Risk Register

Project name: Highway and Environmental Improvement Project: Construction Risks

Project manager: Marion Reinz D. Malubag

ID Date raised Risk description

Likelihood of the risk

occurring

1 July'05 Insufficient or incomplete

design elements
Medium

2 July'05 Delay in placing orders by

LCC for any stats diversions
which causes prolonged
construction period and Medium
phasing issues

3 July'05 Delay in placing Order for the

works with the
Contractor and knock-on
effect to Utilities work High

4 July'05 Procurement of materials and

lead in times
Medium

5 July'05 Overrun of ECI Programme

or incomplete ECI
process leading to delayed
start Medium
6 July'05 Late issue of instructions

Low

7 July'05 Early Warning and

Compensation Event Cost
and
Programme Management Medium

8 July'05 Site security - vandalism to

plant, materials and site
offices
High

9 July'05 Accident or injury to site

personnel causes delay or
claims
Medium

10 July'05 Accident or injury to general

public - either pedestrian or
through road traffic accident
Medium

11 July'05 Suspension of Works during

heavy rainfall or cold periods;
inadequate protection to
fnished works, flooded Medium
excavations etc

12 July'05 Implications of Traffic

Management on Winter
Gritting Routes and who
takes responsibilities for both Medium
footway and carriageway
areas.
13 July'05 Poor quality materials - delay
due to rejection of materials
Medium
14 July'05 Poor quality workmanship

High

15 July'05 Late re-opening/removal of

Traffic Management from the
highway
Medium

16 July'05 Interface with adjoining

contracts causes delays to
completion/start of work
phases eg Hall Lane High
interface.

17 July'05 Delayed completion of the

Works
High

18 July'05 Impact of major events

Medium

19 July'05 Late materials delivery

Medium

20 July'05 Client instructed change

Medium

21 July'05 Change arising from errors in

design
Low
22 July'05 Uncharted and unknown
services
High

23 July'05 Statutory Undertakers

diversions - delays in
performance; estimated
timescales unrealistic; cost Medium
overruns

24 July'05 Statutory Undertakers repairs

and planned maintenance
works interfere with
construction programme. Medium
(Note this could be on any
traffic diversionary route)
25 July'05 Contaminated ground

High

26 July'05 Excessive hard dig / breakout

Low

27 July'05 Buried structures (tram rails,

etc)
High

28 July'05 Bituminous laminations after

planing
Medium

29 July'05 Old Stats Trenches that

require reinstatement before
surfacing
Medium
30 July'05 Unexploded bombs

Low

31 July'05 Additional working

requirement for night time
and weekend shifts in
sensitive areas to minise Low
traffic management impact

32 July'05 Police suspension of works

Low

33 July'05 Noise

Medium

34 July'05 Dust

High

35 July'05 Vibration Damage

Low

36 July'05 Timescales for Tree removals

and pruning
Low

37 July'05 Ecology, Bats and Other

Fauna and Flora
Medium
38 July'05 Failure to secure provisional
or early orders.
Low

39 July'05 Stage 3 Safety Audit

identifies additional works
Medium

40 July'05 Delays in getting LCC

approval for demolitions
Medium

41 July'05 Delays in obtaining EA

approval for remediation
works to Petrol Station
Medium

42 July'05 Delays in obtaining Listed

Building / Conservation
Officer approval for
accomodation works Low
materials and workmanship

43 July'05 Delays in obtaining waste

management and transfer
licences for demolition
arisings Low

44 July'05 Delays in TM approvals from

LCC for TTRO's /
footway closures and tie in
works Medium
roject: Construction Risks

Owner
Person who will manage
Severity the risk.
Impact if the risk occurs Rating based on
impact & likelihood.

Project Manager

Medium Medium

Project Manager

High High

Contractor

High High

Contractor

High High

Contractor

High High
 Contractor and Project
Manager

High Medium

Project Manager

High High

Contractor and Project

Manager

High High

Contractor

Medium Medium

Contractor

Low Low

Contractor

Medium Medium

Contractor

Medium Medium

Contractor

High High
 Contractor

Medium High

Contractor

High High

Contractor

High High

Contractor

High High

Contractor

Medium Medium

Contractor

High High

Contractor

High High

LCC

High Medium
 Contractor

High High

Contractor

High High

Contractor

High High

Contractor

High High

Contractor

High Medium

Contractor

Low Medium

Contractor

Medium Medium

Contractor

Medium Medium
 Contractor

High Medium

Contractor

High Medium

Contractor

Medium Low

Contractor

Medium Medium

Contractor

Medium Medium

Contractor

Medium Low

Contractor

Medium Low

Contractor

Medium Medium
 Contractor

Medium Low

Contractor

Medium Medium

Contractor and
Project Manager
High High

Contractor

High High

Contractor

High Medium

Contractor

High Medium

Contractor

Medium Medium
Mitigating action Contingent Progress on Status
Actions to mitigate the risk e.g. action actions
reduce the likelihood. Action to be
taken if the risk
happens.

ECI process should aim to Redesign the Verifying design Open

eliminate these and ensure all errors details
details are provided and
accounted for

Funds released in advance of Contact in Verifying design Open

construction to faciliate placing of Charge. A.s.a.p, details
orders. Close monitoring of
programme for each package,
with liaison and co-ordiantion of
utilties

Consider alternatives to enable Contact in Verifying design Open

early Stats Work to be Charge. A.s.a.p, details
undertaken, Possibility that
Contractor could underwrite
Utilities costs ?

Close Liaison and dedicated Contact in Verifying design Open

Utilities Co- ordinator for all stats Charge. A.s.a.p, details
works

Contractor to enagage supply Contact in Verifying design Open

chain in sufficient time and during Charge. A.s.a.p, details
ECI process.
Agree suitable programme and Contact in Verifying design Open
manage costs and timescales to Charge. A.s.a.p, details
milestones

Site procedures to be defined by Contact in Verifying design Open

Contractor and regular design Charge. A.s.a.p, details
reviews to be undertaken.

System to be established such Contact in Verifying design Open

that financial and cost Charge. A.s.a.p, details
management risk of un-liabilitised
costs is minimal and forecasts are
accurate

Ensure availability of suitable site Contact in Verifying design Open

compound area and 24hr security Charge. A.s.a.p, details

Suitable Construction H&S Plan in Contact in Verifying design Open

place together with site safety Charge. A.s.a.p, details
procedures. Continuous
monitoring and regular tool box
talks.

Suitable Construction H&S Plan in Contact in Verifying design Open

place together with site safety Charge. A.s.a.p, details
procedures. Continuous
monitoring and regular community
liaison and publicity.

Contractor to take necessary Contact in Verifying design Open

protection to completed works. Charge. A.s.a.p, details
Programme to have built in
allowance for some adverse
weather.

Contractor to undertake close Contact in Verifying design Open

liaison with Enterprise to ensure Charge. A.s.a.p, details
that Winter maintenenace is
maintained through roadworks
Sources of materials checked and Contact in Verifying design Open
from reputable companies. Charge. A.s.a.p, details
Advance ordering in bulk to
ensure consistency and
availablity. Site checks to be
undertaken at Suppliers Depot.

Selection of contractors will Contact in Verifying design Open

review quality and workmanship Charge. A.s.a.p, details
control Full time supervision on
site to check quality. Test Panels
will be completed in advance of
progressing large areas.

Traffic management strategy to Contact in Verifying design Open

permit long term lane closures Charge. A.s.a.p, details
and on/off daily. TM
arrangements to be agreed by
Police/LCC/Enterprise.

Ensure liaison between adjacent Contact in Verifying design Open

contracts with effect of Charge. A.s.a.p, details
construction programmes
considered in initial phasing
plans. Regular site meetings to
be held.

Tight supervision, programme Contact in Verifying design Open

monitoring and seeking recovery Charge. A.s.a.p, details
plan from Contractor at early
stage rather than later in
Contract. Provision for LD's in
Contract

Contractor to liaise with traffic Contact in Verifying design Open

management group and LCC to Charge. A.s.a.p, details
ensure any major event is
planned for and incorporated into
programme.

Sources of materials checked and Contact in Verifying design Open

from reputable companies. Charge. A.s.a.p, details
Advance ordering in bulk to
ensure consistency and
availablity.

Detailed design signed off by Contact in Verifying design Open

Client. Accommodation works Charge. A.s.a.p, details
finalised after Public Inquiry and
before ECI coommences.
Implications of any change
thoroughly reviewed before any
commitment to change.
Thorough check undertaken at Contact in Verifying design Open
end of detailed design stage. Charge. A.s.a.p, details
Safety Audit stage 2 undertaken
prior to design sign off.

Radar surveys carried out to Contact in Verifying design Open

specified lengths where planting Charge. A.s.a.p, details
envisaged. Trial trenches to be
undertaken and all service
locations accurately measured.
Revisit service details with SAs at
ECI stage. Further trenching to be
Advance
undertaken liaison prior to Contact in
and programming
by Contractor Verifying design Open
with stats. Orders placed in timeof Charge. A.s.a.p,
start on site to confirm location details
and firm commitment on lead
proposed tree pits and to identifyin
times. Detailed interface
ALL existing services between
Construction programme and
stats agreed at start of
construction contract.
Liaison with Stats. Co-ordination Contact in Verifying design Open
meetings during construction Charge. A.s.a.p, details
period between Stats/ Police /
Contractor / LCC Works
programming committee.

High probability relates to specific Contact in Verifying design Open

contamination which may be Charge. A.s.a.p, details
found at the
petrol station site and detailed
specification will be included to
deal with this known problem.
Desk top study has not revealed
Construction
any historic land of existing road to be Contact in
use problems. Verifying design Open
determined prior to contract
GI and SI underway which will Charge. A.s.a.p, details
award.
provideContractor to undertake
level of detail on required
trial trenches as
remediation. part of utilities
Procedure for
check therefore detail of
dealing with contamination to be
construction
agreed with LCC, can also
EA andbe noted.
Potential for
Contractor(s). hard dig in areas of
Road alignment
demolition designed
clearance either Contact in
- sufficient Verifying design Open
to follow existing
allowance kerb lines with Charge. A.s.a.p,
to be made. details
minimal excavation or to extend
outside existing kerb lines again
with
minimal excavation. Likelihood of
encountering tram rails only
Cores
where being
drainagetaken to determine Contact in
required. Verifying design Open
existing pavement construction. Charge. A.s.a.p, details
Overplaning may be required
which would result in only small
cost increases.
Review historic records and Contact in Verifying design Open
identify existing problem areas Charge. A.s.a.p, details

No major excavations. All land in Contact in Verifying design Open

regular use since war therefore Charge. A.s.a.p, details
likelihood of bombs low.

Sufficient allowance in Contact in Verifying design Open

programme, phasing and planning Charge. A.s.a.p, details
to be allowed for

Stated levels to be agreed with use PPE Verifying design Open

EHO and Contractor to take details
necessary steps to ensure these
levels are adhered to by using
silenced equipment etc.
Contractor to work within agreed
working day/week
Limited activity creating dust. use PPE Verifying design Open
Monitor conditions and have details
supression (damp down etc)
available to rmedy problem.

Need to carefully consider use PPE Verifying design Open

adjacent properties and structures details
and ensure appropriate propping
as required, nearby excavations

Close liaison with LCC tree officer use PPE Verifying design Open
and all timescales to accord with details
legislation and be agreed by LCC

Full habitat check to be use PPE Verifying design Open

undertaken in advance of works details
and agreed with LCC
Conservation and Ecology
Officers, to ensure no adverse
impact by proposed works
ECI form of contract will enable Contact in Verifying design Open
contractor to appreciate at an Charge. A.s.a.p, details
early stage what will be required.
Close liaison required between
Contractor and LCC.

Contingency and timescales to Contact in Verifying design Open

allow for minimal additional works. Charge. A.s.a.p, details
Stage 3 Audit to be undertaken in
advance of issuing parctical
completion

Contractor to undertake early Contact in Verifying design Open

discussions with supply chain and Charge. A.s.a.p, details
come forward with detailed
methodology to satisfy LCC
Building Control Team

Contractor to work with supply Contact in Verifying design Open

chain to establish protocols and Charge. A.s.a.p, details
agree with EA. To be developed
further during ECI period

Contractor to enagage Contact in Verifying design Open

Conservation Officer early and Charge. A.s.a.p, details
undertake trial panels in advance

Contractor to make sufficient Contact in Verifying design Open

allowance in programme and Charge. A.s.a.p, details
commence negotiations early

Early Liaison with LCC Network Contact in Verifying design Open

Management Team and Charge. A.s.a.p, details
develoment of TM drawings
during ECI process
Useful resources

Business Case Template

Assumptions Log

Project Status Template

Who is the Project Sponsor?

What is lead time?

Business Case Template

Assumptions Log

Project Status Template

Who is the Project Sponsor?

What is lead time?

Business Case Template

Assumptions Log

Project Status Template

Who is the Project Sponsor?

What is lead time?

Business Case Template

Assumptions Log

Project Status Template

Who is the Project Sponsor?

What is lead time?

Business Case Template

Assumptions Log

Project Status Template

Who is the Project Sponsor?

What is lead time?

Business Case Template

Assumptions Log

Project Status Template

Who is the Project Sponsor?

What is lead time?

Business Case Template

Assumptions Log

Project Status Template

Who is the Project Sponsor?

What is lead time?

Business Case Template

Assumptions Log
Project Status Template

Who is the Project Sponsor?

What is lead time?

Business Case Template

Assumptions Log

Project Status Template

Who is the Project Sponsor?

3.0 Construction Risks

Risk ID Entry by Risk (description) Date Raised Impact Probability Project Mitigation measures
Severity

3.1 Design

3.1.1 Mou Insufficient or incomplete design elements July'05 M M M ECI process should aim to eliminate these and ensure all deta

3.2 Programme

3.2.1 Mou Delay in placing orders by LCC for any stats diversions which
July'05
causes prolonged construction
H M
period and phasing
H issues
Funds released in advance of construction to faciliate placing

3.2.2 Mou Delay in placing 01-Nov-2005 H H H Consider alternatives to enable early Stats Work to be underta
Order for the
works with the
Contractor and
3.2.3 Mou Poor co-ordination and management of Utilities performance
02-Nov-2005
on-site H H H Close Liaison and dedicated Utilities Co- ordinator for all stats
knock-on effect to
Utilities work
3.2.4 Mou Procurement of materials and lead in times July'05 H M H Contractor to enagage supply chain in sufficient time and duri

3.2.5 Mou Overrun of ECI 01-Jun-2009 H M H Agree suitable programme and manage costs and timescales
Programme or
incomplete ECI
process leading to
3.3 Disputes and claims
delayed start
3.3.1 Mou Late issue of instructions July'05 H L M Site procedures to be defined by Contractor and regular desig

3.3.2 Mou Early Warning July'05 H M H System to be established such that financial and cost manage
and
Compensation
Event Cost and
Programme
3.4 Site Management and Security
Management
3.4.1 Mou Site security - vandalism to plant, materials and site offices
July'05 H H H Ensure availability of suitable site compound area and 24hr se

3.5 Health & Safety Performance

3.5.1 Mou Accident or injury to site personnel causes delay or claimsJuly'05 M M M Suitable Construction H&S Plan in place together with site saf

3.5.2 Mou Accident or injury to general public - either pedestrian or through

July'05 road traffic accident
L M L Suitable Construction H&S Plan in place together with site saf

3.6 Liquidation / insolvency

3.6.1 Mou Contractor July'06 H H H Contactor selection process will identify suitable companies a

3.6.2 Mou Supply Chain July'07 H M H Contactor to ensure supply chain protection and contingency

3.7 Adverse weather

3.7.1 Mou Suspension of Works during heavy rainfall or cold periods;July'05

inadequate protectionMto fnished works,
M floodedMexcavations
Contractor
etc to take necessary protection to completed works.

3.7.2 Mou Implications of Traffic Management on Winter Gritting Routes

01-Nov-2005
and who takes responsibilities
M for
M both footway
M and carriageway
Contractor toareas.
undertake close liaison with Enterprise to ensure

3.8 Quality Failure

3.8.1 Mou Poor quality materials - delay due to rejection of materials July'05 H M H Sources of materials checked and from reputable companies.

3.8.2 Mou Poor quality workmanship July'05 M H H Selection of contractors will review quality and workmanship c

3.9 Delay to Works

3.9.1 Mou Late re-opening/removal of Traffic Management from the highway

July'05 H M H Traffic management strategy to permit long term lane closures

Project Title Edge Lane Mouchel Project Manager

West
Project Title Edge Lane Chris Founds
Highway
West
and
Highway
Environmen
and
tal
Environmen
Improvemen
tal
t Scheme
Improvemen
t Scheme
3.0 Construction Risks

Risk ID Entry by Risk (description) Date Raised Impact Probability Project Mitigation measures
Severity

3.9.2 Mou Interface with adjoining contracts causes delays to completion/start

July'05 of work phases
H eg Hall Lane
H interface. H Ensure liaison between adjacent contracts with effect of const

3.9.3 Mou Delayed completion of the Works July'05 H H H Tight supervision, programme monitoring and seeking recove

3.9.4 Mou Impact of major events July'05 M M M Contractor to liaise with traffic management group and LCC t

3.9.5 Mou Late materials delivery July'05 H M H Sources of materials checked and from reputable companies.

3.1 Change management

3.10.1 Mou Client instructed change July'05 H M H Detailed design signed off by Client. Accommodation works fin

3.10.2 Mou Change arising from errors in design July'05 H L M Thorough check undertaken at end of detailed design stage. S

3.11 Unforeseen risks

3.11.1 Mou Uncharted and unknown services July'05 H H H Radar surveys carried out to specified lengths where planting

3.11.2 Mou Statutory Undertakers diversions - delays in performance;July'05

estimated timescales unrealistic;
H cost
M overruns H Advance liaison and programming with stats. Orders placed in

3.11.3 Mou Statutory Undertakers repairs and planned maintenance works

July'05
interfere with construction
H programme.
M (Note
H this could
Liaison
be with
on any
Stats.
traffic
Co-ordination
diversionarymeetings
route) during construction

3.11.4 Mou Contaminated ground July'05 H H H High probability

relates to
specific
contamination
which may be
found at the
petrol station site
and detailed
specification will
be included to
deal with this
known problem.
3.11.5 Mou Excessive hard dig / breakout July'05 H L M Construction
Desk top study of existing road to be determined prior to contrac
has not revealed
any historic land
use problems.
GI and SI
underway which
will provide level
of detail on
3.11.6 Mou Buried structures (tram rails, etc) July'05 L H M Road
requiredalignment
designed
remediation. either
to follow
Procedure existing
for
kerb lines
dealing with
with
minimal
contamination to
excavation
be agreed with or to
extend
LCC, EA outside
and
3.11.7 Mou Bituminous laminations after planing July'05 M M M Cores
Contractor(s).taken to determine existing pavement constructio
existing being
kerb
lines again with
minimal
excavation.
Likelihood of
3.11.8 Mou Old Stats Trenches that require reinstatement before surfacing
July'09 M M M Review historic records and identify existing problem areas
encountering
tram rails only
3.11.9 Mou Unexploded bombs July'05 H L M where
No drainage
major excavations. All land in regular use since war theref
required.

Project Title Edge Lane Mouchel Project Manager

West
Highway
and
Environmen
tal
Improvemen
t Scheme
Project Title Edge Lane Chris Founds
West
Highway
3.0 Construction Risks and
Environmen
Risk ID Entry by Risk (description) Date Raised Impact Probability Project Mitigation measures
tal Severity
Improvemen
3.11.10 Mou t Scheme
Additional working requirement for night time and weekendJuly'05
shifts in sensitive areas
H to minise traffic
L management
M impact
Sufficient allowance in programme, phasing and planning to b

3.11.11 Mou Police suspension of works July'05 M L L All taffic management agreed beforehand and Contractor to e

3.12 Environmental
3.12.1 Mou Noise July'05 M M M Stated levels to be agreed with EHO and Contractor to take n

3.12.2 Mou Dust July'05 M H H Limited activity creating dust. Monitor conditions and have sup

3.12.3 Mou Vibration Damage Nov'05 M L L Need to carefully consider adjacent properties and structures

3.12.4 Mou Timescales for Tree removals and pruning Nov'05 M L L Close liaison with LCC tree officer and all timescales to accord

3.12.5 Mou Ecology, Bats and Other Fauna and Flora Nov'05 M M M Full habitat check to be undertaken in advance of works and a

3.12.6 Mou Japenese Knotweed Nov'05 M M M Checks to be undertaken and mitigation plans in-place for eve

3.12.7 Mou Demolition Arisings July'09 M L L Ensure sheeting sytem for transport and dust supression durin

3.13 Approvals and Licences

3.13.1 Mou Failure to secure provisional or early orders. July'05 M L L ECI form of contract will enable contractor to appreciate at an

3.13.2 Mou Stage 3 Safety Audit identifies additional works July'05 M M M Contingency and timescales to allow for minimal additional wo

3.13.3 Mou Delays in getting LCC approval for demolitions July'05 H M H Contractor to undertake early discussions with supply chain a

3.13.4 Mou Delays in obtaining EA approval for remediation works to Petrol

July'05Station H M H Contractor to work with supply chain to establish protocols an

3.13.5 Mou Delays in July'05 H L M Contractor to enagage Conservation Officer early and underta
obtaining Listed
Building /
Conservation
3.13.6 Mou Delays in obtaining waste management and transfer licences
July'05
for demolition arisings
H L M Contractor to make sufficient allowance in programme and co
Officer approval
for accomodation
works materials
3.13.7 Mou Delays in TM July'05 M M M Early Liaison with LCC Network Management Team and deve
and workmanship
approvals from
LCC for TTRO's /
footway closures
and tie in works
Ownership Adjusted Adjusted Adjusted Status Contractors
Impact Probability Severity Risk Evaluation
(£)
Please Read Comment
Project Manager M L L

Project Manager M M M

Contractor H M H

Contractor H M H

Contractor M M M

Contractor and M M M
Project Manager

Project Manager M M M

Contractor and M M M
Project Manager

Contractor M M M

Contactor L L L

Contactor L M L

LCC M L L

Contactor M M M

Contractor L M L

Contractor L M L

Contractor M M M

Contractor M M M

Contactor M M M

Mouchel Project Number Last Updated

760155 May-09
Ownership Adjusted Adjusted Adjusted Status Contractors
Impact Probability Severity Risk Evaluation
(£)
Contactor L M L

Contactor M M M

Contractor L L L

Contractor M M M

LCC M M M

Mouchel L L L

Contractor M M M

Contractor M M M

Contractor M M M

Contractor M M M

Contractor M L L

Contractor L L L

Contractor L L L

Contractor M M M

Contractor M L L

Mouchel Project Number Last Updated

 760155 May-09

Ownership Adjusted Adjusted Adjusted Status Contractors

Impact Probability Severity Risk Evaluation
(£)
Contractor M L L

Contractor L L L

Contractor L L L

Contractor L M L

Contractor L L L

Contractor L L L

Contractor M M M

Contractor M M M

Contractor L L L

Contractor M L L

Contractor and M L L
Project Manager

Contractor M M M

Contractor M M M

Contractor M L L

Contractor M L L

Contractor and M M M
Project Manager
Contractors Comments Last Review
Date

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Contractors Comments Last Review
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Contractors Comments Last Review
Date

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