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Risk and assurance on crossrail - rob halstead

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Risk and assurance on crossrail - rob halstead

  1. 1. Rob Halstead Head of Risk Management, Crossrail Risk and Assurance on Crossrail
  2. 2. What is Crossrail? Risk Management Challenges Risk and Assurance Conclusions Risk and Assurance on Crossrail
  3. 3. What is Crossrail? A new railway for London and the south east Over 100 km from east to west 24 trains per hour in each direction More than 200 million passenger journey per annum Adds 10% to London’s rail capacity
  4. 4. £14.8bn funding 38 stations served 9 new stations built 42 km new tunnels 8 million cubic metres of spoil 4300+ Parliamentary commitments Europe’s largest infrastructure project
  5. 5. 14,000 employed Why Crossrail? 24 trains per hour 200 million journeys per year £42bn+ benefits
  6. 6. What is Crossrail? Risk Management Challenges Risk and Assurance Conclusions Risk and Assurance on Crossrail
  7. 7. Managing the project Risk Management Challenges Tunnelling Integrating the Railway
  8. 8. Managing Europe’s Largest Construction Project
  9. 9. The Crossrail Route
  10. 10. Tier 1 Contractors and others… Industry Partners Delivery Partners Transcend PDP An industry wide project Sponsors
  11. 11. Construction on staggering scale Paddington Bond Street Tottenham Court Road Farringdon Liverpool Street Whitechapel Canary Wharf WoolwichCustom House
  12. 12. Programme Management 140 main works contracts 40 worksites 10,000 suppliers 1 million activity schedule
  13. 13. Extended to Reading 27 station upgrades 2 major structures 61km of track 179 switches & crossings 150 km OLE Signalling upgrade Network Rail surface works
  14. 14. Risk Management at Crossrail “Managing risk and uncertainty is critical to the successful delivery of Crossrail” Andrew Wolstenholme OBE Chief Executive of Crossrail Limited
  15. 15. Drivers of Risk Management Delivery Avoid nasty surprises Identify opportunities to improve Head off issues before they impact Commercial Ensure that commercial exposure of the organisation is understood and managed Inform allocation of risk between parties through contracts Engineering Monitor the mitigation of risk through design Ensure that works are delivered safely and that output is fit for purpose Finance Understand true exposure to risk and uncertainty Support investment decisions through assessment of risk impacts Risk Support Delivery : Provide Assurance : Inform Decision Making RISK MANAGEMENT:
  16. 16. Risk Hierarchy Risk Governance Risk Reporting Crossrail Limited Board Executive Committee Risk Sub- Committee Programme Risk Panel Delivery Reviews Audit Committee 1) Report 2) Escalate 3) AggregateContractor Risks Project Risks Strategic Risks Programme Risks Sector Risks
  17. 17. Keeping it simple Identify Assess Respond Prioritise by assessing ‘Probability’ and ‘Impact’  Terminate  Transfer  Treat  Tolerate Uncertainty that mattersRisk is: Risk Management is:
  18. 18. Tunnelling
  19. 19. Running Tunnels Running Tunnels - Paddington to Stratford and North Kent - Bored Tunnels 7m diameter - 30 - 40m depth - 42km long - 8 Tunnel Boring Machines (TBMs)
  20. 20. Station Tunnels Stations Tunnels - Platform tunnels, circulation areas, cross passages - Sprayed Concrete Lining (SCL) - 16km tunnelling
  21. 21. Key Questions How do we make sure that the tunnels are safe? How do we deal with ground conditions and underground obstructions? How do we avoid damage to buildings and services?
  22. 22. Tunnelling
  23. 23. Tunnelling Risk Mitigations Enabling works – diverting and protecting utilities Ground treatment Monitoring Risk management (AIB Code of practice for risk management in underground construction) People, process, culture
  24. 24. Tottenham Court Road
  25. 25. Liverpool Street
  26. 26. Tunnelling progress to date Running tunnels: Station tunnels: 43km 99% complete 17km 78% complete
  27. 27. Railway Integration
  28. 28. Station Fit Out
  29. 29. Under Platform Services Area Station Structure Track Systems Traction Power & Overhead Line Equipment Emergency Walkway Gravity Drainage HV Power LV Power Tunnel Lighting Communications & Control Radio Systems Signalling PlatformDoors Tunnel Ventilation Pumped Drainage Pump Smoke Extract Fire Detection Station Ventilation Station Lighting Signage Passenger Information CCTV PA / VA HelpPoint Fire Main Station Cable Management System Station Systems Automatic Fare Collection Lifts & Escalators Station Management System Station Heating, Cooling and Air Conditioning Route Wide Railway Infrastructure Route Control Centre Back Up Control Facility Bulk Supply Points Auto Trans- former Sites Depots & Stabling Rolling Stock Paddington Railway and Tunnel Systems Railway Systems
  30. 30. Rolling Stock 200m long trains 1,500 seated and standing passengers per train at peak times Regenerates energy during braking (major savings in energy and CO2 emissions)
  31. 31. Railway Integration Components Systems Integration Railway Integration – Central Section Railway Integration – end to end Operator, Maintainer, Infrastructure Manager Readiness Testing and Commissioning Handover Technical Assurance 8323 Railway fails to perform as intended / required by Sponsors Critical non performances by key players means Railway fails to perform as intended / required by Sponsors Howard Smith 6151 Failure to integrate railway [with NR] Chris Sexton 7851 An integrated railway is not delivered delaying Railway opening Chris Sexton 6153 Delayed acceptance of stations and railway systems by IM and other key stakeholders Chris Sexton 6827 Insufficient resilience of the railway in operational service. Programme Level Provisionof technical assurance evidence to satisfy IMs Management of handover 872 Failure to manage Standards Baseline (Rail Systems) Failure to execute Trial Operations successfully Project Level Failure to capture Operations and Maintenance requirements in procured works Failure to integrate CTOC or other TOCs 1809 The railway is not delivered for technical reasons (Stages 1 - 5) “1. Failure to integrate the system” Simon Wright Strategic Level 6923 Operators and Infrastructure Managers may not be ready to take the railway into operation resulting in delay to the railway opening. Howard Smith 11497 The railway service cannot be operated effectively at opening because of other rail operator/ regulator issues Howard Smith Failure to deliver Requirements Failure to exploit “smart stations” / Digital Railway opportunities Operational integration with NR Management of technical interfaces between systems and contracts Integration with Rolling Stock Failure to integrate with LUL Failure to execute or integrate the test and commissioning plan Failure to manage the governance / relationships with other parties Failure to manage Railway Safety risk transfer and mitigation with Operators 5980 (RI) Failure to implement the Signalling System effectively Chris Sexton > Development of the fringe with NR signalling > Complexity of integrating ATO/ATP > Provision of a signalling system compatible with the Crossrail train in the Heathrow Tunnel > Integration into a single Driver DMI > Development required to chosen signalling system to integrate with NR control centres > Signalling principles require further unforeseen development 6826 Failure to meet Operators requirements (Operational, Maintenance, Safety, Performance) Jeremy Bates 883 Unable to obtain safety approval for the railway 7984 Comments/Objection by ORR on the Construction and Commissioning Rulebook principles 11739 The testing and commissioning strategy may not be effectively aligned with the planned permanent and temporary power provision 12561 Operational Readiness – being ready to put the output from Crossrail delivery and the RSD into full operational service Howard Smith Currently owned by J Bates – would need to be re-assigned and promoted to Programme Risk Promote to Strategic Level and assign to Simon Wright or Andrew Wolstenholme Promote to Strategic Level Currently a Programme Risk TBD The railway service cannot be operated effectively because regulator fails to approve Crossrail Simon Wright 2611, 8395 RCC building 6957 Changes to NR demarcation at PML Lack of integration with NR’s test and commissioning plan Lack of integration with NR’s test and commissioning plan 1000, 872, 13286 6135 On Network Works interface with Network Rail projects Matt White 14090 NR Interfacing project to develop and deliver ETCS may encounter technical, operational and schedule challenges 1994 Continuing evolution of NR signalling 7622 Network Rail/TOC projects conflict with CRL programme commissioning requirements 5981 Provision of an ATP system (ETCS) in the Heathrow Tunnels 14090 NR Interfacing project to develop and deliver ETCS may encounter technical, operational and schedule challenges GW works integration South East Section works integration Eastern works integration Systems works integration 7489 Platform heights on GE routes are above standard and CRL may not be able to satisfy level-boarding gauge clearance requirements. 8115 – Constraints of legacy surface station platforms may give rise to an inability to install transmission systems for Driver Only Operated CCTV 10296 Lack of interface control between D&B for station fit- out, MEP, architectural and systemwide. 5900 Floating slab track interaction with rolling stock. 10471 PSD Entrapment 13159 Integration of PED and PES design solution 13159 Integration of PED and PES design solution 8516 Definition and coordination of interfaces: Civils to Systemwide 7490, 6822 Insufficient time for rolling stock testing 6305 Insufficient resources for commissioning 9728 Signalling Integration / Commissioning issues at interface with national network 7622 Commissioning of railway systems at the interfaces with the national network. 7982 Delays to station (systemwide) systems testing 11739 The testing and commissioning strategy may not be effectively aligned with the planned permanent and temporary power provision 11473 Inadequacy of temp power supply 1994 Signalling project delays 7829 CIS not integrated with NR On Network Stations 2829, 5381 Western works – integration 9098 Network Rail delivery / interfaces at OOC 10826 Stage 2: Infrastructure (including Depot, Heathrow ETCS, Paddington platform works) and integration with GW signalling is not available 10725 Platform heights on GW routes are above standard and CRL may not be able to satisfy level-boarding gauge clearance requirements. 5758 NR interface at Plumstead 14024 ICDs may be incomplete, or out-of-date, leading to scope gaps delaying programme 2024 IMs lose confidence in the CRL Technical Authority and set up their own independent assurance system 7459, 5090 Lack of clear safety assurance documentation from Crossrail to IM. 4547 Inefficient submission and review procedures 7981 RIR CSM does not deliver sufficient safety justification evidence to provide safety assurance 5957 Crossrail 3D design model may not be kept updated 11039 Late mobilisation of IM resources CRL fails to provide adequate evidence as part of handover process CRL fails to provide adequate evidence as part of handover process 6990 Failure to fulfil PDA Requirements in relation to Handover 6286 Failure to provide adequate test & commissioning evidence Failure to demonstrate achievement of Substantial Completion Criteria as defined in PDA to Sponsors. Failure to demonstrate achievement of Substantial Completion Criteria as defined in PDA to Sponsors. 10471 Potential entrapment issue 8115 DOO CCTV 7489, 10725 Level boarding, stepping distances & Gauge clearance – NR stations 7985 Impact of energisation on neighbouring systems - EMC 2002 Integrated Station Management Systems at LU interchange stations (Stations Ops Rooms) CRL CIS not integrated with existing LU CIS CRL CIS not integrated with existing LU CIS 9548 Maintenance support services, spares and specialist plant not procured on time. Track access / maintenance assumptions not aligned to 95% PPM Track access / maintenance assumptions not aligned to 95% PPM Remote condition Monitoring strategy Remote condition Monitoring strategy 3049, 6297, 1032, 10391 LUL / CRL relationships RfL Relationship risk?RfL Relationship risk? 13395 Lack of clarity of Urban Realm/OSD design and delivery 1008 Mismatch between RfL/LU requirements and CRL design 1146 Customer Service is not perceived as being world class. 10544 Timetable not produced in time 1061 Performance Modelling inadequate (PPM target not achieved) 6471 Sponsors, TfL, IPs: Late or unexpected changes in requirements integration with NR control centresintegration with NR control centres 10021 Train Operators do not accept NR Network Change 9290 Insufficient driver resources to support staged opening of Crossrail 9624 Timing and performance of Rolling Stock and Depot could delay opening of Crossrail 1156 Overrun on Trial Operations Lack of Operational Readiness (including Trial Operations and Staff Training & Familiarisation) Lack of Operational Readiness (including Trial Operations and Staff Training & Familiarisation) 13253 TransitiontoOperations Martin Buck 11941 Trial operations are insufficient to demonstrate agreed objectives. 13253 Transition into operations Management of Asset information 11838 Lack of clarity over the approach to specification, handover and use of Crossrail Asset Information could delay asset acceptance Chris Sexton Currently a Programme Risk 2033 Delivery of design (and its design assumptions) is not accepted by IMs (NR, RfL and LUL) Maintenance plan is incorrectMaintenance plan is incorrect RAM outputs not aligned with maintenance assumptions RAM outputs not aligned with maintenance assumptions Signalling contingenciesSignalling contingencies Insufficient timetable flexibility / recovery time Insufficient timetable flexibility / recovery time Power / Comms resiliencePower / Comms resilience 7622 Commissioning of railway systems at the interfaces with the national network. Paddington OSDPaddington OSD 8089 HS2 interface Matt White 5960 HS2 interchange station at Old Oak Common causes change/delay 5960 External interfaces adversely impact the ability to deliver and subsequently the operation of the railway. (HS2, BAA, Ilford, OOC) Howard Smith CRL Regulatory Approval 8093 There is a risk that the NoBo and DeBo identify further non compliances which require derogations and the developement of NNTRs 10739 Rail Regulator – failure to gain regulatory consents by NR CRL submissions to ORR not managedCRL submissions to ORR not managed RfL Regulatory Approval RfL submissions to ORR not managedRfL submissions to ORR not managed Interfaces with other operators e.g. Freight, First Great Western , Abellio Greater Anglia, Heathrow Express, DLR Promote from project to strategic 14395 Ilford speed restrictions14395 Ilford speed restrictions Demote from strategic to programme 5981 Provision of ATP system in Heathrow Tunnel Header here max 30 characters2014 Effort… Rolling Stock Programme Stations Programme Systemwide Programme ONW Programme Installation – Phase 2.1 Commissioning – Phase 2.2-2.3 NR/Railway Systems Integration Railway/Tunnel M&E Systems Integration Station Systems/LU Systems Integration Railway/Station Systems Integration System Integration – Phase 3 Station Comms – Precom & Com NR Systems – Precom & Com Railway Systems – Precom & Com Tunnel M&E Systems – Precom & Com Station Systems – Precom & Com LU Systems – Precom & Com NR Systems – Install & Static Tests Railway Systems – Install & Static Tests Tunnel M&E Systems – Install & Static Tests Station Comms – Install & Static Tests Station Systems – Install & Static Tests LU Systems – Install & Static Tests NR/Station Comms Systems Integration Station Comms Integration Tunnel M&E/Station Systems Integration Tunnel M&E Systems Integration Railway/Station Comms Systems Integration Railway Systems Integration NR Systems Integration Station Comms/Station Systems Integration Dynamic Testing – Phase 4 Trial Running – Phase 5 Dynamic Testing Trial Running Station Systems Integration Station Comms/LU Systems Integration Integration Test Complete - Milestones Rolling Stock Fitout Rolling Stock Proving GE & GW Rolling Stock/NR Systems Integration (GE/GW) Rolling Stock/Railway Systems Integration (TT)  Area of greatest T&C/ Integration risk  Immediate area of focus
  32. 32. Key Questions How can we coordinate testing, commissioning and handover activities across the Central Section? How can we integrate Central and Outer sections? How can we provide high levels of service from day one?
  33. 33. Phased opening 2018201720162012 1 2013 2 2014 3 2015 4 5 6 Q1 Stage 5 2019 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Stage 4Stage 3Stage 2Stage 1 7 8 9 10 Stage 1: Liverpool St (mainline) to Shenfield (May 2017) Stage 3: Paddington (Crossrail platforms) to Abbey Wood (Dec 2018) Stage 2: Heathrow to Paddington (mainline platforms) (May 2018) Stage 4: Paddington (Crossrail platforms) to Shenfield (May 2019) Stage 5: Full through service (Dec 2019)
  34. 34. Systems Engineering
  35. 35. This phase of the works brings a new set of challenges Interfaces Organisations Collaborative working Programme Management Assurance Risk Management is changing to support the work: Definition of common goals and RACI for Risks Bringing teams together through facilitation and joint working Focus on schedule and interdependencies
  36. 36. What is Crossrail? Risk Management Challenges Risk and Assurance Conclusions Risk and Assurance on Crossrail
  37. 37. Crossrail’s Programme Assurance Strategy describes an Assurance Chain linking Sponsors, Crossrail Limited and its Supply Chain AssuranceRequirements AssuranceEvidence Project Sponsors Infrastructure Managers Regulators Tier 1 Contractors Industry Partners Tier 2 Contractors Crossrail Delivery Independent Assurance Robust Reporting Assured Delivery
  38. 38. Crossrail: ‘Three Lines of Defence’ 1st Line: Delivery Teams Embedded risk management and controls 3rd Line: Independent Assurance Independent challenge and assurance Internal Audit, External Audit, Sponsors Rep CIAG (Crossrail Integrated Assurance Group) 2nd Line: Oversight Functions Set policy and procedure and provide functional oversight Quality, Finance, Controls, Technical, Risk Management CrossrailLimitedBoard,ExComandAuditCommitee
  39. 39. Risk Management Assurance Report to Joint Sponsor Team Aggregate risk information against COST and SCHEDULE forecasts (QRA) Inform Audit Plan with high risk areas Engage with Sponsors Representative Work with Insurance (Joint Code of Practice for Tunnelling Projects) Embed risk management into the organisation: set Policy, Plan and Procedure We measure and monitor that it is happening (ARM Metrics) and that it is working (Key Risks) We extend this to our supply chain and measure using performance assurance Report to ExComm Report to Audit Cttee Report to Board 2nd Line: Oversight Functions Set policy and procedure and provide functional oversight Quality, Finance, Controls, Technical, Risk Management
  40. 40. What is Crossrail? Risk Management Challenges Risk and Assurance Conclusions Risk and Assurance on Crossrail
  41. 41. Conclusions Risk management is a key part of our overall assurance framework It is built on good engagement with Delivery Provides assurance that Crossrail is delivering the right outputs on time and to budget Informs key decisions Crossrail is still on target to open in December 2018
  42. 42. Rob Halstead Head of Risk Management, Crossrail Risk and Assurance on Crossrail

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