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Risks

Overview

Use Risks on a Participant's profile as their risk register. Record the risk, who or what it affects, its likelihood and consequence, existing controls and the review frequency. Astalty calculates the inherent and residual ratings and summarises them in risk matrices.

Risks Menu

Open the Participant's profile and select Risks.

The page shows the Participant's inherent and residual risk matrices and their current Risks. Select Add a Risk to create one. Use a Risk's 3-dot menu to edit, clone, archive or delete it.

Sorting

Sort the list by:

The following sorting options are available:

  • Inherent Risk - Sort risks based on their initial risk level before any controls are applied.
  • Residual Risk - Sort risks based on the remaining level of risk after controls have been implemented.
  • Next Review - Sort risks by their upcoming review date.

Risk Details

Select Add a Risk, then enter:

  • Title
  • Risk To (Participant, Business, Staff, or Others)
  • Review Frequency (Weekly, Monthly, Quarterly, Six Monthly, or Annually)
  • Description
  • Management Type, when enabled for your account

Active Management Type is for risks where you are implementing and monitoring controls. Static is for risks that only need monitoring and no active intervention at this time.

Assessment

Complete the assessment with:

  • Likelihood
  • Consequence
  • Control

Likelihood

Choose how likely the risk is to occur before controls are considered.

Consequence

Choose the impact if the risk occurs. Controls change the likelihood, but do not change the consequence selected here.

Control

Select Add Control and describe the controls that reduce the risk. Then choose the likelihood with all listed controls in place. The controlled likelihood applies to the group of controls, not to one control at a time.

You can add multiple control options to this risk entry (1), and you can also remove a control by clicking the 'X' to the right of the control (2).

Risk Overview

Astalty uses the assessment to calculate the inherent rating before controls and the residual rating after controls.

Cloning a Risk

If you need to record a variation of a risk you have already assessed, you can clone an existing risk to save time instead of building it from scratch. Cloning is most useful when the risk itself is largely the same but a few details differ - for example, who the risk is to, or the controls that need to be implemented. Cloning copies a risk within the same Participant's profile; it does not copy the risk across to other Participants.

In the Risks menu, click the three dots next to the risk you want to copy and select Clone.

This opens the Clone Risk drawer, pre-filled with the details of the original risk - including the Title, Risk To, Review Frequency, Description, Management Type, Likelihood, Consequence, any Controls, and the Support Worker visibility setting.

Adjust any of the details as needed, then click Create to save it as a new risk. The cloned risk is a separate, standalone entry - editing or deleting it has no effect on the original risk it was copied from.

Archiving a Risk

When a risk is no longer relevant to a Participant - for example, the circumstances behind it have changed, or the risk has been fully resolved - you can archive it instead of deleting it. Archiving keeps the full risk record and its audit trail, but removes the risk from day-to-day view so your risk register only shows what you are actively managing.

To archive a risk, go to the Risks menu on the Participant's profile, click the three dots next to the risk, and select Archive.

Astalty will ask you to confirm before archiving. Click Archive in the confirmation window to complete it, or Cancel to leave the risk as it is.

You can also archive a risk while you have it open - the Archive button sits at the bottom left of the Edit Risk drawer, next to Cancel and Update.

What Changes When a Risk is Archived

Once archived, the risk is treated as no longer active. It is excluded from:

  • The Participant's Inherent and Residual risk matrices on the Risks menu.
  • The Participant's Export as PDF risk report.
  • The Participant Risks Report and its risk matrices.
  • The Risks Export (CSV and PDF).
  • Participant Risk Review notifications - you will no longer be reminded to review it.
  • The Support Worker app, even if the risk was set as visible to Support Workers.

Viewing and Restoring Archived Risks

By default the Risks menu shows only active risks. To find an archived risk, click the Archived is Active filter above the risk list and select Archived.

The filter can be set to Active (the default) or Archived. Switch it to Archived to list the Participant's archived risks - each one is marked with an Archived label next to its title.

To restore a risk, click the three dots next to the archived risk and select Unarchive, then confirm. The risk returns to the active list and is included in the matrices, reports, exports and review notifications again.

Making Risks Visible to Support Workers

You can set the visibility of specific Risks by selecting the Visible to Support Workers option. By default, Risks will not be visible to Support Workers, and this option can be selected either when creating the Risk, or by editing the Risk later.

To see how Risks are displayed to Support Workers, visit the Participant Details App View guide.

Risk Review

Once you have added risks to a Participant profile, Astalty will give you an overall risk score for the Inherent (pre control) and Residual (post control) risks for this Participant. This will display on the Risks menu on the Participant's profile.

To filter by residual risk factor, select the filter button and choose Residual Risk. The Archived filter beside it switches between active and archived risks. See Archiving a Risk.

Select the arrow beside a risk to view its controls without opening the edit page.

When a risk is due for review, open its 3-dot menu and select Edit. The same menu also contains the delete action.

You will now see a 'Review Risk' option toward the end of the risk entry. By clicking the checkbox for 'Mark this risk as reviewed' and updating, this will save the risk as being reviewed.

Audit Trail

To view the audit trail of any reviews or edits to the risk entry, click the 'Actions' button at the top of the risk edit screen and select 'Audit Trail' from the option.

Exporting Risks

To export a Participant's Risk Report, select Actions, then Export as PDF.

You will then have the option to deselect Risks that may not be relevant to the stakeholder(s) you are sharing the Risk Assessment with. The Glossary will also be included by default, but you can deselect this if you do not require this to be included in the PDF. To download the file, click 'Export'.

The PDF will contain key information in the header including;

Participant Details

  • Participant Name
  • Participant NDIS Number

Organisation Details

  • Organisation Name
  • NDIS Provider Number

The date that the Risk Report has been printed will be displayed on the bottom left hand side of each page in the report.

The Glossary page helps explain the Risk process to anyone unfamiliar with the terms used.

The naming convention of this export aligns with Templates downloaded from Astalty:

DD-MM-YYYY *Participant Name *Participant Risks.

Risks Report

Use the Participant Risks Report to compare Inherent and Residual risk levels across Participants. See Participant Risks Report for its filters and results.