referenced to SFL 18 - 20 Planting & seeding, m m 14 Contractor
Designer's Risk Assessments) management & maintenance works -
methods of working, chemicals, etc.

13999 / Page 3 / 5 28/05/2010

SWALE BOROUGH COUNCIL
MILTON CREEK LANDSCAPE PROPOSALS

YEAR 3 TENDER RISK REGISTER Updated 28-May-10

Rating = vh / h / m / l / vl

Probability

Impact
Cat. No. Description Cause Impact BRAG Risk Management Risk Mitigation Allocation

CR 31 Ineffective quality management Lack of site supervision by Employer's Failure to meet Employer's expectations / l l 5 Employer to provide further details for Employer
procedures representatives quality satisfaction incorporation in Contractor's Construction
Stage Health & Safety Plan and Method
Statements
CR 31 Ineffective quality management Poor quality management by Contractor's Failure to meet Employer's expectations / 0 Contractor to implement rigorous Quality Contractor
procedures supervisors (POOR PERFORMANCE) quality satisfaction Management plans and procedures
CR 32 Phasing requirements (e.g. occupation Completion of work in sections Out of sequence working - increase contract l l 5 Employer to confirm preferred phasing prior Contractor to provide and manage Employer
and decanting) period and additional cost for site to commencement of the works if required programme of works to mitigate delays
management
CR 33 Ineffective handover procedures Poor process management by Contractor / Dely to Date of Completion 0 Contractor & Project Manager to agree Employer /
Project Manager / Supervisors (POOR handover procedures well in advance of Contractor
PERFORMANCE) proposed completion date
CR 34 Disputes and claims POOR PERFORMANCE 0 Employer /
Contractor
CR 35 Effect of changes / variations on Employer driven changes / variations Design mitigation - possible delay to Date m m 14 Manage the Early Warning / Compensation Agree extension to programme of works and Employer
construction programme introduced during the construction stage for Completion and additional costs Event process to minimise effect of revised Comletion Date
variations
CR 36 Cumulative effect of numerous changes / Employer driven changes / variations Design mitigation - possible delay to Date l l 5 Manage the Early Warning / Compensation Agree extension to programme of works and Employer
variations on construction programme introduced during the construction stage for Completion and additional costs Event process to minimise effect of revised Comletion Date
variations
CR 37 Defects Ineffective quality management procedures Rectification of defective works 0 Contractor to implement rigorous Quality Defects prior to Completion and during Contractor
(POOR PERFORMANCE) Management plans and procedures Defects Period to be notified and rectified in
accordance with the contract
CR 38 Accidents / injury Poor H&S management on site (POOR Accidents & injuries - claims from Third 0 Contractor to implement rigorous H&S plans Contractor
PERFORMANCE) Parties and procedures to ensure all relevant
hazards are managed
EC Employer Change Risks
EC 1 Specific changes in requirements Change in scope of works or project brief Additional design, procurement and l m 11 Manage the Early Warning / Compensation Contingency Sum held by SBC outside Employer
during pre-construction and construction construction time; abortive and additional Event process to minimise effect of Contract Sum
stages costs to consultants and contractors variations
EC 2 Changes in quality Change in specification of materials and Abortive supply orders & work - delay to l m 11 Manage the Early Warning / Compensation Contingency Sum held by SBC outside Employer
workmanship Date of Completion and additional costs Event process to minimise effect of Contract Sum
variations
EC 3 Changes in time Change in programme requirements noted in Delay to Date of Completion / Acceleration l m 11 Manage the Early Warning / Compensation Contingency Sum held by SBC outside Employer
Contract Data required to meet earlier Completion Event process to minimise effect of Contract Sum
variations
EC 4 Specific changes in requirements Employer driven changes / variations Delay to Date of Completion and additional l m 11 Manage the Early Warning / Compensation Contingency Sum held by SBC outside Employer
introduced during the construction stage cost Event process to minimise effect of Contract Sum
variations
EC 5 Effect on construction duration (i.e. impact Employer driven changes / variations Delay to Date of Completion and additional l m 11 Manage the Early Warning / Compensation Contingency Sum held by SBC outside Employer
on date for completion) introduced during the construction stage cost Event process to minimise effect of Contract Sum
variations
EC 6 Cumulative effect of numerous changes Large number of minor variations to contract Delay to Date of Completion and additional l m 11 Manage the Early Warning / Compensation Contingency Sum held by SBC outside Employer
works cost Event process to minimise effect of Contract Sum
variations

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