risk assessment template department of education

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Prevent duty: risk assessment templates

Prevent duty risk assessment templates for early years, schools and further education providers.

Applies to England

How to complete a risk assessment to assess the risk of people becoming terrorists or supporting terrorism, prevent risk assessment template: early years.

ODS , 55.2 KB

This file is in an OpenDocument format

Prevent risk assessment template: schools

ODS , 56.1 KB

Prevent risk assessment template: further education

ODS , 58.1 KB

These templates are for:

• registered early years settings
• maintained schools
• independent schools
• further education and skills providers

They support you to assess the risk of children, young people or adult learners being radicalised into terrorism, including online.

The risk assessment template can help you demonstrate an awareness and understanding of the terrorism threat in the local area, the phase of education and the size and type of setting. The template supports providers to set out an action plan to communicate and clarify procedures in place to mitigate risks to children, young people and adult learners vulnerable to radicalisation into terrorism.

The use of these templates is not mandatory, but the guidance does refer to statutory requirements of the Prevent duty. This guidance should be read in conjunction with:

• the Prevent duty guidance
• the safeguarding learners vulnerable to radicalisation guidance

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• UC Finance >
• Risk Services >
• Enterprise Risk and Resilience >
• Enterprise Risk Management >

Higher Education Risk Assessment Tool

Enterprise risk and resilience.

This tool will help you consider your campus' risk portfolio for a specified list of the most common risks in higher education.

The purpose of this tool is not to ensure all risks are rated as "Adequately Controlled" but rather to help departments assess their control structure for sufficiency given their environment, resources, and bandwidth. This tool will not make decisions for you, but it will help you organize your thinking as you consider your campus' risk profile and related enterprise risk management implications.

The steps involved in completing this tool are outlined below, followed by additional notes.

• Step 1. Get started
• Step 2. Customize scales and weightings

Step 3. Assess your risks

• Step 4. Review a chart of your risks
• Step 5. Export your data

Download a sample version of this tool (xlsx)

View the higher education risk assessment tool webinar.

The sample version should allow you to understand how this tool displays information, how to navigate through the steps, and what types of information you will need to complete it. However, it does not contain any formulas or calculations.

The full version of this tool is available free of charge as a public service and outreach effort of the UCOP Office of Risk Services. However, we do ask that you provide us with some basic information to assist us in understanding how this tool is being used. This helps us ensure we are continuously evolving the tools in our toolkit to meet the needs of our users. 

If you would like a full version of this tool, please contact us at [email protected] with the following information:

• Your name and title
• Your organization
• Your phone number
• Your e-mail address
• The name(s) of the tool(s) you would like to use
• A brief description of how you intend to use the tool(s)

Step 1. Getting Started

When you open the tool, you may be prompted with a warning indicating some content is unsecured. The tool only uses one macro, which allows the data export function to work. You will be able to fully utilize the tool even if you do not enable this macro; however, you will not be able to export the data without enabling it.

Next, fill in the employee names and organization information at the top of the first page. Then save the file in a secure location with an appropriate, unique name. This will minimize confusion if multiple files are created.

Then click the “Get Started!” button below the introduction to move on to the next step.

Step 2. Customize Scales and Weighting

Before you begin rating the risks involved and assessing your controls, it is necessary to set some common definitions for the varying degrees of a risk's impact and likelihood. It is also important to set common parameters for evaluating the effectiveness of controls. Sample definitions are provided as shown in the following tables. Place your cursor in the definition field to modify the definitions to suit your needs.

Risk impact and risk likelihood are both weighted at 50% each by default as shown in the following table. Depending on the types of risk you are considering, those weights may change. For instance, if you are using this tool to consider risks that could cause workers’ compensation claims, you may weigh risk likelihood higher because there are statutory limits that determine the severity of the claims based on frequency. If instead you are considering reputational risks, where small number events may have a significant impact, you may weigh severity higher. To change how these factors are weighed, place your cursor in the cell and revise the percentages. These two factors must be equal to 100%.

As you move on to other steps, you can return to this page at any time by clicking the "Customize Scales" button

Formula Protection

Some cells on each page are protected to prevent accidental edits which may affect the tool’s calculations.  Cells containing formulas are shaded a light grey. Spaces intended to be left blank are also shaded in the same light grey.  Cells where you can enter information or make a selection from a drop-down menu are filled in white. Even for cells that are protected, you are able to format cells as you wish (change fonts, styles, colors, widths, heights, alignment, and text wrapping). These types of changes should be made without removing the protection on the page.

Risk Assessment

This step lists common risks related to higher education, which are organized in the following groups:

• Hazard Risks
• Financial Risks
• Information Technology Risks
• Human Resources Risks
• Research Risks
• Contract and Grant Risks
• Campus Life Risks
• Facilities & Maintenance Risks

There are blank spaces at the bottom of the page to list additional risks at your discretion.

Assess the impact and likelihood of each risk listed by selecting a scale from each dropdown menu. Next, describe how your organization is currently managing each risk, and describe any risk mitigation plans or efforts which are already in place . Then identify how frequently controls for that risk are performed .  For example, an audit may be performed annually, whereas access badges that restrict access to certain areas of the campus or medical center may be used multiple times daily.

Assess the effectiveness of the existing controls you just described by selecting a scale from the dropdown menu in the “Control Effectiveness” column. Once you have made this selection, the risk rating will be calculated and the “Risk Rating” field will populate.

This “Risk Rating” will show as one of the following:

If you want to change the options shown on the dropdown menus for "Risk Impact", "Risk Likelihood", or "Control Effectiveness" you can change them by returning to the "Customize Scales" step.

Then, under "Dashboards, Monitoring, & Reporting," describe how the control activities are being monitored and identify the person in your organization who is accountable for monitoring those controls.

Step 4.  Review a chart of your risks

The chart provides a graphical representation of your risk assessment based on your selections for risk likelihood, risk impact, and control effectiveness. There is a dropdown menu at the left of the page which allows you to select which information to plot on the chart. You can have the chart show each risk of a selected group or each group combined as a single point displayed with the other groups.

Step 5.  Export your data

When you have completed all of the steps, you may export the data into a comma-separated value file (.csv) for use in the University's Enterprise Risk Management Information System (ERMIS) by selecting the "Export" button in the Assess Risk step.

Related Resources

• Risk Assessment Toolbox
• Risk Assessment Tool Webinars

School operations

Risk Management – Schools

• Step 1 – Establish the context
• Step 2 – Risk identification
• Step 3 – Risk analysis
• Step 4 – Evaluation
• Step 5 – Risk treatment
• Step 6 – Communication and consultation
• Step 7 – Monitoring and review
• Step 8 – Recording and reporting

This policy sets out the requirements for schools to identify and manage risks that might affect their students, staff or operations.

Managing risk means considering the effect of uncertainty (whether positive or negative) on school objectives.

Schools must proactively manage risks by following the department’s Risk Management Process for Schools set out in the Guidance tab .

Managing risk involves:

• identifying and assessing risks and controls
• documenting risks in a risk register (or equivalent)
• implementing actions and treatments to manage identified risks
• monitoring risks, including regularly reviewing risk registers
• reporting on risks.

Managing risk is everyone’s responsibility, as explained in the department’s Three Lines of Defence External Link model.

Identifying and managing risk maximises schools’ ability to make sound decisions to:

• deliver the best possible outcomes for the school and the community
• meet Victorian community and government expectations for accountable and responsible use of public finances and resources
• safeguard student and staff wellbeing.

Assessing and documenting risk

All schools must use the department’s Risk Management Process for Schools when assessing and documenting the risk(s) associated with:

• Emergency and Critical Incident Management Planning
• Child Safe Standards
• OHS Management System (OHSMS) Overview
• Buses – Owned, Hired or Chartered by a School

When assessing the risks listed above, schools must document the identified risks in a risk register. A template risk register is available in the Resources tab .

Schools may also assess and document risks for:

• development and review of the school’s Annual Implementation Plan (AIP)
• development and review of the school’s School Strategic Plan (SSP)
• community events such as school fetes, concerts and science fairs
• school projects/programs such as infrastructure builds
• lesson planning associated with higher risk activities such as science experiments or food technology classes.

If a school is uncertain whether a risk assessment is required, they must contact the Planning, Risk and Governance Branch for clarification and advice.

Monitoring risks

Schools must monitor risks for those mandatory risk assessments outlined above.

Schools may monitor identified risks by:

• including a standing item to review the school’s current and emerging risks on the school leadership meeting agenda
• undertaking a review of all risks associated with delivery of the AIP and the SSP at least once every 6 months
• reviewing all risk registers as necessary or when advised.

Reporting risks

Schools may report and escalate relevant risks to stakeholders, for example, school council, regional directors, Senior Education Improvement Leaders etc through appropriate channels.

Communication of this policy

Principals/school leadership are responsible for:

• providing staff with relevant training opportunities to support staff to manage risks at an operational level
• ensuring that all school staff follow departmental policies and processes, as risk management is integrated into other policies and processes.

Risk register templates are available on the Resources tab to document identified risks and their treatment and controls. Note that some templates include examples of controls or assessments which will need to be reviewed/updated to suit your specific context.

School leadership teams (principals and business managers) can contact the Planning, Risk and Governance Branch for specific risk advice and risk training workshops. Email: [email protected]

Printed copies of the Risk Management Process for Schools pocket guide (available in the Resources tab ) can also be ordered from the Branch.

Definitions

Objective An objective is an aspirational, results-oriented statement describing what your school intends to achieve within the set timeframe, and describes what successful delivery would entail.

Risk The effect (whether positive or negative) of uncertainty on objectives.

Risk management The identification, analysis, assessment and prioritisation of risks to the achievement of an objective.

Risk management involves the coordinated allocation of resources to:

• minimise, monitor, communicate and control risk likelihood and/or impact, or
• maximise the potential presented by opportunities.

Risk management includes coordinated activities to direct and control risks to the achievement of an objective.

Risk register A formatted list that records identified risks, assesses their impact and describes the actions (controls) to be taken to mitigate them. Typically, it describes the risk, the causes for that risk and the responsible person or group for managing it.

Control A control is any existing measure that modifies risk such as uniform policy or staff succession plan.

Controls are methods or procedures that assist in achieving objectives, safeguarding assets, ensuring financial information is accurate and reliable and supporting compliance with all financial and operational requirements.

Identifying current controls and their effectiveness is one of the most important aspects of risk management. It allows you to better understand the elements that are impacting the likelihood and/or consequence of a risk.

Treatment A risk treatment is an action you undertake to reduce a risk to an acceptable level, by adding new or improving/modifying existing controls.

Related policies

Relevant legislation.

Public Administration Act 2004 (Vic) External Link (section 81, part 1b)

Reviewed 12 May 2023

• Print whole topic

Policy last updated

11 May 2023

• School councils

Planning, Risk and Governance Branch

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Chemical safety in schools

Information on safe handling of chemicals in schools is provided for teachers and students.

Risk assessment

Specific advice on risk assessments can be found in CSIS 1.7 Risk Assessment – a pre-requisite for risk control.

As a classroom activity, you may wish to undertake a risk assessment process with students. This type of activity is linked to the following Working Scientifically outcomes:

• Stage 5 Science (WS5.3D) - Students choose equipment or resources for an investigation by assessing risks and addressing ethical issues associated with these methods
• All science courses - Planning investigations (11/12-2), students assess risks , consider ethical issues and select appropriate materials and technologies when designing and planning an investigation

Carrying out a risk assessment: a resource document for students and teachers (DOCX 46 KB) contains a blank scaffold of a risk assessment to use with students.

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