[OR] [P2] [S2] [MII] [C18] Governance and Ownership of Mapping

[P2] [S2] Chapter 18

Governance and Ownership of Mapping

Introduction

Mapping interconnections and interdependencies is not a one-off technical exercise—it is a core organisational capability that must be governed, maintained, and continuously improved. Without clear governance and ownership, mapping efforts quickly become outdated, inconsistent, and disconnected from real operational practices.

Effective governance ensures that mapping:

• Remains accurate and current
• Is aligned with business and regulatory priorities
• Supports decision-making and resilience outcomes

This chapter establishes a structured governance framework for mapping, focusing on:

• Roles and responsibilities
• Integration with the Three Lines of Defence
• Board and senior management oversight

Purpose of the Chapter

The purpose of this chapter is to:

• Define governance structures for interconnection mapping
• Establish clear ownership and accountability
• Align mapping activities with enterprise risk management frameworks
• Ensure sustained effectiveness through oversight and control

Roles and Responsibilities

Importance of Clear Ownership

A common failure in mapping initiatives is the absence of clearly defined ownership. When responsibilities are unclear:

• Data becomes outdated
• Mapping quality deteriorates
• Accountability is diluted

Clear roles ensure that mapping is:

• Maintained as a living asset
• Embedded into daily operations
• Supported across functions

Key Roles in Mapping Governance

Executive Sponsor

• Provides strategic direction and oversight
• Ensures alignment with organisational objectives
• Secures resources and support

Operational Resilience / Program Lead

• Oversees the mapping framework and methodology
• Coordinates mapping activities across CBS
• Ensures consistency and quality

CBS Owners

• Accountable for mapping their respective Critical Business Services
• Validate dependencies and interconnections
• Ensure mapping reflects actual service delivery

Process Owners

• Provide detailed process-level inputs
• Identify dependencies within workflows
• Support validation and updates

Technology Owners

• Map system architecture and integrations
• Ensure accuracy of technology dependencies
• Support automated mapping tools and data sources

Third-Party / Vendor Management Teams

• Identify and manage external dependencies
• Provide visibility into third-party and fourth-party relationships
• Align mapping with outsourcing and vendor risk frameworks

Risk and Compliance Functions

• Provide oversight and challenge
• Ensure alignment with regulatory expectations
• Validate risk-related aspects of mapping

Responsibility Matrix (Illustrative)

Integration with the Three Lines of Defence

Overview of the Three Lines of Defence

The Three Lines of Defence (3LoD) model provides a structured framework for governance and accountability:

• First Line: Business and operational ownership
• Second Line: Risk management and oversight
• Third Line: Independent assurance

First Line of Defence (Ownership and Execution)

The first line is responsible for:

• Developing and maintaining mapping
• Ensuring accuracy and completeness
• Embedding mapping into operational processes

Key Participants:

• CBS owners
• Process owners
• Technology teams

Second Line of Defence (Oversight and Challenge)

The second line provides:

• Independent review and validation
• Risk-based challenge of mapping outputs
• Alignment with operational resilience policies

Key Participants:

• Operational risk
• Business continuity management
• Compliance functions

Third Line of Defence (Independent Assurance)

The third line ensures:

• Independent audit of mapping processes
• Verification of data quality and governance
• Assessment of effectiveness and compliance

Key Participants:

• Internal audit

Benefits of 3LoD Integration

Integrating mapping into the 3LoD model ensures:

• Clear accountability
• Strong oversight and governance
• Continuous improvement through independent assurance

Board and Senior Management Oversight

Importance of Leadership Oversight

Operational resilience is a strategic priority, and mapping interconnections is a key enabler. As such, oversight must extend to:

• Board of Directors
• Senior Management

Board Responsibilities

The Board is responsible for:

• Setting the risk appetite for operational resilience
• Ensuring that critical services are protected
• Reviewing resilience capabilities, including mapping

The Board should receive:

• Regular updates on mapping coverage and quality
• Reports on critical dependencies and concentration risks
• Insights from scenario testing and analysis

Senior Management Responsibilities

Senior management is responsible for:

• Implementing the operational resilience framework
• Ensuring mapping is integrated into business operations
• Allocating resources and resolving cross-functional issues

They must ensure that:

• Mapping is complete and up-to-date
• Dependencies are understood and managed
• Risks identified through mapping are addressed

Management Committees

Organisations may establish governance forums such as:

• Operational Resilience Committees
• Risk Management Committees
• Technology Governance Committees

These forums:

• Review mapping outputs
• Monitor key risks and dependencies
• Oversee remediation actions

Embedding Governance into Operational Processes

Integration with Change Management

Mapping must be updated when:

• New systems are introduced
• Processes change
• Vendors are onboarded or replaced

Integration with Risk Management

Mapping outputs should feed into:

• Risk assessments
• Control frameworks
• Incident and crisis management

Integration with Testing and Exercising

Governance should ensure that mapping is:

• Used in scenario testing
• Validated through exercises
• Updated based on lessons learned
  

Key Success Factors

To establish effective governance and ownership, organisations should:

• Define clear roles and accountability
• Align mapping with enterprise governance frameworks
• Integrate mapping into business and risk processes
• Ensure active oversight by senior management and the Board
• Establish continuous review and improvement mechanisms

Governance and ownership are critical to ensuring that interconnection and interdependency mapping is not just a one-time exercise, but a sustainable and effective organisational capability.

By clearly defining:

• Roles and responsibilities
• Integrating with the Three Lines of Defence
• Establishing Board and senior management oversight

organisations can ensure that mapping remains:

• Accurate
• Relevant
• Actionable

Ultimately, strong governance transforms mapping from a technical activity into a strategic enabler of operational resilience, supporting informed decision-making and ensuring the continued delivery of Critical Business Services.

In the next chapter, we will explore how mapping supports scenario testing and exercising, demonstrating how organisations can use mapping outputs to simulate disruptions and validate resilience capabilities.

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