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Operational Risk Management Form

Operational Risk Management Form Template for Germany

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Key Requirements PROMPT example:

Operational Risk Management Form

"I need an Operational Risk Management Form for our German manufacturing facility that focuses on supply chain disruption risks, with specific emphasis on third-party vendor assessments and compliance with MaRisk guidelines for our Q1 2025 risk review."

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Document background
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.
Suggested Sections

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

Optional Sections

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

Suggested Schedules

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

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Operational Risk
Risk Owner
Control Owner
Risk Rating
Inherent Risk
Residual Risk
Control Measures
Risk Appetite
Risk Tolerance
Key Risk Indicator (KRI)
Risk Matrix
Impact Assessment
Probability Assessment
Mitigation Measures
Control Effectiveness
Risk Assessment Period
Monitoring Requirements
Escalation Process
Material Risk
Risk Category
Risk Register
Control Framework
Risk Threshold
Action Plan
Business Process
Critical Process
Near Miss
Risk Event
Risk Documentation
Control Testing
Reporting Period
Review Cycle
Approval Authority
Risk Assessment Methodology
Control Environment
Risk Treatment
Monitoring Frequency
Risk Profile
Risk Limits
Compliance Requirements
Clauses
Risk Identification
Risk Assessment
Control Measures
Mitigation Planning
Monitoring and Review
Reporting Requirements
Roles and Responsibilities
Documentation Requirements
Data Protection
Confidentiality
Governance and Oversight
Regulatory Compliance
Audit and Inspection
Record Keeping
Risk Rating Methodology
Escalation Procedures
Review Frequency
Control Testing
Performance Measurement
Business Continuity
Training Requirements
Quality Assurance
Change Management
Incident Reporting
Risk Acceptance
Emergency Response
External Communication
Internal Controls
Approval Process
Resource Allocation
Relevant Industries

Banking and Financial Services

Insurance

Manufacturing

Healthcare

Technology

Telecommunications

Energy

Transportation and Logistics

Retail

Professional Services

Public Sector

Pharmaceuticals

Construction

Real Estate

Relevant Teams

Risk Management

Compliance

Internal Audit

Operations

Quality Assurance

Information Security

Legal

Finance

Business Continuity

Process Excellence

Control Management

Corporate Governance

Relevant Roles

Chief Risk Officer

Risk Manager

Compliance Officer

Internal Auditor

Department Manager

Process Owner

Control Specialist

Operations Manager

Quality Assurance Manager

Business Continuity Manager

Information Security Officer

Financial Controller

Legal Counsel

Project Manager

Business Unit Head

Industries
KWG (Kreditwesengesetz): German Banking Act - Provides the fundamental regulatory framework for risk management in financial institutions, including operational risk requirements
MaRisk (Mindestanforderungen an das Risikomanagement): Minimum Requirements for Risk Management - Detailed regulations issued by BaFin specifying risk management requirements for financial institutions
DSGVO (Datenschutz-Grundverordnung): German implementation of GDPR - Crucial for handling personal data in risk management processes
AktG (Aktiengesetz): German Stock Corporation Act - Contains provisions on corporate governance and risk management responsibilities for board members
HGB (Handelsgesetzbuch): German Commercial Code - Contains requirements for risk reporting and documentation in annual reports
KonTraG: Law on Control and Transparency in Business - Requires companies to establish risk monitoring systems
BetrVG (Betriebsverfassungsgesetz): Works Constitution Act - Relevant for employee involvement in risk management processes
BGB (Bürgerliches Gesetzbuch): German Civil Code - Provides general legal framework for contractual obligations and liability
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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