The Operational Risk Management Form is a critical document used by organizations operating under German jurisdiction to systematically identify, assess, and manage operational risks. It is designed to comply with German regulatory requirements, particularly MaRisk and KWG guidelines, and should be used whenever a new operational risk is identified or during periodic risk reviews. The form captures essential information including risk descriptions, impact assessments, control measures, and monitoring requirements. It supports organizations in maintaining a structured approach to risk management while ensuring compliance with German regulatory standards for risk documentation and reporting. This document is particularly important for demonstrating due diligence in risk management processes and maintaining an audit trail for regulatory inspections.
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1. Risk Identification Details: Basic information about the risk being assessed, including risk category, process/activity affected, and initial detection date
2. Risk Description: Detailed description of the identified risk, including potential causes and impacts
3. Risk Assessment: Quantitative and qualitative assessment of the risk, including probability and impact ratings
4. Current Control Measures: Description of existing controls and their effectiveness
5. Risk Rating: Overall risk rating based on probability and impact, considering existing controls
6. Action Plan: Detailed mitigation measures, including responsibilities and deadlines
7. Monitoring Requirements: Specific monitoring activities, frequency, and responsible parties
8. Review and Approval: Sign-off section for relevant stakeholders and approval authorities
1. Cost-Benefit Analysis: Detailed analysis of costs associated with risk mitigation versus potential losses - include for high-impact risks or when significant investment is required
2. Regulatory Compliance Impact: Assessment of regulatory implications - include when risk affects regulatory compliance
3. Business Continuity Considerations: Special considerations for business continuity - include for risks that could disrupt critical operations
4. Third-Party Risk Assessment: Evaluation of risks related to external parties - include when vendors or partners are involved
5. Data Protection Impact: Analysis of data protection implications - include when personal data processing is affected
1. Risk Assessment Matrix: Standard risk assessment criteria and scoring matrix
2. Control Testing Results: Detailed results of control effectiveness testing
3. Historical Risk Data: Previous incidents and near-misses related to this risk
4. Supporting Documentation: Relevant policies, procedures, and reference documents
5. Action Tracking Log: Detailed log of all actions taken and their current status
6. Key Risk Indicators: Specific metrics and thresholds for ongoing risk monitoring
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