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[]
["Grootvlei Risk Assessment Template Rev2"]
["Compiled by : Bruce Kruger"]
[]
["Dashboard Indicators"]
[{"$nulls":7},"Note:"]
["Highest Consequence Rating:  (manual input)",{"$nulls":6},"Once printed, insert in contract file."]
["Highest Likelihood Rating:  (manual input)"]
["Risk/contingency as (%) of the contract value: (manual input)"]
["Risk/contingency % as monetary value (R): (manual input - correspond with Contract Strategy & Cost Analysis)"]
[]
["#","Risk Statement","Y/N","Consequence Description","Consequence Rating","Likelihood","Potential Exposure","Risk Control","Priority for Attention","Contingency","Treatment/Control Strategy","Triggers","Assignee"]
[]
[null,"Link to Reference Document",null,null,"Table 4","Table 5","Table 3","Table 7","Table 8"]
[1,"Were interfacing contracts identified?","N"]
[2,"Have KPI's been identified in the contract?","N"]
[3,"Was IBI training specified in the contract?","Y","Poor performance and safety incidents",1,"E - 99% Probability","Departmental Impact","Fully Effective","I - S/Term (1mth)","The Contractor and its employees will attend IBI training","The Contractor and its employees will attend IBI training","Repeat incidents","Site Manager and Service Manager"]
[4,"Have the contract considered spares holding?","Y","Delays due to Shortage of spares",1,"E - 99% Probability","BU Impact","Partially Effective","IV - Ongoing","The Contractor to supply a list of spares required as per the contract","The Contractor to supply a list of spares required as per the contract","Delays in bringing back the Plant to service","Site Manager and Service Manager"]
[5,"Was supplier infrastructure established considered?","Y","Safety, Health and Environmental incidents",1,"E - 99% Probability","BU Impact","Partially Effective","IV - Ongoing","Yes supplier infrastructure establishment included on the contract","Yes supplier infrastructure establishment included on the contract","safety and health incidents","Site Manager and Service Manager"]
[6,"Does the contract cater for SHE/plans?","Y","Contractor's employees might get injured when delivering and installing the goods",2,"E - 99% Probability","BU Impact","Fully Effective","IV - Ongoing","The Contractor shall submit safety plan which comply to safe work procedure for Employer and it must be accept by Service Manager","The Contractor shall submit safety plan which comply to safe work procedure for Employer and it must be accept by Service Manager","Physical injury or property damages","Site Manager and Service Manager"]
[7,"Does the contract cater for risk assessments?","Y","Safety, Health and Environmental incidents",2,"D - >50% Probability","Departmental Impact","Fully Effective","IV - Ongoing","The Contractor shall submit risk assessment forms to the Service Manager.","The Contractor shall submit risk assessment forms to the Service Maneger.","Physical injury or property damages","Site Manager and Service Manager"]
[8,"Has a training program been specified?","N"]
[9,"Is there any risk in the contract strategy e.g. term, service, supplier?","N"]
[10,"PSR responsibility","Y","Contractor might work in the plant without permit to work",1,"E - 99% Probability","BU Impact","Fully Effective","IV - Ongoing",null,"All Contractors employees shall be authorised in plant safety regulation.","Physical injury and plant damage","Contract Supervisor"]
[11,"Will decision making by the supplier impose a risk to the organisation?","Y","Load losses and poor workmanship",2,"D - >50% Probability","BU Impact","Partially Effective","IV - Ongoing","Low service damage included in the contract","Low service damage are included in the contract","Financial Impact","Contract Supervisor and Site Manager"]
[12,"Were medical/induction and associated costs considered?","Y","Contractor might work in plant without medical / induction",1,"E - 99% Probability","BU Impact","Partially Effective","IV - Ongoing","Medicals and induction included in the contract","Medicals and induction included in the contract","Contract employees being denied access to site.","Contract Supervisor"]
[13,"Who will be responsible for access permit/costs?","Y","Delay in executing work due no acces to plant",3,"C - >20% Probability","BU Impact","Fully Effective","IV - Ongoing","The Employer is responsible and medicals and induction included in the contract","The Employer is responsible and medicals and induction included in the contract","Contract employees being denied access to site.","Service Manager / Contract Supervisor"]
[14,"Were the suppliers qualification and experience defined or requested?","Y","The Contractor's employees might not be adequately qualified",1,"E - 99% Probability","BU Impact","Partially Effective","IV - Ongoing","Qualification requirements included in the contract","Qualification requirements included in the contract","Poor performance","Site Manager / Contract Supervisor"]
[15,"Were quality requirements/objectives set in the contract?","Y","Poor workmanship",2,"E - 99% Probability","BU Impact","Partially Effective","IV - Ongoing","SHEQ and IBI requirements are included in the contract ","SHEQ and IBI requirements are included in the contract ","Poor perfomance ","Site Manager"]
[16,"Was CIDB compliance specified in the contract?","Y","Poor workmanship",1,"E - 99% Probability","BU Impact","Partially Effective","IV - Ongoing","CIDB requirements is stated in the contract","CIDB requirements is stated in the contract","Poor performance","Site Manager / Contract Supervisor"]
[17,"Was a implementation program requested in the contract?","Y","Poor workmanship",1,"B - >5 Probability","Departmental Impact","Fully Effective","IV - Ongoing","The requirement for the contractor to supply a program is included on the contract","The requirement for the contractor to supply a program is included on the contract","Poor perfomance","Site Manager/Contract Supervisor"]
[18,"What are the license fees considerations?","N"]
[19,"Does the contract implementation method pose a risk to the organisation?","N"]
[20,"Any risk for contract to be up and running?","N"]
[21,"Does the contract pose a risk for loss of opportunities?","N"]
[22,"Was the learning curve for staff been considered?","N"]
[23,"Is there any risk of double processing or duplication of work or in contract?","N"]
[24,"Is this contract dependant on additional external consultants/ costs?","N"]
[25,"What interfacing equipment was identified not forming part of this contract e.g. LAN?","N"]
[26,"Does the contract pose a threat for downtime or service disruption?","Y","Delays due to the Job seekers preventing the Contractor employees from entering site",3,"C - >20% Probability","BU Impact","Fully Effective","IV - Ongoing","The station has a EP plan to deal/manage strike","The station has a EP plan to deal/manage strike","Job seekers' complaints","Service Manager / Contract Supervisor"]
[27,"Were the quality of deliverables specified?","Y","Poor workmanship",1,"B - >5 Probability","BU Impact","Partially Effective","IV - Ongoing","Quality checking of the work executed is included in the contract to prevent poor workmanship","Quality checking of the work executed is included in the contract to prevent poor workmanship","Poor perfomance","Contractor"]
[28,"Are there any threat of safety with contract deliverables?","Y","When offloading the equipment an injury may occur",1,"C - >20% Probability","BU Impact","Fully Effective","IV - Ongoing","Risk assessment requirement is included in the contracts","Risk assessment requirement is included in the contracts","Physical injury or Damage to property","Contractor Supervisor/Site Manager"]
[29,"Was the acceptance criteria specified?","Y"]
[30,"Will this contract impact other contracts/projects?","Y","If the lifts are not maintained and out of service it may impose a problem of transporting good and people to the different levels",3,"C - >20% Probability","BU Impact","Fully Effective","IV - Ongoing","The lifts must be maintained and be available to enable transportation of people and goods.","The lifts must be maintained and be available to enable transportation of people and goods.","Unavailability of lifts","Site Manager / Contract Supervisor"]
[31,"Was the cost of implementation considered?","Y","Delays on other station activities",3,"C - >20% Probability","BU Impact","Fully Effective","IV - Ongoing","Keep commuication with other stakeholders on the activites that might impact other projects","Keep commuication with other stakeholders on the activites that might impact other projects","High number of notifications","Site Manager/Contract Supervisor"]
[32,"Was the cost of training considered?","N"]
[33,"Are there a risk for costs in mistakes?","N"]
[34,"Does the contract pose in financial risk or exposure?","N"]
[35,"Are there any risk i.t.o. skills and availability?","N"]
[36,"Were the employment requirements considered?","N"]
[37,"Does the contract require a change management component?","N"]
[38,"Will the contract have an impact on working conditions?","N"]
[39,"Will the contract have an effect on existing job descriptions?","N"]
[40,"Could the contract effect staff morale?","N"]
[41,"Does the contract specify compliance to specific standards?","Y","Poor workmanship",1,"B - >5 Probability","BU Impact","Partially Effective","IV - Ongoing","Compliance to specific standard included on the contract and technical evaluation.","Compliance to specific standard included on the contract and technical evaluation.","Non compliance","Site Manager/Service Manager"]
[42,"Could the contract lead to negative reactions?","N"]
[43,"Was the cost of maintenance considered?","N"]
[44,"Is a Disaster Recovery Plan required?","N"]
[45,"Could there be a risk i.t.o. supplier vulnerabilities?","N"]
[46,"Could the contract/ data result in lack in customer service?","N"]
[47,"Were legal requirements captured or referred to?","Y","Safety, Health and Environmental incidents / Legal contraventions",1,"B - >5 Probability","BU Impact","Partially Effective","IV - Ongoing","Legal requirement specified on the contract","Legal requirement specified on the contract","Non compliance","Site Manager/Contract Supervisor"]
[48,"Could industrial action have an effect on contract execution/steps taken?","Y","Delays in station activities due to unavailability of Lifts",3,"C - >20% Probability","BU Impact","Fully Effective","IV - Ongoing","The station has a EP plan to deal/manage strike","The station has a EP plan to deal/manage strike","Communication from Contractor Employees,Eskom employees or GVL Management","Site Manager/Service Manager"]
[49,"What role will weather conditions play in the execution of the contract?","N"]
[50,"Is the contract period the best option?","Y"]
[51,"What communications risk exist for the contract?","Y","Incomplete execution of work due to miscommunication",3,"C - >20% Probability","BU Impact","Fully Effective","IV - Ongoing","Communication "]
[52,"Are there any procurement risks?","Y","Yes, delays on procument will cause a delay on the delivery of contract",2,"C - >20% Probability","Departmental Impact","Fully Effective","IV - Ongoing","Proper procument process should be followed .","Proper procument process should be followed .","Delays on delivery","Service Manager / Contract Supervisor"]
[53,"Does time constraints pose a risk to the contract?","Y","Delays in station activities due to unavailability of Lifts contract",1,"E - 99% Probability","BU Impact","Fully Effective","IV - Ongoing","PO in place and ending on 30th April 2022","PO in place and ending on 30th April 2022","Unavailability of the lifts","Service Manager / Contract Supervisor"]
[54,"Any risks in scope increasing/","N"]
[55,"Any risks in the costs/ analysis of the contract?","N"]

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[]
[]
[null,"Table 4: Consequence criteria"]

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[]
[]
[null,"Table 5: Likelihood criteria"]
[null,"Category","Criteria"]
[null,"E","·         99% probability, or"]
[null,null,"·         impact is occurring now, or"]
[null,null,"·         could occur within “days to weeks”"]
[null,"D","·         >70% probability, or"]
[null,null,"·         balance of probability will occur, or"]
[null,null,"·         could occur within “weeks to months”"]
[null,"C","·         >20% probability, or"]
[null,null,"·         may occur shortly but a distinct probability it won’t, or"]
[null,null,"·         could occur within “months to years”"]
[null,"B","·         >5% probability, or"]
[null,null,"·         may occur but not anticipated, or"]
[null,null,"·         could occur in “years to decades”"]
[null,"A","·         <5% probability"]
[null,null,"·         occurrence requires exceptional circumstances"]
[null,null,"·         exceptionally unlikely, even in the long term future"]
[null,null,"·         only occur as a “100 year event”"]

{"sheet":"Risk Control Guide","index":3,"n_rows":11,"n_cols":3,"rows_kept":11,"merged":[[6,1,8,1]],"flags":["formulas_cached_only"]}
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[]
[null,"Table 7: Risk Control Effectiveness"]
[null,"RCE","Guide"]
[null,"Fully effective","Nothing more to be done except review and monitor the existing controls.  Controls are well designed for the risk, are largely preventative and address the root causes and Management believes that they are effective and reliable at all times.  Reactive controls only support preventative controls."]
[null,"Partially effective","Most controls are designed correctly and are in place and effective.  Some more work to be done to improve operating effectiveness or Management has doubts about operational effectiveness and reliability."]
[null,"Ineffective","While the design of controls may be largely correct in that they treat most of the root causes of the risk, they are not currently very effective.  There may be an over-reliance on reactive controls."]
[null,null,"or"]
[null,null,"Some of the controls do not seem correctly designed in that they do not treat root causes, those that are correctly designed are operating effectively."]
[null,"Totally ineffective","Significant control gaps.  Either controls do not treat root causes or they do not operate at all effectively. Controls, if they exist are just reactive."]
[null,"None","Virtually no credible control.  Management has no confidence that any degree of control is being achieved due to poor control design and/or very limited operational effectiveness."]

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[]
[null,"Table 3: Potential Exposure Criteria"]
[null,"Level of Potential Exposure","Equivalent Financial Impact on Eskom (Rand Net Profit)"]
[null,"Beyond Eskom impact","> R1b"]
[null,"Across Eskom Divisions impact ","≥ R200m"]
[null,"Divisional impact ","≥ R 35m"]
[null,"Business Unit impact","≥ R10m"]
[null,"Departmental impact ","≥ R1m"]

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[]
[]
[null,"Table 8: Priority for attention"]
[null,"Priority","Suggested timing of treatment","Authority for continued toleration of residual risk"]
[null,"I","Short term.  Normally within 1 month.","Managing Directors, Chief Executive and Board"]
[null,"II","Medium term.  Normally within 3 months.","Managing Directors, Senior General Managers and General Managers"]
[null,"III","Normally within 1 year","Senior General Managers, General Managers and Managers"]
[null,"IV","Ongoing control as part of a management system.","All staff"]