How Incidents Link to Controls

Effective risk management is essential for organisations to protect their assets, reputation, and operational continuity. One of the most critical aspects of risk management is the implementation of controls—measures that mitigate or eliminate potential risks. Understanding how to use these controls effectively can help businesses improve their resilience and compliance with regulatory standards.

Types of Risk Controls

Risk controls fall into several categories, each serving a distinct purpose in mitigating risks:

1. Preventive Controls are proactive measures designed to prevent risks from occurring. The more important it is to stop an outcome from happening, the more important it is to implement preventative controls. Examples include access restrictions, staff training, encryption, and firewalls. The National Institute of Standards and Technology (NIST) offers more information about preventive controls.
2. Detective Controls identify and alert organisations to risks that have materialised. Common examples include audit logs, security alarms, intrusion detection systems, and regular monitoring. The UK National Cyber Security Centre (NCSC) provides guidance on detective controls.
3. Corrective Controls respond to incidents and help restore operations after a risk event. Examples include data recovery plans, incident response protocols, and system patches. The Information Commissioner’s Office (ICO) outlines best practices for data recovery and incident response.
4. Directive Controls establish guidelines and policies to ensure employees and stakeholders follow best practices. Examples include risk management frameworks, compliance policies, and standard operating procedures. The ISO 31000 standard offers guidance on risk management frameworks.

How Incidents Link to Controls

Incidents occur when risks materialise, impacting business operations, security, or compliance. The effectiveness of risk controls directly influences how an organisation can prevent, detect, respond to, and recover from incidents. Understanding the relationship between incidents and controls can help businesses improve resilience and refine their risk management strategies.

1. Incident Prevention – Preventive controls, such as cybersecurity measures, employee training, and policy enforcement, aim to stop incidents before they occur. A lack of strong preventive controls increases the likelihood of incidents happening. Explore cybersecurity best practices from the European Union Agency for Cybersecurity (ENISA).
2. Incident Detection – Detective controls play a crucial role in identifying incidents as they happen. Real-time monitoring, anomaly detection, and automated alerts allow organisations to respond swiftly to minimise damage. The UK NCSC explains how to set up effective detection mechanisms.
3. Incident Response and Recovery – Corrective controls determine how quickly and effectively an organisation can contain and recover from an incident. An effective incident response plan, backed by appropriate corrective controls, reduces downtime and financial impact. The Cybersecurity & Infrastructure Security Agency (CISA) provides guidance on incident response.
4. Continuous Improvement – By analysing incidents and their causes, organisations can refine existing controls or implement additional compensating measures to prevent future occurrences. Learning from incidents strengthens the overall risk management framework.

Steps to Implement Effective Risk Controls

To ensure that risk controls are effective, businesses should follow a structured approach:

1. Identify Risks – Conduct a thorough risk assessment to identify potential threats and vulnerabilities in operations, finance, cybersecurity, and compliance.
2. Evaluate Risk Severity – Assess the likelihood and impact of identified risks to prioritise control implementation.
3. Select Appropriate Controls – Choose controls based on risk level, business objectives, and regulatory requirements.
4. Implement Controls – Ensure proper deployment of controls with adequate resources, training, and communication.
5. Monitor and Review – Regularly evaluate the effectiveness of controls through audits, testing, and feedback loops to make improvements as needed.

Best Practices for Risk Control Management

• Align Controls with Business Goals – Ensure that risk controls support strategic objectives without hindering operational efficiency.
• Automate Where Possible – Leverage technology to automate monitoring and enforcement of controls for better efficiency.
• Regularly Update Controls – Risks evolve over time, so controls should be reviewed and updated regularly.
• Promote a Risk-Aware Culture – Encourage employees to follow policies, report risks, and participate in training programmes.

By implementing the right controls and continuously monitoring their effectiveness, organisations can significantly reduce their risk exposure and ensure long-term resilience.

To find out more about how CalQRisk can assist with and help streamline the linking of your risks, incidents and controls, contact us today.