ISO 31000:2018
85 records. Direct records match this source; context records explain their connections.
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control · Direct
31000-FW1 — Leadership and commitment
Leadership and commitment
control · Direct
31000-FW2 — Integration
Integration
control · Direct
31000-FW3 — Design
Design
control · Direct
31000-FW4 — Implementation
Implementation
control · Direct
31000-FW5 — Evaluation
Evaluation
control · Direct
31000-FW6 — Improvement
Improvement
control · Direct
31000-P1 — Integrated
Integrated
control · Direct
31000-P2 — Structured and comprehensive
Structured and comprehensive
control · Direct
31000-P3 — Customized
Customized
control · Direct
31000-P4 — Inclusive
Inclusive
control · Direct
31000-P5 — Dynamic
Dynamic
control · Direct
31000-P6 — Best available information
Best available information
control · Direct
31000-P7 — Human and cultural factors
Human and cultural factors
control · Direct
31000-P8 — Continual improvement
Continual improvement
control · Direct
31000-PR1 — Communication and consultation
Communication and consultation
control · Direct
31000-PR2 — Scope, context and criteria
Scope, context and criteria
control · Direct
31000-PR3 — Risk assessment: risk identification
Risk assessment: risk identification
control · Direct
31000-PR4 — Risk assessment: risk analysis
Risk assessment: risk analysis
control · Direct
31000-PR5 — Risk assessment: risk evaluation
Risk assessment: risk evaluation
control · Direct
31000-PR6 — Risk treatment
Risk treatment
control · Direct
31000-PR7 — Monitoring and review
Monitoring and review
control · Direct
31000-PR8 — Recording and reporting
Recording and reporting
risk · Context
Environmental footprint of AI training and infrastructure
Training and large-scale inference consume disproportionate energy and generate greenhouse-gas emissions; rapid AI-hardware obsolescence produces e-waste and pressures critical-mineral supply chains, with environmental and geopolitical risk.
risk · Context
Inaccurate, unreliable or hallucinated AI outputs
AI outputs contain factual errors, hallucinations, or confidently wrong predictions; inappropriate proxy metrics, overfitting/underfitting, or insufficient pre-deployment testing undermine trust in decisions made on their basis.
risk · Context
AI power concentration and erosion of societal trust
Disproportionate access to data, compute, and AI talent creates winner-take-all dynamics foreclosing competition; proliferation of AI-generated synthetic media and automated influence operations degrades the shared epistemic environment and democratic institutions.
risk · Context
AI safety failures causing physical or psychological harm
AI errors in safety-critical systems (autonomous vehicles, medical devices, industrial controls) cause injury or death; safety-constraint violations by agentic AI, cascading failures across coupled systems, and AI-generated misinformation/deepfakes cause harm.
risk · Context
Client suitability, disclosure and fiduciary breaches
Recommending unsuitable products, failing to disclose conflicts of interest, breaching fiduciary duty, KYC failures, inadequate disclosure of fees/risks, negligent advisory activities, and product flaws causing systematic customer harm.
risk · Context
Adverse regulatory or policy change
Changes in law, regulation, tax policy, or government programs materially alter the entity’s cost structure, competitive dynamics, or permissible business practices, requiring costly adaptation.
risk · Context
Attacks by capable, motivated threat actors
Because capable, motivated threat actors - outsiders, privileged and non-privileged insiders, organized groups, competitors, malicious partners or suppliers, and nation-states - actively target the organization's cyber resources, deliberate attacks are attempted against its systems and data, resulting in compromise, disruption, or theft when defenses are outmatched.
risk · Context
Money laundering, sanctions and financial-crime program failures
Failure to prevent money laundering or terrorist financing, file SARs/CTRs, perform adequate KYC/beneficial-ownership due diligence, screen for PEPs, or avoid processing transactions for OFAC-sanctioned parties; BSA/AML program deficiencies.
risk · Context
Credit and market (rate/FX) risk
Counterparty/customer default exceeding collateral, receivables concentration in deteriorating credits, and unhedged exposure to interest-rate, foreign-exchange, commodity, or equity movements causing material P&L or cash-flow volatility.
risk · Context
Liquidity, capital-structure and refinancing risk
Cash-flow shortfall from working-capital deterioration, covenant breaches accelerating debt, loss of revolving credit, or capital-market disruption; debt maturity walls and downgrades limiting refinancing at acceptable terms; insufficient capital to absorb losses.
risk · Context
Major project / program delivery failure
Large programs — ERP implementations, digital transformations, or major capital projects — fail to deliver expected benefits on time and within budget due to poor governance, scope creep, or capability gaps.
risk · Context
Trade-counterparty performance and settlement disputes
Counterparty default on OTC derivatives, settlement disputes with brokers/custodians, failure of a central counterparty, netting/close-out disputes, and margin-call miscalculations cause direct losses.
risk · Context
Client intake, documentation and account-management failures
Missing signed agreements, incomplete legal/ISDA documentation, unretained KYC/AML records, misfiled client files, unauthorized access to client accounts, and negligent loss of client assets held in custody.
risk · Context
Product and service quality failure
Outputs fail to meet specifications, customer requirements, or regulatory standards, leading to recalls, warranty claims, customer attrition, and reputational harm; product-safety incidents generate scrutiny and brand-equity erosion.
risk · Context
Stakeholder trust and social-license erosion
Gradual loss of trust and social license among customers, employees, investors, regulators, and communities — from perceived values misalignment, poor ESG/governance conduct, or repeated service failures — weakening stakeholder relationships and long-term enterprise value even absent a single acute crisis.
risk · Context
Inadequate or absent risk assessment process
No systematic process to identify, analyse, evaluate, and treat risk — including missing fraud-risk assessment and no ongoing risk monitoring — leaving material exposures unidentified and untreated before they materialise.
risk · Context
Product, customer or market concentration
Revenue or gross profit concentrated in a single product line, customer, channel, or geography; loss of one major customer or an adverse regulatory change to a dominant product creates existential revenue risk.
risk · Context
Competitive disruption and business-model obsolescence
A new entrant with a superior model, lower cost, or breakthrough technology captures share faster than the company can respond; industry/technology/customer shifts render the existing business model obsolete.
risk · Context
Geopolitical, macroeconomic and sovereign risk
Armed conflict, political instability, sanctions, trade-policy reversals (tariffs, export bans, data-localization, forced tech transfer), expropriation/nationalization, and adverse macroeconomic cycles disrupt operations, supply chains, and cost structures.
risk · Context
Innovation shortfall and emerging-technology adoption risk
Because the organization under-invests in or poorly governs its innovation pipeline while adopting unproven emerging technologies (AI/ML, blockchain, cloud) without adequate diligence, it faces both loss of differentiation and obsolescence and implementation failure, vendor lock-in, or ethical exposure, resulting in eroded competitiveness and failed technology bets.
risk · Context
Failed M&A, integration or divestiture
Acquisitions fail to achieve synergies due to cultural misalignment, IT-integration failure, or customer attrition; overpayment and hidden liabilities materialise as goodwill impairment; divestitures disrupt shared-service dependencies.
standard · Direct
ISO 31000:2018
ISO 31000:2018 Risk Management (principles/framework/process)
unified · Context
UC-RISK-01 — Establish and maintain a tailored risk management framework
Senior leadership establishes, approves, and visibly sponsors an enterprise risk management framework customized to the organization's external and internal context. The framework design defines accountabilities, resources, and processes for managing risk, and the framework is implemented across the organization on a planned schedule. Where regulated technologies such as high-risk AI systems are in scope, the framework is extended with the required lifecycle-specific risk processes. Approved framework documentation and implementation plans are retained as evidence.
unified · Context
UC-RISK-02 — Integrate risk management into enterprise processes and projects
Risk management is integrated into organizational structures, decision-making, and business activities rather than operated as a standalone silo. Cybersecurity and information security risk activities are incorporated into enterprise risk management processes, and information security risk is addressed within project management for all projects from initiation through delivery. ERM artifacts referencing cyber risk and project gate documentation with security risk sections evidence operation.
unified · Context
UC-RISK-03 — Define risk appetite, tolerance, and risk assessment criteria
The organization documents its risk framing: risk appetite and tolerance statements, assumptions, constraints, priorities, and the scope and context within which risk is managed. A standardized, structured methodology for calculating, documenting, categorizing, and prioritizing risks is defined, approved, communicated, and maintained. Risk criteria and appetite statements are reviewed periodically and after significant organizational change.
unified · Context
UC-RISK-05 — Communicate and consult with stakeholders on risk
Established lines of communication ensure risk information flows across the organization and with external stakeholders, including risks from suppliers and other third parties. Stakeholders are appropriately and inclusively involved through structured communication and consultation at each step of the risk process, and human and cultural factors are explicitly considered. Consultation records, meeting minutes, and risk communication distributions evidence operation.
unified · Context
UC-RISK-07 — Identify and analyze risks and opportunities to objectives
Risks and strategic opportunities (positive risks) are systematically identified at entity and process levels, and each identified risk is analyzed for likelihood and potential impact using the best available historical, current, and forward-looking information. Severity is assessed with consistent scales to support comparison across the risk universe. Results, sources, and analysis assumptions are recorded.
unified · Context
UC-RISK-08 — Evaluate and prioritize risks against risk criteria
Analyzed risks are evaluated against the established risk criteria to determine inherent risk and whether treatment is required. Risks are prioritized based on severity, risk appetite, and organizational context to direct treatment resources and response sequencing. Prioritization outcomes and rationale are documented and communicated to risk owners.
unified · Context
UC-RISK-09 — Select, plan, and implement risk treatments
For each risk exceeding tolerance, a response (accept, avoid, mitigate, or share/transfer) is selected consistent with the organization's strategic risk response direction. Treatment plans with owners, actions, and timelines are formulated, approved, implemented, and tracked to completion, and residual risk is re-evaluated against tolerance. Response decisions and treatment status are communicated to stakeholders.
unified · Context
UC-RISK-10 — Maintain a risk register and report the portfolio view
A risk register records identified risks with analysis results, owners, treatment plans, and current status, and is updated on a defined cycle and upon significant change. Portfolio-level views aggregate risks across the entity and are reported to management and the board to support oversight and resource decisions. Register extracts and portfolio reports evidence operation.
unified · Context
UC-RISK-11 — Assess changes that could significantly affect risk and control
The organization identifies and assesses internal and external changes - new business models, leadership, systems, regulations, and operating environment - that could significantly affect its risk profile or system of internal control. Risk assessments and responses are updated dynamically as changes and emerging risks are detected. Change-triggered assessments and resulting updates are documented.
unified · Context
UC-RISK-13 — Monitor and review risk management performance
The organization performs ongoing and separate evaluations of risk management and internal control performance, periodically measuring the framework's effectiveness against its design and intended outcomes. Risk and business performance are reviewed together at defined intervals and results are reported to accountable management. Evaluation schedules, results, and review minutes are retained as evidence.
unified · Context
UC-RISK-15 — Continually improve the risk management program
Lessons from evaluations, monitoring, and operating experience are translated into improvements to the risk management framework and process. Improvement actions are planned, assigned owners, and tracked to completion, and the framework is continually adapted to remain suitable for the organization. Improvement backlogs and completed-action evidence demonstrate operation.
workflow · Context
SOC 2 Trust Services Readiness
Runs on the existing Audit engagement with its system description, service commitments, review period, control and risk registers, and available evidence; assesses CC1–CC9 design readiness and consumes reviewed companion assessments for selected optional Trust Services categories. Delivers the criterion-to-control mapping, criterion-level evidence and design conclusions, owned gap register, and approved SOC 2 readiness disposition to management for remediation and examination planning; Type II testing, management-owned PBC preparation and management assertion remain separate workflows.
workflow · Context
Continuous Controls Monitoring (ISCM) Cycle
Run the continuous controls monitoring (ISCM) cycle: pull the current-period control metrics and score them against thresholds, triage degraded and failed controls, update the POA&M, report control health to governance, recalibrate the monitoring strategy, then classify the disposition and prepare, hand off, and archive the cycle package. Each interval runs as one workflow instance attached to the existing Process item that represents the ISCM / continuous-controls-monitoring program (process_type = security_process) — enrich that program record every cycle, never create a duplicate. The monitored control set is the existing Control items (Control.frequency doubles as the monitoring cadence, Control.control_owner as the accountable owner) and the POA&M is the existing Issue register (issue_type = deficiency, source = self_assessment); metric definitions and pass/degraded/fail threshold bands have no native field, so they live in the ISCM strategy document carried on the anchor Process item. The cycle produces the control-health scorecard, the reconciled POA&M, the control-health / security-status report, and the recalibrated ISCM strategy. In scope: the recurring NIST 800-137 monitoring loop — metric collection, threshold comparison, triage, POA&M maintenance, security-status reporting, and monitoring-strategy tuning for the controls under continuous monitoring. Out of scope: formal security control assessment and driving gap remediation to closure, which is owned by the downstream Security Control Assessment & POA&M Remediation workflow that consumes this cycle's handoff package. No upstream workflow feeds this one; it is triggered by the arrival of the monitoring interval.
workflow · Context
CSF 2.0 Profile & Maturity Assessment
Runs on an Audit item created for this assessment cycle (audit_type = readiness) — the CSF assessment engagement the workflow instance attaches to and enriches as it progresses (scope, period, rating, and report fields are written on that Audit item; every in-scope Control is linked to it so the controls-scoped profile is queryable). Build, against that boundary, a NIST CSF 2.0 Current Profile, a Target Profile, an organizational Tier rating, a subcategory gap analysis, and a CISO-ready remediation roadmap. The workflow originates on its own — scoping ingests prior CSF profiles and open POA&M (Issue) items as data, not as a named upstream handoff. In scope: rating the in-scope control set against the CSF 2.0 Core, setting target outcomes, assigning a Tier, and producing a prioritized roadmap. Out of scope: executing the remediation projects themselves and re-performing independent assurance testing. The named deliverable is the assessment package (profiles, gap analysis, Tier, posture report, roadmap, closure artifact), handed off to TWO downstream workflows that consume it rather than repeat the profiling: the Cybersecurity Assurance Review (always) and the AI Governance & Risk/Impact Assessment (only when AI systems fall inside the boundary).
workflow · Context
ISMS Risk Assessment & Treatment Cycle
Perform an ISO 27005 information security risk assessment and treatment cycle for a defined ISMS scope. The recurring cycle instance attaches to the existing Process item (process_type=security_process) that represents the ISMS scope — enrich that item, never create a duplicate; the risk register it produces is the set of Risk items the run creates and updates. The cycle: establish context and risk criteria, identify information security risks, analyze and evaluate them against the criteria, select treatment options, draft the risk treatment plan, obtain residual-risk acceptance, and retain the documented information. In scope: risk identification through treatment planning and residual-risk acceptance for the ISMS boundary. Out of scope: the Statement of Applicability control-applicability determination and control operating-effectiveness testing, which are handled downstream. This workflow has no upstream workflow — its boundary and inventory are initial inputs: the in-scope business processes are existing Process items, while the asset/information inventory and risk criteria are uploaded documents (no native Asset type). It produces the named deliverables — the current risk register (Risk items), the Risk Treatment Plan (RTP), and the SoA inputs — handed off to the ISO 27001 SoA Review & Controls Assessment workflow.
workflow · Context
ISO 27001 Stage 1 ISMS Documentation Review
Certification-body Stage 1 review of the ISMS against ISO/IEC 27001:2022 clauses 4–10: context and leadership, planning and support, operation, and performance evaluation with improvement - walking each clause group against the governing documents and the operating processes that carry it, and concluding Stage 2 readiness with dual sign-off. Stage 1 documentation and readiness review for ISO/IEC 27001:2022 clauses 4–10, conducted under the engagement methodology. It informs Stage 2 planning and does not issue a certification decision. Attach this workflow to the existing audit engagement item; retain evidence and conclusions on its workflow steps.
workflow · Context
ISO 27001 Stage 2 Annex A Controls Audit
Attach to the existing Audit engagement, owned by Internal Audit, using its approved Statement of Applicability, risk treatment plan, scope, review period and operating evidence; produce the Stage 2 Annex A Controls Audit report, four signed theme conclusions and finding register for the engagement and remediation owners. Apply the approved Statement of Applicability to ISO/IEC 27001:2022 Annex A.5.1–A.5.37, A.6.1–A.6.8, A.7.1–A.7.14 and A.8.1–A.8.34; document each exclusion and assess direct and inherited responsibilities. This Annex A assessment contributes to the engagement and does not independently establish full ISMS conformity or issue certification. Stage 1 and readiness remain separate workflows; any certification decision remains with the authorized certification body.
workflow · Context
Domain Oversight and Management Review
Quarterly management review of one process area - the process area's own oversight run. The domain owner reviews the registers the domain operates (systems, tenants, audits), the health and evidence of the operating-process runs, the domain's risks, issues and metrics, and the operation of its controls, then records direction and a dual sign-off. Instantiated once per process area; the operating processes keep their own runs.
workflow · Context
Risk Assessment and Treatment Review
Runs on the existing risk item. Assess a risk against current context and evidence, select a supported treatment response, and approve a traceable review record. Deliver the reviewed result and open actions to the responsible register owner and the named companion procedure.
workflow · Context
Quarterly Board & Audit-Committee GRC Reporting
Runs on the existing standing "Board & Audit-Committee GRC Reporting" governance Process item (process_type=business_process, frequency=quarterly): one workflow instance per quarter attaches to that Process and enriches it (the Process is not created here), and each closed instance is the prior-quarter baseline for the next run. The named deliverable is the quarterly board & audit-committee GRC pack (six-domain narrative deck, Word + PDF, redaction-cleared). It compiles that pack across six domains — risk profile, control health, open issues, regulatory deadlines, audit-plan progress, and SOX posture — computed over one quarter window. In scope: aggregating and synthesizing existing GRC records (Risk, Control, Issue, Audit, and Control-hosted SOX testing workflows) into a board-level narrative, obtaining executive and committee approval, and archiving the decision and action register. Out of scope: performing the underlying risk assessments, audits, or control tests themselves. Consumes two upstream handoff packages: the Enterprise Risk Assessment & Portfolio Oversight Cycle package (risk register, residual scores, appetite positions) and the Audit Report Drafting & Regulatory Compliance Attestation Cycle package (audit-plan status, issued reports, attestation status); there is no downstream workflow — the closed package feeds the next quarterly run of this workflow.
workflow · Context
Risk Appetite Definition & Board Reporting
Define enterprise risk appetite statements, tolerances, and KRIs, secure executive and board approval, monitor actuals against tolerances, and report the appetite position to the board. Runs as a standalone recurring instance per appetite cycle (typically annual): appetite spans the whole Risk register rather than a single item, so the register, tolerance and KRI matrix, monitoring workbook, and reporting pack attach to the workflow instance's steps as the versioned documents of record, with the existing Risk items as the linked reference data and KRI breaches recorded as Issue items (issue_type: exception, linked to their Risk). In scope: appetite-statement definition, tolerance and KRI design, executive validation, board approval, ongoing monitoring, and ERM board reporting. Out of scope: the enterprise-wide risk identification and scoring that produces the risk universe, and the assembly of the full quarterly board deck. Consumes the risk-assessment handoff package from the Enterprise Risk Assessment & Portfolio Oversight Cycle (the risk universe as Risk items plus inherent and residual ratings) rather than re-deriving it, and hands the board-approved appetite package to the Quarterly Board & Audit-Committee GRC Reporting workflow.
workflow · Context
Risk Register Intake
Intake one newly identified risk into the enterprise register. The instance creates a new Risk item at the first step and attaches to that Risk item for the whole run — every rating, control link, and disposition enriches that single record. It consumes the initial risk identification (no upstream workflow) plus existing Control items, Policy items, and evidence carried on Issue, Audit, and Control-hosted SOX testing workflows, and produces the named deliverable: a review-ready risk intake package attached to the Risk item. On completion it hands that package to the Enterprise Risk Register Lifecycle workflow for ongoing monitoring. In scope: intake and initial assessment of one new risk. Out of scope: portfolio-level aggregation, periodic re-assessment, and risk-treatment project execution, which the Enterprise Risk Register Lifecycle workflow owns.
workflow · Context
Policy Exception & Risk Acceptance
Policy Exception & Risk Acceptance as a decision-aware workflow. It carries a waiver from request and justification through risk assessment, compensating controls, time-bound approval, registration with expiry, and re-review so no exception outlives its rationale. The exception IS an Issue item (issue_type: policy_exception) — the workflow runs on it, and the exception register is simply the set of those Issues, queryable by their filterable exception_expiry_date. The affected policy is a Policy item the Issue links to; a granted acceptance also sets treatment: accept on the linked Risk item. In scope: time-bound exceptions/waivers to an existing policy that are risk-accepted for a bounded window. Out of scope: permanent policy-change proposals, which route to the Policy Lifecycle Management workflow (the Policy item's revision process) rather than this waiver workflow. No upstream or downstream workflow feeds or consumes this one; the exception request is the initial input, and recurring-exception patterns are compiled as feedback onto the affected Policy items at close.
workflow · Context
Risk & Resilience Framework Governance
Risk & Resilience Framework Governance as a decision-aware workflow. The instance runs on the "Enterprise Risk Management Framework" Process item (process_type: business_process, process_owner = the framework owner, frequency: annual) - created on the first cycle at "Design core ERM framework" and enriched every cycle thereafter, never duplicated; that Process item is the governance register entry, and each governance cycle runs as a workflow instance attached to it, so the at-least-annual cadence is provable from one item's instance history. Working from the organization's context and the ISO 31000 / COSO ERM / DORA reference models - no upstream workflow package feeds it, because this workflow establishes the governance layer - it establishes or refreshes the enterprise risk management framework, extends it for ICT operational resilience and regulated technologies, secures management-body approval and budget, drives implementation across the organization, and runs the at-least-annual review, filling the governance layer the risk-cycle workflows run inside but never establish. The named deliverable is the approved risk & resilience framework package (core ERM design + ICT operational-resilience (DORA) extension + any regulated-technology lifecycle extension), archived at close as durable governance evidence. In scope: the enterprise risk framework, its always-in-scope ICT operational-resilience (DORA) extension, and any regulated-technology (e.g. high-risk AI) extensions to be evaluated. Out of scope: executing the individual risk-cycle workflows (identify / assess / treat / monitor) that run inside this framework - this workflow governs them but does not perform them, and consumes no upstream workflow package. Downstream, the archived framework enables those risk-cycle workflows, which reference it as their governing baseline (the relationship is real but not modeled as a node).
workflow · Context
Technology Investment & Project Risk Governance
Technology Investment & Project Risk Governance as a decision-aware checkpoint graph, run as a recurring workflow instance attached to the existing Process item for the technology-investment / portfolio-governance process (process_type: business_process) — each quarterly board cycle enriches that standing process record rather than creating a new one. In the cycle the investment board refreshes its criteria, scores and prioritizes the technology and innovation portfolio, routes the annual capital-planning leg that allocates security funding to the risk strategy, monitors in-flight value and reprioritizes or terminates where value is not realized, and enforces security-risk sections in every project gate with ERM-linked artifacts. In scope: the quarterly technology investment-board review (always), the annual capital-planning and security-budget leg (when the funding and staffing envelope must be set or re-planned this cycle), and every project stage gate falling due. Out of scope: individual project execution and delivery mechanics and day-to-day security operations. The cycle consumes the ERM cyber-risk register (Risk items, category: cyber_security) and the approved program business cases as standing inputs, and produces a board decision record and evidence pack as its named deliverable. There is no downstream workflow hand-off, so cross-references are recorded as linked records (Issue ↔ Risk) rather than routed onward; the scored portfolio, in-flight programs, and stage-gated projects have no native item type and live as step documents.
workflow · Context
Enterprise Risk Treatment Operations Cycle
Enterprise Risk Treatment Operations Cycle as a decision-aware workflow: it runs the documented risk methodology each cycle - identification and analysis of risks and opportunities, evaluation and prioritization against risk criteria, treatment selection and tracking for risks exceeding tolerance with residual re-evaluation, and risk-register and portfolio reporting to management and the board - triggering dynamic reassessment when internal or external change shifts the risk profile. This cycle has no anchor item of its own: the enterprise risk register it maintains IS the Risk item population, and the workflow instance is the cycle record and durable audit trail. In scope: entity-level and process-level risk across the enterprise, explicitly including cybersecurity, privacy, and financial-reporting risk alongside operational and strategic risk and opportunity. Out of scope: detailed control design and testing, which downstream control workflows own - a mitigate or share/transfer plan that creates or strengthens a control hands that work off to those workflows, which anchor on the affected Control items. This cycle has no upstream workflow feeding it; its starting inputs are the documented methodology, the consistent likelihood/impact scoring scales, the board-approved risk criteria and appetite/tolerance statements, and the risk-acceptance delegation matrix - all carried as Policy items - plus the existing control, insurance and transfer information (Control items and step documents) and the prior cycle's Risk register. Named deliverables: the maintained enterprise risk register (the Risk items), the prioritized risk heat-map dashboard, and the management and board portfolio report package.
workflow · Context
Risk Communication, Reporting & Performance Review
Risk Communication, Reporting & Performance Review as a decision-aware workflow that runs each quarter or on an out-of-cycle significant matter. Because none of the eight Studio item types represents the ERM reporting cycle itself, the workflow instance IS the durable record: its named deliverables - the tiered internal and external risk, control and performance reporting package, the event-driven report on a significant matter, the management-signed risk-and-control performance-review pack, and the tracked improvement actions - attach to its steps, its item-level writes land on the existing Risk, Control, and Issue items (improvement actions are tracked as Issues with source: self_assessment); control-testing results are read from SOX testing workflows hosted directly on the relevant Controls; and the risk-management framework is read as its Policy item (policy_type: charter) for the evaluation baseline and the suppliers and third parties consulted as their Vendor items. In scope: stakeholder consultation across every risk-process step (identification, assessment, response, monitoring) including suppliers and third parties; the cadenced internal and external reporting package; event-driven reporting on significant matters; the periodic review of risk-management and internal-control performance against the framework's design intent with accountable management; and converting lessons into owned, tracked improvement actions. Out of scope: running the underlying risk assessments, control testing, or business-performance measurement themselves - this workflow consumes their results as inputs. It starts on its own trigger (the quarterly cadence or a significant event) and has no upstream feeder workflow and no named downstream handoff workflow; each run's close-and-archive leaves the stakeholder, risk, and improvement registers current - the informal handoff both to the next cycle of this workflow and to the downstream risk-assessment and control-testing workflows whose results this cycle consumes.
workflow · Context
Enterprise Risk Assessment & Portfolio Oversight Cycle
Second-line ERM oversight cycle. Each run is anchored to a cycle Audit item created for the period (audit_type: operational, scope = the assessment boundary, period_start/period_end = the cycle window, report_date = the approval date); the workflow instance attaches to it as the durable audit trail, and the enterprise Risk items are the register it assesses and updates in place. Establish the assessment context (scope, criteria, appetite, scoring calibration), identify risks, score inherent and residual severity, select responses, publish the portfolio view, and route the package through disposition and governance approval. In scope: enterprise-level risk identification, assessment, response selection, and portfolio reporting for the current cycle. Out of scope: defining the board-approved risk appetite statement itself and preparing the board reporting deck, which are handled by downstream workflows. Consumes the prior-cycle risk-register handoff package (the existing Risk items plus the linked register document) from the Enterprise Risk Register Lifecycle workflow, and hands its named deliverables — the residual portfolio view (dashboard), the risk-movement narrative, and the approved assessment package — to the Risk Appetite Definition & Board Reporting and Quarterly Board & Audit-Committee GRC Reporting workflows.
workflow · Context
Risk & Control Self-Assessment (RCSA) Program
Risk & Control Self-Assessment (RCSA) Program as a modular, decision-aware workflow. Each wave runs on its own Audit item — created per wave (audit_type: operational; period_start/period_end = the wave window; report_date = the risk-committee date) — with the workflow instance attached to that item and the wave's questionnaires, attested returns, and calibration record kept inside the run. Each wave rebuilds the assessment universe from the existing Process, Risk, and Control items and their owners (enriching them, never recreating them), issues rating questionnaires to named control and process owners, collects attested self-assessments with structured exception capture, chases completeness, subjects the results to second-line challenge and calibration, aggregates a residual-risk view across units, updates the risk register's residual ratings, and routes self-identified issues to remediation and exceptions to time-bound acceptance before the results reach the risk committee. In scope: first-line self-assessment of in-scope business units and shared functions against their own risks and controls. Out of scope: independent testing/audit of those controls, and the remediation and formal risk-acceptance of what the wave surfaces, which are handed off downstream to the Finding Remediation & Action-Plan Monitoring (deficiencies), Policy Exception & Risk Acceptance (risk-acceptances/waivers), and Quarterly Board & Audit-Committee GRC Reporting (the wave report) workflows.
workflow · Context
Emerging Risk & Horizon Scan
Runs on the existing risk item. Scan the forward horizon for signals of an emerging exposure, assess plausibility and velocity, and decide whether it enters the register or stays on the watchlist. Deliver the reviewed result and open actions to the responsible register owner and the named companion procedure.
workflow · Context
Risk Appetite & Tolerance Calibration
Runs on the existing risk item. Set or recalibrate the appetite statement and tolerance thresholds for a risk, test the current position against them, and approve the escalation record. Deliver the reviewed result and open actions to the responsible register owner and the named companion procedure.
workflow · Context
ERM Risk Identification & Register Refresh
Runs on the existing risk item. Run a periodic enterprise risk identification cycle, consolidate candidate risks, and approve the resulting register changes. Deliver the reviewed result and open actions to the responsible register owner and the named companion procedure.
workflow · Context
Enterprise Risk Register Lifecycle
Enterprise Risk Register Lifecycle as a decision-aware workflow. This is a standalone recurring instance (quarterly or annual) that runs against the existing Risk item population — the enterprise risk register itself — enriching those Risk items in place rather than recreating a register: per-risk results are written onto the individual Risk items, and cycle-level deliverables attach to the workflow instance's steps. In scope: maintaining the register across the confirmed entities, business units, and risk-taxonomy categories for this cycle — intake and deduplication of new risks, Three-Lines ownership, control and assurance mapping, KRIs, periodic review and escalation, and retirement. Out of scope: any entity, unit, or category not named in this cycle's confirmed scope. It consumes the candidate-risk handoff package from the upstream Risk Register Intake workflow and hands its maintained register, residual positions, and escalations to two downstream workflows — Enterprise Risk Assessment & Portfolio Oversight Cycle (the maintained register, the concentration and correlation flags, and the residual positions) and Risk Appetite Definition & Board Reporting (the above-appetite entries, the escalations, and the acceptances) — rather than duplicating repeated work.
workflow · Context
ESG-Related Risk Materiality & Integration
ESG-Related Risk Materiality & Integration as a decision-aware workflow. Each cycle runs on the existing portfolio-level ESG Risk item (a Risk with category: esg — e.g. "ESG / sustainability risk — enterprise"): it enriches that umbrella entry and the ESG-tagged slice of the Risk register (Risk items tagged category: esg / taxonomies: esg_sustainability) rather than recreating them, and fans per-topic detail out onto the individual Risk items it creates or updates for each impact, risk, and opportunity (IRO). In scope: assessing ESG-related risks across the confirmed environmental, social, and governance topics, entities, and value-chain boundary for this cycle — defining the ESG risk universe (impacts, risks, opportunities), engaging affected stakeholders and information users, assessing double materiality and prioritizing the material topics, mapping controls and management responses, defining KRIs and disclosure metrics, and assembling disclosure inputs. Its named deliverables are the double-materiality assessment (the ranked material topic set with a materiality matrix), the control/response and assurance mapping, the disclosure metrics and leading KRIs, and the framework-mapped disclosure index (ESRS/CSRD, ISSB S1/S2, GRI, SEC climate). Out of scope: any ESG topic, entity, or business unit not named in this cycle's confirmed scope, and the drafting of the external sustainability report itself. It consumes the enterprise risk portfolio and residual positions from the upstream Enterprise Risk Assessment & Portfolio Oversight Cycle and hands its material ESG topics, KRIs, and disclosure inputs to the downstream Quarterly Board & Audit-Committee GRC Reporting workflow rather than duplicating repeated work.
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Regulatory Change Intake & Impact Assessment
Runs on the existing requirement item. Validate a new or amended external obligation against its authoritative source, determine applicability, and assess the impact on controls, policies, processes and systems. Deliver the reviewed result and open actions to the responsible register owner and the named companion procedure.
workflow · Context
EU AI Act Obligation Impact Analysis
EU AI Act Obligation Impact Analysis runs on a compliance Audit item created at intake (`audit_type: compliance`, `scope` = the fixed entities/AI-systems/markets boundary) — the "impact-analysis item" the whole run enriches and closes. It parses in-scope EU AI Act provisions, classifies affected AI use cases by operator role and risk tier, crosswalks obligations to existing Control items, rates conformity gaps as Issue items, and routes high-risk gaps to the AIMS (ISO/IEC 42001 AI management system). Consumes the horizon-scanning handoff package from Regulatory Horizon Scanning & Triage. Named deliverables: the locked workplan, the obligation register (the durable run-to-run workbook), the per-use-case classification set, the obligation-to-control crosswalk, the ranked conformity-exposure list, and the version-pinned final analysis package. Hands its approved gap-and-action package to Regulatory Obligation Implementation. In scope: obligation parsing, use-case classification, control crosswalk, and gap rating for the entities, AI systems, and markets fixed at intake. Out of scope: implementing remediations, performing conformity assessments, and running fundamental-rights impact assessments (FRIAs) — FRIAs route to the AI Governance & Risk/Impact Assessment module.
workflow · Context
Regulatory Horizon Scanning & Triage
Regulatory Horizon Scanning & Triage as a modular, decision-aware workflow. Each cycle runs on an Audit item created for the scan window — `audit_type` = compliance, titled "Regulatory Horizon Scanning — <period>", with `period_start`/`period_end` set to the detection window; the workflow instance attaches to that Audit and is archived against it at close. It can stand alone, but is designed to exchange handoff packages with related workflows instead of duplicating repeated work. In scope: detecting and summarizing regulator publications, routing them to the authority-source register, applicability screening against the compliance profile, entity profile, and activity inventory, owner assignment, and queueing. Out of scope: obligation mapping, gap and impact analysis, and implementation — those belong to the downstream Regulatory Impact Analysis & Obligation Mapping workflow, which consumes this workflow's named deliverables: the prioritized impact-analysis intake queue and the cycle evidence package. There is no upstream workflow and no prior handoff to consume; this is the sensing edge of the regulatory-change chain, and its standing inputs are the monitored feed list, the prior cycle's cursor, the authority-source register, and the Policy items that cite those authorities.
workflow · Context
Regulatory Impact Analysis & Obligation Mapping
Regulatory Impact Analysis & Obligation Mapping runs on a compliance Audit engagement record — an Audit item created per triggering instrument (audit_type=compliance) whose scope holds the locked scope statement and to which every gap Issue, risk acceptance, and the workflow instance attach. It consumes two upstream inputs: the triage handoff package from Regulatory Horizon Scanning & Triage (instrument, canonical citation, publication and effective dates, triage disposition) and the canonical instrument text itself — the Official Journal or regulator-register version, the authoritative source the whole analysis cites. It parses that instrument into obligations, maps them to the existing Policy and Control library, classifies and rates gaps, and reconciles the obligation register. Named deliverables: the cited regulatory impact note, the obligation inventory, the authority-to-policy crosswalk, the classified and rated gap Issues, the versioned obligation register, and the final evidence and decision package. In scope: obligation analysis, crosswalk, gap classification, exposure rating, and register reconciliation for the in-scope entities, products, and jurisdictions. Out of scope: remediation build-out (handed off to Regulatory Obligation Implementation) and re-prioritizing the instrument (owned by Regulatory Horizon Scanning & Triage). Confirmed gaps and their action plans hand off to Regulatory Obligation Implementation.
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Annual ICFR Scoping & Risk Assessment
Runs on the fiscal year’s existing SOX Audit, using financial balances, prior-year RCM and deficiency history, business changes, and the approved IA plan. Produces the Fiscal Year Audit Scope Memo, Risk & Control Matrix, approved workplan, kickoff records and recipient-specific annual communications for process walkthroughs and control testing.
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FSLI Significance Assessment
Runs on the existing fsli item. Assess quantitative and qualitative significance for a financial statement line item and approve its scoped assertions, locations, and process dependencies. Deliver the reviewed result and open actions to the responsible register owner and the named companion procedure.
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SOX Scoping Decision
Runs on the existing Process item for the one business process under decision — it enriches that Process item and the Control and Risk items in its RCM, never creating a duplicate. Determine whether the process is SOX-relevant and, if so, scope its key controls — otherwise document the exclusion. Consumes the Annual ICFR Scoping & Risk Assessment handoff package (accepted materiality set, scoping thresholds, aggregation floor). Named deliverables: the assessment worksheet, the SOX-relevance determination memo, the resulting Risk & Control Matrix (RCM) scope (Control and Risk items with live links), and the exclusion memo — compiled into a signed scoping decision package. Hands that signed package off to the downstream SOX Process Walkthrough for the in-scope slice, or routes a full exclusion into the annual monitoring/refresh cycle. Out of scope: entity-level materiality, significant accounts, and fraud-risk assessment, which are owned by the upstream Annual ICFR Scoping & Risk Assessment, and process understanding and control verification, which are owned by the downstream SOX Process Walkthrough.