# Support & Service Risk Control Matrix

| No.  | R    | Category                             | Risk Event                                                   | L    | C    | F                | Cause | Mitigation Type     | Mitigation Strategy                                          | L*   | C*   | Changes | Comments | ES   | EY   | Evidences |
| ---- | ---- | ------------------------------------ | ------------------------------------------------------------ | ---- | ---- | ---------------- | ----- | ------------------- | ------------------------------------------------------------ | ---- | ---- | ------- | -------- | ---- | ---- | --------- |
| 1    | CTO  | Operational Risk (Support & Service) | No legal basis for accessing customer data during customer support & service. | 1    | 1    | Daily            |       | Preventing (Manual) | Every customer must sign the Customer Data Protection Policy before they can receive support & service | 1    | 1    |         |          | yes  | yes  |           |
| 2    | CTO  | Operational Risk (Support & Service) | No legal protection regarding liabilities and responsibilities during customer support & service. | 1    | 1    | Daily            |       | Preventing (Manual) | Every customer must sign the Customer Service Agreement before they can receive support & service | 1    | 1    |         |          | yes  | yes  |           |
| 3    | CTO  | Operational Risk (Support & Service) | Unauthorized people make support & service requests.         | 1    | 1    | Many times a day |       | Preventing (Manual) | Only authorized  are allowed to do support & service requests | 1    | 1    |         |          | yes  | yes  |           |
| 4a   | CTO  | Operational Risk (Support & Service) | Not well defined goals and tasks resulting in miscommunication, high costs and unmet expectations. | 1    | 1    | Many times a day |       | Preventing (Manual) | Define goals, tasks, specifications and costs in writing in an offer. | 1    | 1    |         |          | yes  | yes  |           |
| 4b   | CTO  | Operational Risk (Support & Service) | The goals, tasks, specifications and costs are estimated with significant deviations. | 1    | 1    | Many times a day |       | Preventing (Manual) | Only personnel with sufficient experience is allowed to make these estimations | 1    | 1    |         |          | yes  | yes  |           |
| 5    | CTO  | Operational Risk (Support & Service) | The customer disputes the provided service.                  | 1    | 1    | Many times a day |       | Preventing (Manual) | The customer must approve the offer in writing.              | 1    | 1    |         |          | yes  | yes  |           |
| 6    | CTO  | Operational Risk (Support & Service) | Environment setup & configuration by inexperienced employees | 1    | 1    | Daily            |       | Preventing (Manual) | Only employees with sufficient experience are allowed to perform the environment setup & configuration. | 1    | 1    |         |          | yes  | yes  |           |
| 7    | CTO  | Operational Risk (Support & Service) | The customer disputes the provided service.                  | 1    | 1    | Many times a day |       | Preventing (Manual) | Software setup & configuration is only allowed together with the customer. | 1    | 1    |         |          | yes  | yes  |           |
| 8    | CTO  | Operational Risk (Support & Service) | Installation of unapproved software on the customer server causing issues. | 1    | 1    | Many times a day |       | Preventing (Manual) | Only approved software is allowed to get installed on the customer servers | 1    | 1    |         |          | yes  | yes  |           |
| 9    | CTO  | Operational Risk (Support & Service) | Bad, risky or faulty software gets approved for the installation at customers. | 1    | 1    | Quarterly        |       | Preventing (Manual) | Only the CTO is allowed to approve software to be installed on customer hardware after testing. | 1    | 1    |         |          | yes  | yes  |           |
| 10   | CTO  | Operational Risk (Support & Service) | Insufficient hardware resources for the application          | 1    | 1    | Daily            |       | Preventing (Manual) | Tested system requirements are provided for the customers.   | 1    | 1    |         |          | yes  | yes  |           |
| 11   | CTO  | Operational Risk (Support & Service) | Leaking customer data incl. server login names and passwords. | 1    | 1    | Daily            |       | Preventing (Manual) | No customer data incl. server login names or passwords are stored on the organization side. | 1    | 1    |         |          | yes  | yes  |           |
| 12   | CTO  | Operational Risk (Support & Service) | Not all necessary steps are executed during the application setup or faulty. | 1    | 1    | Daily            |       | Preventing (Manual) | A Application Install Checklist is provided which has to be used during the install process. | 1    | 1    |         |          | yes  | yes  |           |
| 13   | CTO  | Operational Risk (Support & Service) | The trainings don't cover important aspects.                 | 1    | 1    | Daily            |       | Preventing (Manual) | Trainings must be held according to the Training Manuals defined by the CTO. | 1    | 1    |         |          | yes  | yes  |           |
| 14   | CTO  | Operational Risk (Support & Service) | The maintenance doesn't cover important aspects.             | 1    | 1    | Daily            |       | Preventing (Manual) | Maintenance must be performed according to the Maintenance Checklist defined by the CTO. | 1    | 1    |         |          | yes  | yes  |           |
| 15   | HOCS | Operational Risk (Support & Service) | Support requests from customers are handled by people who don't have the necessary skills or experiences. | 1    | 1    |                  |       | Preventing (Manual) | Support requests are assigned according to experiences and skillsets by team leaders, senior employees or the HOCS. | 1    | 1    |         |          | yes  | yes  |           |
| 16   | CTO  | Operational Risk (Support & Service) | The provided support is not satisfactory for the customers.  | 1    | 1    |                  |       | Revealing (Manual)  | Customers have the option to provide feedback after every closed support request. | 1    | 1    |         |          | yes  | yes  |           |

## Abbreviations

* R: Responsible

* L: Likelihood (1-5)

* C: Consequence (1-5)

* L\*/C\*: Likelihood and Consequence after mitigation

* F: Frequency (many times a day, daily, weekly, monthly, annually)

* ES: Effective

* EY: Efficient

2022-01-01 - Version 1.0
