UCSC Purchasing -Risk Assessment Overview

Purchasing Help

Need Help?
Call 459-2311
buy4me@ucsc.edu

University Business Services
UC Santa Cruz
1156 High Street
Santa Cruz, CA 95064-1077

Risk Assessment Overview

Summary: Use these questions to help assess the risk involved with a purchase: who, what, how, when, and where. Review examples and risk matrix.

What are the experience, training, and qualifications of the vendor who will be providing the goods or performing the service?
What is the vendor's record? If there is any question about the vendor's reliability or safety record, can references be provided?
Might the person performing the service influence the risk - is this person a celebrity or controversial figure?
Are there any laws/regulations/licensing requirements which relate to the goods or service?

What are the characteristics of the service?
- self defense training
- instruction in a sport
- playing music for a dance
- a lecture on a controversial topic
What are the characteristics of the goods?
- off-the-shelf
- customized
- made-to-order
- critical timeline
- fragility

Exactly how will the service be provided?
- class room-type instruction
- demonstration
- participation of UCSC students
- employees, and/or members of the public
Is the service provider including loss control methods which can lower risk associated with the activity (protective padding used in a self-defense class lowers risk of injury)?
How will the repair be made or the furnishing installed? Will the vendor need to be on a ladder?

Is the service scheduled for a time and place where it will conflict with other campus activities?
Does the time of day (or night) increase the risk associated with the service?

Are the campus facilities to be used by the person or organization performing the service adequate for the type of service to be provided?
Is the space appropriate for the size of the group or audience and the service being provided (conducting a self defense class in a small room may increase risk)?

Low <- Continuum of Risk -> High
Informational Lectures or Talks - Small Audience Size	Political Lectures or Talks - Medium to Large Audience Size	Speeches by Celebrities or Controversial Figures
Self Defense Classes taught by Lecture ONLY	Self Defense Classes with Moves Practiced on Instructor	Self Defense Classes with Moves Practice on Students
Bands & Musicians - Performance on Stage or Restricted Area, No Alcoholic Beverages Served, Not Open to Public, 100 or Less Participants, Controlled Admission, UC On-Site Supervision	Bands & Musicians - Performance on Stage or Restricted Area, Controlled Alcoholic Consumption, Not Open to Public, 200 or Less Participants, Controlled Admission, UC On-Site Supervision	Bands & Musicians - Performance in Non-Restricted Area, Controlled Alcohol Consumption, Open to Public, 300 or Less Participants, Controlled Admission UC On-Site Supervision

	High Frequency	Moderate Frequency	Low Frequency
High Severity	UNACCEPTABLE RISK	VERY HIGH RISK - Avoid Activity - Complete Risk Management. review mandatory - Special insurance requirements	HIGH RISK - Complete Risk Management review mandatory - Special insurance requirements
Moderate Severity	HIGH RISK - Possible special insurance requirements - Loss control required	MODERATE RISK - Standard insurance requirements - Loss control required	MODERATE RISK - Standard insurance requirements - Loss control recommended
Low Severity	MODERATE RISK - Standard insurance requirements may be modified - Loss control recommended	LOW RISK - No insurance required	VERY LOW RISK - No insurance required

Last revised: April 19, 2007 (am)