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    It Audit Risk Matrix

    Uploaded by

    Chinh Lê Đình
    This document presents an information technology risk matrix that ranks auditable units across various categories. The matrix includes categories like application audit, consulting, general controls review, and technical product audit. It also includes responsibilities like IT development, IT production support, and retail systems. The matrix scores auditable units on factors such as potential financial loss, regulatory requirements, customer impact, recent changes, internal audit results, and time since last internal audit. The scores are weighted and averaged to calculate an overall risk ranking. The goal is to prioritize audits of high risk units based on this risk assessment.

    Copyright:

    © All Rights Reserved

    It Audit Risk Matrix

    Uploaded by

    Chinh Lê Đình
    137 views16 pages
    This document presents an information technology risk matrix that ranks auditable units across various categories. The matrix includes categories like application audit, consulting, general controls review, and technical product audit. It also includes responsibilities like IT development, IT production support, and retail systems. The matrix scores auditable units on factors such as potential financial loss, regulatory requirements, customer impact, recent changes, internal audit results, and time since last internal audit. The scores are weighted and averaged to calculate an overall risk ranking. The goal is to prioritize audits of high risk units based on this risk assessment.

    Original Description:

    Risk Matrix

    Original Title

    201243 It Audit Risk Matrix

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    © © All Rights Reserved

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    This document presents an information technology risk matrix that ranks auditable units across various categories. The matrix includes categories like application audit, consulting, general controls review, and technical product audit. It also includes responsibilities like IT development, IT production support, and retail systems. The matrix scores auditable units on factors such as potential financial loss, regulatory requirements, customer impact, recent changes, internal audit results, and time since last internal audit. The scores are weighted and averaged to calculate an overall risk ranking. The goal is to prioritize audits of high risk units based on this risk assessment.

    Copyright:

    © All Rights Reserved
    137 views16 pages

    It Audit Risk Matrix

    Uploaded by

    Chinh Lê Đình
    This document presents an information technology risk matrix that ranks auditable units across various categories. The matrix includes categories like application audit, consulting, general controls review, and technical product audit. It also includes responsibilities like IT development, IT production support, and retail systems. The matrix scores auditable units on factors such as potential financial loss, regulatory requirements, customer impact, recent changes, internal audit results, and time since last internal audit. The scores are weighted and averaged to calculate an overall risk ranking. The goal is to prioritize audits of high risk units based on this risk assessment.

    Copyright:

    © All Rights Reserved
    of 16

    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    1 0.00
    2 0.00
    3 0.00
    4 0.00
    5 0.00
    6 0.00
    7 0.00
    8 0.00
    9 0.00
    10 0.00
    11 0.00
    12 0.00
    13 0.00
    14 0.00
    15 0.00
    16 0.00
    17 0.00
    18 0.00
    19 0.00
    20 0.00
    21 0.00
    22 0.00
    22 0.00
    23 0.00
    24 0.00
    25 0.00

    03/17/2019 Page 1
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    26 0.00
    27 0.00
    28 0.00
    29 0.00
    30 0.00
    31 0.00
    32 0.00
    33 0.00
    34 0.00
    35 0.00
    36 0.00
    37 0.00
    38 0.00
    39 0.00
    40 0.00
    41 0.00
    42 0.00
    43 0.00
    44 0.00
    45 0.00
    46 0.00
    47 0.00
    48 0.00
    49 0.00
    50 0.00
    51 0.00

    03/17/2019 Page 2
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    52 0.00
    53 0.00
    54 0.00
    55 0.00
    56 0.00
    57 0.00
    58 0.00
    59 0.00
    60 0.00
    61 0.00
    62 0.00
    63 0.00
    64 0.00
    65 0.00
    66 0.00
    67 0.00
    68 0.00
    69 0.00
    70 0.00
    71 0.00
    72 0.00
    73 0.00
    74 0.00
    75 0.00
    76 0.00
    77 0.00

    03/17/2019 Page 3
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    78 0.00
    79 0.00
    80 0.00
    81 0.00
    82 0.00
    83 0.00
    84 0.00
    85 0.00
    86 0.00
    87 0.00
    88 0.00
    89 0.00
    90 0.00
    91 0.00
    92 0.00
    93 0.00
    94 0.00
    95 0.00
    96 0.00
    97 0.00
    98 0.00
    99 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 4
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    110 0.00
    111 0.00
    112 0.00
    113 0.00
    114 0.00
    115 0.00
    116 0.00
    117 0.00
    118 0.00
    119 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 5
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 6
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 7
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 8
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    211 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 9
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 10
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 11
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 12
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    311 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 13
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 14
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 15
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential


    Information Technology Risk Matrix

    Category Legend: Responsibility Legend:


    A=Application Audit BC=Business Contingency
    C=Consulting C=Corporate Systems
    D=Departmental Audit CS=CSS and Imaging & Fixed Income
    G=General Controls Review CTS=Client Technology Support
    P=PC Product Review DS=Data Security
    T=Technical Product Audit ITD=IT Development
    ITM = IT Management Support
    ITP=IT Production Support
    OS=Office Services
    PAC=Portfolio, Accounting & Customer Operation Systems
    RS=Retail Systems
    TT - Tandem Technology

    Financial Reporting
    Impact / Potential Regulatory
    Financial Loss Requirements Customer Impact Recent Changes IA Results Time IA
    Responsibilit
    Category
    Ranking

    Weighted
    AUDITABLE UNIT 25% 20% 10% 25% 10% 10% Average
    y

    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00
    ### 0.00

    03/17/2019 Page 16
    1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive

    Raymond James Confidential

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