Herausgeber:
Universität Liechtenstein
Erscheinungsjahr:
2006
PURL:
https://www.eliechtensteinensia.li/viewer/object/000253878/28/
The operational risk concerns mostly business processes: when the goal of those 
processes is not clear, no performance indicators can be defined and used for 
assessing the fulfillment of the goals. The loss data collected by the Basel Committee 
shows that most of the losses originate from some failure of internal process [1, table 
5]. 
  
Operational Risk Mgt PRM Extract from 
ISO/IEC 12207 Amd 1 
  
  
PRIMARY 
Operational Risk Processes 
  
  
  
  
ORGANIZATIONAL 
Operational Risk Processes 
  
  
  
  
  
Basic Operational Risk Analysis (BORA) 
BORA.1 Operational Risk Identification 
  
  
  
BORA.2 Operational Risk Assessment Management (MAN) 
MAN.1 Organizational Alignment 
Basic Operational Risk Operation (BORO) MAN.2 Organizational Management 
BORO.1 Operational Risk Control 
BORO.2 Operational Risk Monitoring 
  
  
  
  
Process Improvement Mgt (PIM) 
Business Continuity Mgt (BCM) PIM.1 Process Establishment 
PIM.2 Process Assessment 
PIM.3 Process Improvement 
  
  
  
  
  
Outsourcing Risk Management (ORM) 
  
  
  
  
  
  
  
  
  
SUPPORTING Operational Risk Processes 
  
  
Configuration Management (CONF) 
  
  
Internal Review (REV) 
  
  
  
Historical Loss Data Management (HLDM) 
HLDM.1 Historical Loss Data Collection 
HLDM.2 Measurement 
  
  
  
  
  
  
  
  
  
  
  
  
Operational Risk Management 
  
  
  
Abb.1. The 15 processes of the Operational Risk Management model compliant to 
Basel II regulation. 
Regulators have the challenge to assess the Operational Risk Management 
processes and financial institutions have the challenge to implement those processes. 
A goal-oriented model based on the ISO/IEC 15504 standard has been created to 
make clear the goals of those processes [7]. The result of this work is shown in 
Figure 1. The four main processes describe the generic activities needed for 
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