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BCBS 239 Principles for Effective Risk Data Aggregation and Risk Reporting

Basel Committee principles establishing expectations for risk data aggregation and reporting capabilities at global systemically important banks (G-SIBs). 14 principles across 4 domains: overarching governance and infrastructure, risk data aggregation capabilities, risk reporting practices, and supervisory review. Focused on data quality, timeliness, and accuracy rather than cybersecurity controls per se.

Clauses: 14
Avg Coverage: 43.4%
Publisher: Basel Committee on Banking Supervision (BCBS) Version: 2013
BCBS 239 → SP 800-53 SP 800-53 → BCBS 239 Coverage Analysis
Clause Title SP 800-53 Controls
Principle 1 Governance
PM-01 PM-02 PM-03 PM-09 PM-10 PM-13 PM-14 PM-28 PM-29 PM-30 PM-31 PL-01 PL-02 PL-04 PL-09 RA-01 RA-03 AT-01 AT-02 PS-01 PS-02 PS-07 AC-05 CA-01 CA-06
Principle 2 Data architecture and IT infrastructure
CM-01 CM-02 CM-08 CM-12 CM-13 SA-03 SA-05 SA-08 SA-17 SC-02 SC-03 SC-04 SC-07 SC-22 SC-28 SI-12 PL-08 PM-07 CP-02 CP-07 CP-08
Principle 3 Accuracy and Integrity
SI-01 SI-06 SI-07 SI-10 SI-11 SI-15 AU-01 AU-02 AU-03 AU-10 SC-08 SC-13 SC-16 SC-28 PM-11 SA-10 SA-11
Principle 4 Completeness
CM-08 CM-12 CM-13 SI-12 PM-05 PM-11 RA-02 RA-09 AU-02 AU-11 AU-12 PT-03 SA-04
Principle 5 Timeliness
CP-02 CP-07 CP-08 CP-10 SC-05 SC-06 SC-10 SC-24 SI-13 SI-17 AU-04 AU-05 AU-08 PM-09
Principle 6 Adaptability
CM-03 CM-04 CM-09 SA-03 SA-08 SA-15 SA-17 PL-08 PM-07 PM-18 CP-02 IR-04 RA-03 RA-07
Principle 7 Accuracy (Risk Reporting)
SI-06 SI-07 SI-10 SI-11 SI-15 AU-06 AU-07 AU-10 CA-02 CA-07 SA-11 SC-16
Principle 8 Comprehensiveness (Risk Reporting)
PM-05 PM-09 PM-11 RA-02 RA-03 RA-09 PL-02 CA-02 CA-07
Principle 9 Clarity and Usefulness (Risk Reporting)
PL-02 PM-09 SI-11 SI-15 AU-07
Principle 10 Frequency (Risk Reporting)
CA-07 AU-06 PM-14 PM-31 SI-04
Principle 11 Distribution (Risk Reporting)
AC-01 AC-02 AC-03 AC-04 AC-06 AC-16 AC-21 AC-22 SC-08 SC-13 MP-02 MP-03 MP-04 MP-05 PT-05 PM-12
Principle 12 Supervisory Review
CA-02 CA-05 CA-06 CA-07 PM-06 PM-09 PM-10 AU-06
Principle 13 Remedial Actions and Supervisory Measures
CA-05 RA-07 PM-04 PM-09 PM-10 IR-08
Principle 14 Home/Host Cooperation
PM-15 PM-16 AC-20 CA-03 SA-09