Tools & Templates

You can download an Excel file that provides tools & templates to assist in the management of risk for:

These tools include:

  • A risk register for documenting the identification, analysis, treatment and ongoing review of risks
  • The risk categories that need to be considered under APES 325 and a list of risks typical to midsize firms
  • Criteria for assessing the likelihood of a risk occurring and the potential consequence if the risk occurs
  • A risk rating matrix
  • Criteria for assessing any existing controls.

These samples are indicative only and need to be considered and adapted to your practice based on its size, risk appetite and the environment in which your practice operates.