# Risks

Source: https://docs.astalty.com.au/guide/participants/risks

> Record and manage risks against a Participant's profile as your risk register.

## 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.

Video walkthrough: introduction to risks.

## Risks Menu

Open the Participant's profile and select **Risks**.

![The Risks page on a Participant's profile, opened from the highlighted Risks menu item, showing the Inherent Risks and Residual Risks matrices above a list of four Risks with their ratings and review dates.](https://docs.astalty.com.au/assets/risks-1.png)

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.

![The Risks page on a Participant's profile, with an arrow pointing to the highlighted Add a Risk button beside Actions.](https://docs.astalty.com.au/assets/risks-2.png)

### 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.

![The Risks list on a Participant's profile with the Inherent Risk, Residual Risk and Next Review column headings highlighted, Next Review showing a sort arrow.](https://docs.astalty.com.au/assets/cleanshot-riskssort-guide.png)

## 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.

![The Add a Risk drawer with the Risk Details section highlighted, showing Title, Risk To set to Participant, Review Frequency set to Monthly and a Description filled in for a choking risk.](https://docs.astalty.com.au/assets/risks-1a.png)

## Assessment

Complete the assessment with:

- Likelihood
- Consequence
- Control

### Likelihood

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

![The Likelihood question in the Assessment section, with its options highlighted: Rare, Unlikely, Possible, Likely and Almost Certain, each with a short description.](https://docs.astalty.com.au/assets/risks-4.png)

### Consequence

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

![The Consequence question with its options highlighted: Insignificant, Minor, Moderate, Major and Severe, each with a short description of the impact.](https://docs.astalty.com.au/assets/risks-5.png)

### 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.

![The Controls section highlighted, with one control titled Texture-modified meals as per the speech pathologist's plan, an X to remove it, an Add Another Control button, and Residual Likelihood set to Possible.](https://docs.astalty.com.au/assets/risks-6.png)

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).

![The Controls section with two controls, a numbered marker 1 beside the Add Another Control button and 2 below the X beside the second control, and Residual Likelihood set to Possible.](https://docs.astalty.com.au/assets/risks-7.png)

## Risk Overview

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

![The Risk Overview highlighted, with Inherent Risk and Residual Risk matrices of Likelihood against Consequence, the inherent score 22 and the residual score 18 outlined.](https://docs.astalty.com.au/assets/risks-8.png)

## 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**.

![The Risks list on a Participant's profile with a Risk's three-dot menu open, showing Edit, Clone, Archive and Delete, with Clone selected.](https://docs.astalty.com.au/assets/risks-clone-menu.png)

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.

![The Clone Risk drawer pre-filled with an existing Risk's Title, Risk To, Review Frequency, Description and Management Type, with Cancel and Create buttons at the bottom.](https://docs.astalty.com.au/assets/risks-clone-modal.png)

## 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**.

![The three dot menu on a risk showing the Edit, Clone, Archive and Delete options, with an arrow pointing to Archive, which is highlighted.](https://docs.astalty.com.au/assets/risks-archive-menu.png)

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.

> **Archiving is not the same as deleting**
>
> Archiving is reversible - the risk is kept and can be brought back at any time. Deleting a risk removes it permanently. If you are unsure which to use, archive the risk.

### 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](https://docs.astalty.com.au/guide/reports/participant-risks-report) and its risk matrices.
- The [Risks Export](https://docs.astalty.com.au/guide/exports/risks-export) (CSV and PDF).
- [Participant Risk Review notifications](https://docs.astalty.com.au/guide/notifications/participant-risk-review-notification) - you will no longer be reminded to review it.
- The Support Worker app, even if the risk was set as visible to Support Workers.

> **Archived risks count as no risks**
>
> If every risk on a Participant's profile is archived, that Participant will appear in the [Participants Without Risks Report](https://docs.astalty.com.au/guide/reports/participants-without-risks-report).

### 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 Archived is Active filter above the participant risk list opened, showing the Active and Archived options, with an arrow pointing to Archived.](https://docs.astalty.com.au/assets/risks-archived-filter.png)

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.

![The Visibility section of the Risk form highlighted, with the Visible to Support Workers tick box ticked.](https://docs.astalty.com.au/assets/risks-9.png)

To see how Risks are displayed to Support Workers, visit the [Participant Details App View](https://docs.astalty.com.au/guide/scheduling/support-worker-app/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.

![The Risks page with the Inherent Risks and Residual Risks matrices at the top, and one Risk highlighted in the list showing its ratings and a Visible to Support Workers label.](https://docs.astalty.com.au/assets/risks-10.png)

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](#archiving-a-risk).

![The Risks page with the Residual Risk is High filter highlighted beside Archived is Active, and the list showing two Risks with a high residual rating.](https://docs.astalty.com.au/assets/risks-11.png)

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

![The filtered Risks list with an arrow pointing to the expand arrow beside a Risk, and that Risk's Controls listed and highlighted below it.](https://docs.astalty.com.au/assets/risks-12.png)

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

![The Risks list on a Participant's profile with a Risk's three-dot menu highlighted and an arrow pointing to Edit at the top of its menu, above Clone, Archive and Delete.](https://docs.astalty.com.au/assets/risks-13.png)

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.

![The lower part of the Edit Risk drawer, below the Risk Overview matrices, with the Review Risk section highlighted showing Mark this risk as reviewed ticked and a Review date.](https://docs.astalty.com.au/assets/risks-15.png)

### 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.

![The Edit Risk drawer with a numbered marker 1 on the Actions button and 2 on the Audit Trail option in its menu.](https://docs.astalty.com.au/assets/risks-16.png)

## Exporting Risks

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

![The Risks page on a Participant's profile with the Actions button highlighted and an arrow pointing to Export as PDF in its menu.](https://docs.astalty.com.au/assets/risks-pdf-1.png)

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 Select Risks to Export drawer with three of four Risks ticked, the Include Glossary tick box ticked, both areas highlighted, and an arrow pointing to the Export (3) button.](https://docs.astalty.com.au/assets/risks-pdf-2-guide.png)

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.

![Page 1 of an exported Risks PDF with the Participant Details and Organisation Details header highlighted above the risk matrices and a table of Risks, controls and ratings, and an arrow pointing to the Printed date at the bottom left.](https://docs.astalty.com.au/assets/risks-pdf-3.png)

![Page 2 of an exported Risks PDF, the Glossary, explaining the risk matrix and inherent and residual risk, with a table of Consequence levels for Participant, Staff and Business, and an arrow pointing to the Printed date.](https://docs.astalty.com.au/assets/risks-pdf-4.png)

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](https://app.astalty.com.au/reports/participants/risks) to compare Inherent and Residual risk levels across Participants. See [Participant Risks Report](https://docs.astalty.com.au/guide/reports/participant-risks-report) for its filters and results.