Date

Identified

Risk No.

Risk Identification

Purchase & Stores

03.02.2016

03.02.2016

03.02.2016

03.02.2016

03.02.2016

03.02.2016

03.02.2016

03.02.2016

03.02.2016

03.02.2016

10

03.02.2016

11

03.02.2016

12

03.02.2016

13

03.02.2016

13

03.02.2016

15

03.02.2016

16

03.02.2016

17

03.02.2016

18

03.02.2016

19

03.02.2016

20

03.02.2016

20

03.02.2016

21

03.02.2016

22

03.02.2016

23

03.02.2016

24

03.02.2016

25

03.02.2016

26

03.02.2016

27

03.02.2016

28

03.02.2016

29

03.02.2016

29

03.02.2016

30

03.02.2016

31

32

03.02.2016

03.02.2016

33

03.02.2016

34

03.02.2016

35

03.02.2016

36

03.02.2016

37

03.02.2016

38

03.02.2016

39

03.02.2016

40

03.02.2016

41

03.02.2016

42

03.02.2016

43

03.02.2016

44

03.02.2016

45

03.02.2016

46

03.02.2016

48

03.02.2016

49

03.02.2016

50

03.02.2016

51

03.02.2016

52

03.02.2016

53

03.02.2016

54

03.02.2016

55

03.02.2016

56

03.02.2016

Prepared By:

Risk Reg
Critical
Success
Factor

Risk
Description

Risk Identification

Risk of Understatement of the

need

Overstatement of the need

Misinterpretation of user needs

Insufficient funding

Impractical timeframe

Probity issues

Probity issues

Narrow definition or commercial

specification (eg. use of brand
name)

Definition of inappropriate product

or service

Biased specification

Inadequate statement of
requirements

Failure to identify potential

sources

Selecting inappropriate method

Terms and conditions

unacceptable to vendors

Terms and conditions

unacceptable to vendors

Failure to adequately address

enquiries from Indent

Actual or perceived favouritism in

providing information

Actual or perceived breach of

confidentiality

Insufficient number of responses

No response from known quality

suppliers

Failure to follow effective

evaluation procedures

Failure to follow effective

evaluation procedures

Breaches of security

Offers fail to meet needs

1. Identifying the need and

planning the purchase
2. Developing the specification
3. Selecting the purchasing
method
4. Purchasing documentation
5. Inviting, clarifying and closing
offers
6. Evaluating offers
7. Negotiations
8. Contract management
9. Evaluating the procurement
process
10. Disposals

Failure to identify a clear winner

Decision made on subjective
grounds
Selecting an inappropriate
supplier
Selecting inappropriate product

Not matching the expectations of

buyer and vendors

Deadlock on details of agreement

Failure to secure mandatory

conditions

Failure to secure mandatory

conditions

Failure to secure agreement in

relation to Crown Contracts
Confidentiality Policy

Unfair requirements on the

vendors in the contract conditions

Failure to reflect the terms offered

and agreed in the contract

Inadvertently creating a contract

without the delegates prior
approval

Variations in price and foreign

exchange
Unwillingness of the supplier to
accept the contract

Failure of either party to fulfil the

conditions of the contract

Inadequately administering the

contract

Commencement of work by the

supplier before contract is
exchanged or letter of acceptance
issued

Unauthorised increase in scope of

work

Loss of intellectual property

Failure to meet liabilities of third

parties (eg. royalties or third party
property insurance)

Loss or damage to goods in

transit

Fraud

Key personnel not available

Failure to evaluate procurement

and management processes

Failure to identify and address

problems

Inadequate quotation review

Risk of Compliances of
State/Central Legal Requirement
Risk of Work Environment
Safe Work Environment for all
Employee/Interested Parties

Risk of Moving Parts (wheels &

Forks) on Human as Foot & Leg
Injury

Risk of Hazard (Fall/Fume/Dust)

Risk of Compliances of
State/Central Legal Requirement
Avoid Degradation of Environment

Risk of Land Contamination

Risk of Air Contamination
Risk of Water Contamination

Risk Register

Limited Suppliers

Lack in understanding
requirments

Probability

Insufficient Information of
Purchase article

Consequence

Cause

Risk Assessment

Purchase of unsuitable
product or service

Money wasted
Need not satisfied
Greater expense
Poor competition

1
1
2
2

Totally unacceptable
purchase or not most
suitable product or service

Time lost
Increased costs
Possible downtime
Delay in making the
planning for projected purchases
purchase
Additional costs for repayment term conditions
order

1
1
1
1
1

Vendor could not understand the Inadequate responses

requirement
from quotations

Multiple source of supplier

Reduced competition

delivery delayed due to multiple

reasons( logistic issue / payment Delivery schedule not met
issue etc.)
The state purchase policy

Increased procurement
costs

Inventory control

Misuse of resources

Product compromise

Most suitable product not

obtained

Fewer alternatives

Most suitable product or

service may not be
obtained

Increased costs

Need not satisfied

AMC details/ criteria not reived

condition on product and service

not analysed
Time lost
Increased costs
Possible downtime

1
1
1

Inadequate responses
from quotations

Claims of unfair dealings

inadequate inputs in indents

Variety of offers

data input in SAP is wrong

against product code

Insufficient responses

lack of market knowledge

Lack of offers from suitable

vendors

Need to seek offers again

Possible cost variations

Failure to obtain value for

money

Loading of costs in offers

Purchase on goodwill

Bipassing the departmental

procedures

proprietry item purchases

proprietry item purchases

understanding requirement of
indents

Having to modify tender

terms and conditions

Disruption
Low response

1
1

Claims of unfair practices

Offers with qualifications by

vendors

Withdrawal of offers

Complaints from vendors

Withdrawal of offers

Complaints from tenderers

Mistrust by tenderers

Purchase on goodwill

Purchase on goodwill

vendor managing skills

vendor managing skills

Vendor rating not followed

Need to undertake process

again
Increased costs
Delayed delivery to the
client

1
1
1

Poor value for money due

to limited competition

Reduced competition

Increased costs of
products or services

Inconsistent evaluations

Possible complaints from

vendors

Vendor rating not followed

conflict of interest

requirement not communicate

properly.
vendor selection criteria not
followed
vendor selection criteria not
followed
vendor selection criteria not
followed
inetrnal customer requirements
not addressed

inappropiate planning

Plant requirement revised after

order placemnents

Contract not reviewed

Subjective not objective

evaluation of offers

Claims of unethical or
unfair practices

Loss of faith with vendors

Need to call vendors again

Additional costs
Delay in delivery

1
1

Claims of unethical and

unfair behaviour

Complaints from vendors

Failure to fulfil the contract

Failure to meet the clients

need

Contract disputes
Delivery delays
Cost variations
Reduction in value for
money
Purchase of less suitable
product

1
2
2

Inefficient use of resources

Delays in delivery
Need to restart
procurement
Possible cost of legal
action

Inability to finalise contract

Delays in delivery
Variations in cost

1
1

2
2

1
1

Contract not reviewed

Inefficient use of resources

Inability to finalise contract

Delays in delivery

Inefficient use of resources

Requirement to negotiate
with other ranked suppliers

Contract disputes

Invalidity of contract

Legal action

Poor supplier/customer
relationship

Contract disputes
Legal action

1
1

Poor supplier/customer
relationship

Expense of negotiating out

of the contract and paying
damages

Committing to other
associated work prior to
main contract existing

Fluctuations in Global/Indian
share market

Cost overruns

1
1

Limited source of Suppliers

Delays in delivery
Need to restart
procurement

Purchase on goodwill

Unethical inputs related to

bussiness

1. Change in market conditions

2. Legal requirement not
addressed

Purchase on goodwill

1. Change in market conditions

2. Legal requirement not
addressed

Lack of awareness on changes

Lack of awareness on changes

Internal customer requirements

not analysed

Contract disputes

Failure to satisfy needs

Delays in delivery
Downtime
Legal action
Cost increases
Failure of contract

1
1
1
3
3

Full benefits not achieved

Delivery of unsatisfactory
product

Contract/supply disputes

Potential liability to pay for

unauthorised work

Possibility of legal action

for perceived breach of
contract

Unanticipated cost
increases

Loss of commercial
opportunity

Customer (Inetrnal/External)
requirements not addressed eg.
Record retention /confidentiality / Unwarranted reliance on
customer property etc
supplier for product
support

Lack of information on contract

Legal action

Damage to the agencys

professional reputation

Delays in delivery
1. Lack of information on contract Downtime
2. Packaging/ vechile basic
conditions
Liability disputes

1. Lack of information on contract

Man depedency

Departmental procedure not

addressed

Departmental procedure not

addressed

Departmental procedure not

addressed

Non-Awareness of New Norms

3
3
3

Misuse of resources

Legal action

Disruption to procurement
activities

Progress on project
disrupted
Less expertise

2
2

Failure to improve
procurement and
management processes

Procurement objectives not

achieved

Possible failure in the

future

Claims of bias and

favouritism to
organisations or individuals

Reduction in value for

money

Complete Shut
Down/Panelty

PPE not used

Improper Illumination
Speed of Forklift

2
2
1

Basic Condition of Forklift

(Horn/Brakes/Rear Mirror)

Driving License

PPE not used

Scrubber not working
Non-Awareness of New Norms

3
1
Complete Shut
Down/Panelty

Spillage of Lead on Land

Contamination of Air
Contamination of Water

1
2

Environment Pollution

2
2
Approved By:

Low

3
3
3
3

3
3
6
6

Very Low
Very Low
Low
Low

Very Low

3
3
3

3
3
3

Very Low
Very Low
Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Current
Controls

Risk Score

Risk LevelL.M.H

Impact

Risk Ranking

Risk Assessment

Low

Low

Low

Very Low

Very Low

4
4
4

4
4
4

Very Low
Very Low
Very Low

Very Low

Very Low

Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

4
4

4
4

Very Low
Very Low

Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Low

Low

Low

Very Low

Very Low

Very Low

4
4

4
4

Very Low
Very Low

Very Low

Very Low

Very Low

Low

3
3
3

3
6
6

Very Low
Low
Low

Low

Low

Low

Very Low

Very Low

Very Low

Very Low

4
4

4
4

Very Low
Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

5
5

5
5

Very Low
Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

Very Low

10

Medium

Very Low

5
5
5
3
3

5
5
5
9
9

Very Low
Very Low
Very Low
Low
Low

Low

Low

Low

Low

Low

12

Medium

Very Low

Very Low

Very Low

Very Low

5
5

15
15

High
High

15

High

Very Low

Very Low

Very Low

Low

Low

Low

Low

Low

Very Low

Very Low

5
2
2
2

very low
5
4
4
2

2
3

very low
very low
very low
very low

4
15

medium

oved By:

2
4

6
4

low
very low
very low

5
5

10

low

10

low

10

low

Risk
Treatment
Method