Pre-Risk Assessment Check for Projects
MUST be completed by ALL projects over £100K in value to Swansea University
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Assessed by Risk Administrator with recommendation if a full Risk Assessment required
If no Risk Assessment meeting recommended then decision ratified by HoC and DRI
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Approvals by HoC and DRI formally recorded in Institute Endorsement Form
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Either HoC or DRI can override recommendation and call for full Risk Assessment meeting
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If no Risk Assessment meeting is held then responsibility for managing project risks is delegated fully to HoC
Please enter projects details:
.................................................................. project name
.................................................................. PI
.................................................................. College
.................................................................. Funder (if HEFCW then review with Finance required)
.................................................................. Date of this Check
General
1.
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3.
4.
5.
6.
7.
8.
What is the value of the project to Swansea University?
..... a – none or less than £0.5M
..... b – between £0.5M and £1.0M
..... c – greater than £1.0M
Is this a new project or extension to an existing project?
..... a – continuation to existing project with some extended scope
..... b - new project which is similar to a previous project successfully delivered by the University
..... c – new project which is unlike any previous project
Does the University and the PI have past experience of similar projects?
..... a – both the University and the PI have experience of delivering similar projects successfully
..... b – the University OR the PI have some experience
..... c – neither the University nor PI have experience of any similar project
What is University’s role?
..... a – sole University
..... b – lead University with other academic institutions involved
..... c – partner University with another academic institution as lead
What would the scale of impact be on the University reputation if the project fails?
..... a – minor with no impact on student numbers
..... b – some impacts but overall University plans still achievable
..... c – significant impacts with a lot of negative publicity
Does the project conform to Health & Safety requirements?
..... a – yes, project does not deviate from current College practices OR changes have been reviewed by University Safety Office
..... b – no, but this has been reviewed by University Safety Office with action plan agreed
..... c – unsure, and no review with University Safety Office has been conducted
Are there likely to be any ethical implications?
..... a – no OR any ethical risks will be managed by Research Governance Framework practices
..... b – some but these are unlikely to have significant external impacts to the University
..... c – yes, and these will require significant management activity in order to minimise any external exposure to the University
What percentage of the project is research activity?
..... a – no research activity
..... b – totally research activity
..... c – partially research activity – indicate percentage ......%
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Resources
9.
Does the University have adequate existing staff & skills available to deliver the project?
..... a – yes, all required resources are available and have the required skills
..... b – some resources are not available OR some extra skills are required
..... c – majority of required resources are not available OR there is a big skill gap
10. Is recruitment of new staff required to deliver the project?
..... a – no
..... b- between 1 and 5 new hires required
..... c – greater than 5 new hires required
11. Is a project manager to be recruited?
..... a – no project manager required
..... b – project manager already identified
..... c – project manager to be recruited (review with Major Projects Programme Manager required)
12. What is the total number of University resources to be involved in the project?
..... a – less than 10 people involved
..... b – between 10 and 50 people
..... c – in excess of 50 people
Finance
13. How involved has DRI been in budget creation and eligibility confirmation?
..... a – involved at an early stage (greater than one month before proposal submission date)
..... b – involved (within one month of proposal submission date)
..... c – unsure and no review with DRI has been conducted (review with DRI required)
14. How big is the University's matched funding commitment?
..... a – none or small or less than £50K
..... b – between £50K and £200K (review with Finance required)
..... c – greater than £200K (review with Finance required)
15. Are any of the project funds received in a foreign currency?
..... a – no, all funds in UK Pounds
..... b – yes, some funds in Euros (review with DRI required)
..... c – yes, some funds in other foreign currencies (review with DRI required)
16. Are there any new permanent staff posts included in the project?
..... a – no
..... b – yes – less than one FTE (review with Finance required)
..... c – yes - greater than one FTE (review with Finance required)
17. What are the likely ongoing non-pay (e.g. maintenance of equipment) costs to the University post project?
..... a – none
..... b – less than £10K per annum (review with Finance required)
..... c – more than £10K per annum (review with Finance required)
External
18. What is the number of external organisations (other HEIs, companies, other bodies) commercially linked to the delivery of the project?
..... a – less than 3 organisations
..... b – between 4 and 10 organisations
..... c – greater than 10 organisations
19. How secure is the external funding?
..... a – good funding history or documentary evidence available
..... b – linked to reviews by funder but University are not liable for project failures or missed targets
..... c – linked to reviews by funder and University is liable for project failures or missed targets
20. Are any agreements in place with the external partners?
..... a – there are no external partners OR agreements are in place for all external partners
..... b – there are external partners and there are no agreements yet but letters of support have been received
..... c – there are external partners and there are no agreements or written confirmations of support
21. What is the degree of marketing activity for the project?
..... a – minimal marketing activity which can be handled by existing College marketer and budget
..... b – fully budgeted marketing plan included but only a portion of a new hire required for marketing (review with Marketing required)
..... c – fully budgeted marketing plan included with 100% of a new hire required for marketing (review with Marketing required)
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Dependencies
22. Are there any costs which will need to be funded from the College’s Business Plan, e.g. refurbishment costs, equipment, furniture,
insurances?
..... a – no
..... b – yes, but Head of College has approved that the costs can be met from existing budgets (review with Finance required)
..... c – yes and will require additional resources (review with Finance required)
23. Is there likely to be an impact on University Estates Department?
..... a – none or minor impacts only (desk moves for existing staff/no increase in services or utilities usage/no environmental impacts)
..... b – some impacts but managed by College (addition of small number of desks for new staff/small increase in services or utilities/some
environmental impacts which can be accommodated from existing space allocated to College)
..... c – impacts outside of College (procurement of capital items or refurbishment of buildings/services and utilities
requirements/environmental impacts or no space available within College allocations) (review by Estates Project Team required and
possibly Space Management Working Group)
24. Is there likely to be an impact on University ISS Department?
..... a – none or minor impacts only (no increase in use of Administrative IT systems/no increase in course delivery/no increase in use of
central hardware and IT support)
..... b – some impacts (some amendments to existing Administrative systems/small increase in course delivery/small amounts of new
hardware, network or telephony) (review with ISS required)
..... c – major impacts (new systems to be installed/large increase in course delivery/large amounts of new hardware, network or
telephony) (review with ISS required)
25. Is there likely to be an impact on Academic Structure or Delivery in the University?
..... a – none or project does not involve new UGR/PGT/PGR students
..... b – project involves new UGR/PGT/PGR students and complies fully with University regulations and QAA expectations
..... c – project involves new UGR/PGT/PGR students but deviates from either University regulations or QAA expectations
(review with Academic Registry required)
26. Does the project involve any student collaboration activity, e.g. involving external companies?
..... a – no
..... b – yes, and this provision has been reviewed and approved by Academic Registry
..... c – yes, but no review has been conducted by Academic Registry (review with Academic Registry required)
27. Does the project involve the use of any existing university facilities or equipment (e.g. HPC, CNH, etc)?
..... a – no
..... b – yes, and owner of facility/equipment has been consulted – please specify name of facility/equipment ...................................
..... c – yes, but no review has been conducted with the owner of the facility/equipment (review with owner of facility/equipment
required)
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