Infrastructure Division - Risk Assessment Template

Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Residual Risk

General Workbook Instructions

Summary Register
Risk Description
Inherent Risk
Response Plans
Residual Risk

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General Workbook Instructions

- All fields with an asterisk (*) in the field name are Mandatory and must be populated for each risk.
- Input cells that must be completed in this template are shaded BLUE.
- Calculated fields are shaded GREY. These fields should not be altered.

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Summary Register

The 'Summary Register' is an output worksheet that requires no input of data. This worksheet summarises data from the input worksheets into a printable Register format.

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Risk Description

This 'Risk Description' Worksheet captures basic project information as well as basic information relating to each risk entry including descriptive information, risk
classification, and risk drivers.
Project details should be populated by the Project Officer prior to the template being provided to Defence Contractors). They should be entered as follows:

Field Field Type Description Example

The name of the project as it appears in the Risk Organisation Structure in
Project Name Free Text GEMS. Project X
Project Number Free Text The Project’s PPM Item number on GEMS. GEMS000XX
Branch/Directorate Drop Down List The relevant Branch and Directorate managing the project. Capital Facilities and Infrastructure / North East

The relevant project milestone (note this field only appears in the
Milestone Free Text Summary Register Workbook and will not be uploaded into GEMS). 50% Schematic Design Review

This Risk Description details should be entered as follows:

Field Field Type Description Example

Free Text (40

Risk Title character limit) Short title to describe the risk. Should be limited to one short sentence. Unavailability of material and equipment

Structured statement of risk usually containing four elements: sources, The availability of materials and equipment caused
Risk Description Free Text events, causes and consequences. by shortage in available steel sections or logistical
delays impacting construction schedule.

Person responsible for day to day management of the risk.

Risk Owner Free Text Note: The Risk Owner must be a GEMS user. If this template is being Project Officer Name (as per GEMS)
populated by a Defence contractor with no access to GEMS the identified
Risk Owner should be the Project Office/Director.

Risk Status Drop Down List Open or Closed status of the risk entry. Open

Selection of the High Level SAP Risk Category. Selecting the High Level Risk
High Level Risk Category Drop Down List Category will determine the available Risk Categories available for 8.0 Delivery
selection. For definitions of SAP Risk Categories refer to Defence SAP Risk
Category Definitions.

Risk Category Drop Down List Selection of the relevant SAP Risk Category. For definitions of SAP Risk 8.1.2 Schedule
Categories refer to Defence SAP Risk Category Definitions.

Selection of CLC Phase (Acquisition or Sustainment) that the risk relates

Phase Drop Down List to. Selecting the Phase will determine the available Smart Buyer Risk Acquisition
Categories available for selection. For additional information refer to
Smart Buyer Detailed Design.

Smart Buyer Risk Selection of the relevant Smart Buyer Risk Category. For definitions of
Category Drop Down List Smart Buyer Risk Categories refer to Smart Buyer Detailed Design. Schedule

Internal or external factors giving rise to the risk.

Driver Category Drop Down List Note: Data for at least one Driver must be populated for each risk. A External Influences
second optional Driver can also be entered.

Due to shortage in available

steel sections or a logistical delay or
Driver Description Drop Down List A brief description of Internal or external factor giving rise to the risk. an extreme weather event in
country of manufacture

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Inherent Risk

The 'Inherit Risk' Worksheet details the analysis of risks prior to considering response plans. This Worksheet should be populated as follows:

Field Field Type Description Example

Unavailability of resources would have a major

Overall description of the risk analysis prior to considering Response impact on the schedule which could lead to follow
Analysis Description Free Text Plans. This should include commentary around the Inherent Risk on impacts in budget and staffing. The probability of
Probability and Impact Levels. the even occurring is likely if the Head Contractor is
purchasing materials when required in the middle of
shortage for raw materials.

The probability (likelihood) that the risk eventuates in the absence of

Inherit Probability Level Drop Down List Response Plans. For Probability Level definitions refer to E&IG Risk Likely
Management Framework.

Selection of the relevant Impact Category. For Impact Category Definitions

refer to E&IG Risk Management Framework.
Impact Category Drop Down List Delivery of Services
Note: Data for at least one Impact must be populated for each risk. Up to
three Impacts can be entered in total.

Impact Category Description of the Impact Category. This should be a short sentence
Description Free Text consisting of 2-10 words. Delay in schedule over 6 months

Selection of the appropriate level of impact in the absence of Response

Inherit Impact Level Drop Down List Plans. For Impact Level definitions refer to E&IG Risk Management Major
Framework.

The Inherit Risk Rating is automatically calculated based on the input

Inherent Risk Rating Calculated Inherit Probability and Impact levels in accordance with the E&IG Risk High
Matrix. For more details refer to E&IG Risk Management Framework.

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Response Plans

The Response Plans Worksheet details the Response Plans in place to address each risk. Note: Data for at least one Response Plan must be populated for each risk. Up to
Two Response Plans can be entered in this template. For the purpose of populating this template, if there are more than two Response Plans to a risk these can be entered
as a single Response Plan entry including multiple components. If this option is taken hen the individual Responses should be numbered and separated by a line break (this
is done by pressing ALT+Enter when typing in the cell). The screenshot below shows an example of how this could be done.

The Response Plan details should be entered as follows:

Field Field Type Description Example

Selection of the relevant Response Type. For Response Type Definitions
Response Type Drop Down List refer to E&IG Risk Management Framework. Treat

Free Text (40 Short title to describe the Response. Should be limited to one short
Response Name character limit) sentence. Procure long lead time equipment

Longer description of the Response and how it drives down the residual Procure long lead time equipment early and issue to
Response Description Free Text risk level. Head Contractor

Person responsible for day to day management of the Response.

Response Owner Free Text Note: The Response Owner must be a GEMS user. If this template is being Project Officer Name (as per GEMS)
populated by a Defence contractor with no access to GEMS the identified
Response Owner should be the Project Office/Director.

Reponses Effectiveness: Drop Down List Selection of the appropriate Response effectiveness. For Effectiveness
definitions refer to E&IG Risk Management Framework. Reasonably Effective

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Residual Risk

The Residual Risk Worksheet details the analysis of risks with response plans. This Worksheet should be populated as follows:

Field Field Type Description Example

Impact remains the same as unavailability of

Overall description of the risk analysis with Response Plans. This should resources will result in schedule delays, however the
Analysis Description Free Text include commentary around the Residual Risk Probability and Impact likelihood of the event occurring is reduced to
Levels. unlikely bringing the overall Risk Rating down to
Medium.

Residual Probability The probability (likelihood) that the risk eventuates with Response Plans.
Level Drop Down List For Probability Level definitions refer to E&IG Risk Management Unlikely
Framework.

Selection of the appropriate level of impact with Response Plans. For

Impact Level definitions refer to E&IG Risk Management Framework. Note
Residual Impact Level Drop Down List the Impact Categories and Impact Descriptions are automatically Major
populated with the information entered in the Inherent Risk Worksheet.

The Inherit Risk Rating is automatically calculated based on the input

Residual Risk Rating Calculated Residual Probability and Impact levels in accordance with the E&IG Risk Medium
Matrix. For more details refer to E&IG Risk Management Framework.
 Infrastructure Division - Risk Assessment Template
Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Residual Risk

Project Name Project Number

Branch Directorate Milestone

Risk Identification Inherit Risk Response Plans Residual Risk

Smart Buyer Smart Buyer Risk Impact Probability Impact Probability
Risk Name Risk Category Risk Owner Drivers Inherit Impact Rating Response Plans Responsible Residual Impact Rating
Phase Risk Category Status Level Level Level Level
 Infrastructure Division - Risk Assessment Template
Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Residual Risk

Project Name Project Number

Branch Directorate Milestone

Risk Identification Inherit Risk Response Plans Residual Risk

Smart Buyer Smart Buyer Risk Impact Probability Impact Probability
Risk Name Risk Category Risk Owner Drivers Inherit Impact Rating Response Plans Responsible Residual Impact Rating
Phase Risk Category Status Level Level Level Level
 Infrastructure Division - Risk Assessment Template
Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Residual Risk

Project Name Project Number

Branch Directorate Milestone

Risk Identification Inherit Risk Response Plans Residual Risk

Smart Buyer Smart Buyer Risk Impact Probability Impact Probability
Risk Name Risk Category Risk Owner Drivers Inherit Impact Rating Response Plans Responsible Residual Impact Rating
Phase Risk Category Status Level Level Level Level
 Infrastructure Division - Risk Assessment Template
Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Residual Risk

Project Name Project Number

Branch Directorate Milestone

Risk Identification Inherit Risk Response Plans Residual Risk

Smart Buyer Smart Buyer Risk Impact Probability Impact Probability
Risk Name Risk Category Risk Owner Drivers Inherit Impact Rating Response Plans Responsible Residual Impact Rating
Phase Risk Category Status Level Level Level Level
 Infrastructure Division - Risk Assessment Template
Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Residual Risk

Project Name Project Number

Branch Directorate Milestone

Risk Description Smart Buyer Classification Driver 1 Driver 2

Risk Title* Risk Description Risk Owner Status High Level Risk Risk Category* Phase Smart Buyer Risk Driver Description* Driver Category* Driver Description Driver Category
Category* Category*
 Infrastructure Division - Risk Assessment Template
Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Residual Risk

Risk Description Analysis Description Inherent Probability Impact 1 Impact 2 Impact 3 Overall Rating
Inherent Inherent Inherent Inherent
Risk Name Analysis Description Impact Impact Desciption Impact Impact Desciption Impact Inherent Risk
Probability Impact Desciption* Category* Impact Category Impact Category Impact Level
Level* Level* Level Level
 Infrastructure Division - Risk Assessment Template
Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Resi

Risk Description Response Plan 1 Response Plan 2

Risk Name Description Response Response Type Name Description Owner Response
Response Type* Response Name* Owner* Effectiveness Effectiveness
 Infrastructure Division - Risk Assessment Template
Guidance Output Input

Template Instructions Summary Register Risk Description Inherent Risk Response Plans Residual Risk

Risk Description Analysis Description Inherit Probability Impact 1 Impact 2 Impact 3 Overall Rating

Risk Name Analysis Description* Probability Impact* Impact Impact Impact Impact Impact Impact Impact Impact Residual Risk
Level* Category* Level* Category Level Category Level Level
Project Na Project Nu Organisati Risk Name Risk Descri Risk OwnerStatus Risk Categ Smart Buyer Ph
Smart Buyer Ri Driver1 Category1 Driver2 Category2 Inherit AnaInherit Pro Inherit ImpInherit Imp
 Inherit Risk
Inherit ImpInherit ImpInherit ImpInherit ImpInherit ImpInherit ImpInherit ImpInherit ImpLevel
 Response Plan 1 Organisation
Response PResponse Response PUnit Response PResponse PResponse PResponse Response P
Response Plan 2 Organisation
Unit Response PResponse PResidual AnResidual PrResidual I Residual I Residual ImResidual I
 Residual Risk
Residual I Residual ImResidual I Residual I Residual ImResidual I Level
 ;

Risk Description
Organisation Unit Risk Category
1.1 Program Performance 8.1 Project Management
1.2 Program Assurance 8.1.1 Scope
1.3 National 8.1.2 Schedule
1.4 North 8.1.3 Cost
1.5 West 8.1.4 Project Integration
1.6 South East 8.1.5 Quality
1.7 North East 8.1.6 Resources
1.8 Mediums 8.1.7 Design
5.1 Protected species, community or wetland
5.2 Degradation of land and/or vegetation condition
5.3 Spread or increase of established pest, weed or disease
5.4 Establishment of new pest, weed or disease
5.5 Excessive resource consumption
5.6 Bushfire Hazard
5.7 Pollutant Discharge
5.8 Noise or dust pollution
5.9 Excessive waste production
5.10 Indigenous heritage values
5.11 Natural heritage values
5.12 Historic and built heritage values
5.13 Contaminated Sites
 Response Plans
Driver Categories Response Type Response Effectiveness
Budget Avoid Effective
External Influences Accept / Retain Mostly Effective
Government Policies / Procedures Transfer / Share Reasonably Effective
Human Error Treat Negligible
Natural Environment Ineffective
Performance
Personnel / Workforce
Planning
Plant / Equipment Failure
Regulatory
Security
Service Delivery
 Inherit and Residual Risk
Probability Level Impact Category Impact Level
Almost Certain Capability Severe
Likely Delivery of Services Major
Possible Environment Moderate
Unlikely Financial Minor
Rare Legislative Compliance Insignificant
Reputation
Safety
Security
 Risk Matrix
Insignificant Minor Moderate Major Severe
Almost Certain Low Medium High Very High Very High
Likely Low Medium High High Very High
Possible Low Medium Medium High High
Unlikely Low Low Medium Medium High
Rare Low Low Low Medium Medium
 Smart Buyer Risk Categories
Phase Phase Risk Category
Acquisition Acquisition Commercial
Sustainment Acquisition Defence Integration
Acquisition Financial
Acquisition Project Integration
Acquisition Requirements
Acquisition Schedule
Acquisition Strategic
Acquisition Technology
Sustainment Commercial
Sustainment Financial
Sustainment Fundamental Inputs to Capability
Sustainment In-Service Requirements
Sustainment Obsolescence
Sustainment Operational
Sustainment Strategic
 Risk Category
High Level
1.0 Business
2.0 Stakeholder Management
4.0 Engineering Integrity
5.0 Environment and Sustainability Management
6.0 Special Interest
7.0 Commercial
8.0 Delivery
 Risk Category
High Level
1.0 Business
1.0 Business
1.0 Business
1.0 Business
1.0 Business
1.0 Business
1.0 Business
1.0 Business
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
2.0 Stakeholder Management
4.0 Engineering Integrity
4.0 Engineering Integrity
4.0 Engineering Integrity
4.0 Engineering Integrity
4.0 Engineering Integrity
4.0 Engineering Integrity
4.0 Engineering Integrity
4.0 Engineering Integrity
4.0 Engineering Integrity
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
5.0 Environment and Sustainability Management
6.0 Special Interest
6.0 Special Interest
6.0 Special Interest
6.0 Special Interest
6.0 Special Interest
7.0 Commercial
7.0 Commercial
7.0 Commercial
8.0 Delivery
8.0 Delivery
8.0 Delivery
8.0 Delivery
8.0 Delivery
8.0 Delivery
8.0 Delivery
8.0 Delivery
8.0 Delivery
Risk Category Branch
1.1 Business Strategy Capital Facilities and Infrastructure
1.2 Technology Environment and Engineering
1.3 Operations and Business Processes Estate Planning
1.4 People & Workforce Property Management
1.5 Policy PFAS Taskforce
1.6 Legislative Compliance
1.7 Business Integration
1.8 Financial
2.1 Internal Stakeholders
2.2 External Stakeholders
2.2.1 Whole of Government
2.2.2 State Governments
2.2.3 Industry
2.2.4 Community Groups
2.2.5 Other
2.3 Communications
2.4 Community Impacts
2.4.1 Health
2.4.2 Infrastructure
2.4.3 Commercial
4.1 Range Design and Compliance
4.2 Electrical Infrastructure
4.3 Airfield Lighting
4.4 Aircraft Pavements
4.5 Fire Protection Engineering and Fire Safety
4.6 Emergency Power
4.7 Mechanical Services
4.8 Electrical Services
4.9 Other engineering services
5.1 Protected Species, Community or Wetland
5.2 Degradation of Land and/or Vegetation Condition
5.3 Established Pest, Weed, Disease
5.4 New Pest, Weed, Disease
5.5 Excessive Resource Consumption
5.6 Bushfire Hazard
5.7 Pollutant Discharge
5.8 Noise or Dust Pollution
5.9 Waste
5.10 Indigenous Heritage
5.11 Natural Heritage
5.12 Historic & Built Heritage
5.13 Contaminated Sites
6.1 Exploration
6.2 Mining
6.3 Foreign Investment Review Board (FIRB)
6.4 Native Title
6.5 Offshore Petroleum
7.1 Procurement
7.2 Contract Management
7.3 Industry Capacity & Supplier Viability
8.1 Project Management
8.1.1 Scope
8.1.2 Schedule
8.1.3 Cost
8.1.4 Project Integration
8.1.5 Quality
8.1.6 Resources
8.1.7 Design
8.2 Strategic Estate Risk
 Organisation Unit
Branch
Capital Facilities and Infrastructure
Capital Facilities and Infrastructure
Capital Facilities and Infrastructure
Capital Facilities and Infrastructure
Capital Facilities and Infrastructure
Capital Facilities and Infrastructure
Capital Facilities and Infrastructure
Capital Facilities and Infrastructure
Environment and Engineering
Environment and Engineering
Environment and Engineering
Environment and Engineering
Environment and Engineering
Estate Planning
Estate Planning
Estate Planning
Estate Planning
Estate Planning
Estate Planning
Estate Planning
Property Management
Property Management
Property Management
Property Management
Property Management
Property Management
PFAS Taskforce
PFAS Taskforce
PFAS Taskforce
PFAS Taskforce
Organisation Unit
Directorate
Program Performance
Program Assurance
National
North
West
South East
North East
Mediums
Estate Engineering Policy
Energy Efficiency, Environment, Resource Management and Sustainability
Environmental Remediation Programs
Environment and Heritage Policy Development
Environmental Protection and Assessments
Estate Strategic and Investment Planning
National New Capability
Regional - South/Central/West/ACT
Estate Projects Development
Regional Planning - East
Land Planning & Regulation
Business Improvement and Report
Property Acquisitions, Mining and Native Title
Property Disposals
ACT Office Accommodation
Space Management
Expenditure Leasing
Property Leasing
Policy
Communications / Engagement
Program Management and Governance
Environmental Activities