The Risk and Control Assessment Template serves as a foundational document for organizations operating in Australia to establish and maintain effective risk management practices. This template is designed to be used when conducting regular risk assessments, implementing new control measures, or reviewing existing risk management frameworks. It encompasses comprehensive guidance for risk identification, assessment methodology, control evaluation, and monitoring processes, aligned with Australian regulatory requirements including the Corporations Act 2001, ASX Corporate Governance Principles, and industry-specific regulations. The template supports organizations in maintaining compliance while effectively managing their risk profile through structured documentation and assessment processes.
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1. Document Control: Version history, approval status, and document ownership information
2. Purpose and Scope: Defines the objectives of the risk assessment and its organizational scope
3. Roles and Responsibilities: Outlines who is responsible for various aspects of risk assessment and control monitoring
4. Risk Assessment Methodology: Explains the approach used to identify, analyze, and evaluate risks
5. Risk Categories: Defines the main categories of risks to be assessed (e.g., operational, financial, strategic, compliance)
6. Risk Rating Criteria: Defines the criteria for assessing likelihood and impact of risks
7. Control Assessment Framework: Methodology for evaluating control effectiveness and design
8. Documentation Requirements: Specifies how risks and controls should be documented
9. Review and Monitoring: Process for ongoing review and updates of risk assessments
10. Reporting Requirements: Details on how risk assessment results should be reported and to whom
1. Industry-Specific Risk Considerations: Include when the organization operates in a regulated industry with specific risk requirements
2. Technology Risk Assessment: Include for organizations with significant IT dependencies or digital operations
3. Third-Party Risk Management: Include when the organization relies heavily on external vendors or partners
4. Project Risk Assessment: Include for organizations that regularly conduct project-based work
5. Environmental Risk Assessment: Include for organizations with significant environmental impact
6. Business Continuity Considerations: Include for critical business operations requiring continuity planning
7. Fraud Risk Assessment: Include for organizations handling financial transactions or sensitive assets
1. Risk Register Template: Standard template for documenting identified risks and their assessments
2. Control Matrix Template: Template for documenting controls and their effectiveness
3. Risk Heat Map Template: Template for visualizing risks based on likelihood and impact
4. Action Plan Template: Template for documenting risk treatment plans and control improvements
5. Risk Assessment Checklist: Detailed checklist for conducting risk assessments
6. Control Testing Schedule: Template for planning and tracking control testing activities
7. Risk Appetite Statement: Documentation of organization's risk tolerance levels
8. Glossary of Terms: Definitions of key risk and control terminology used in the assessment
9. Regulatory Requirements Reference: Summary of relevant regulatory requirements affecting risk assessment
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