Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 22 23 24 25 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 1
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 2
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 3
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 4
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 5
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 6
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 7
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 8
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 9
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 10
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 11
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 12
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 13
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 14
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009
Weighted Average 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
Page 15
Internal Audit Department Information Technology Risk Matrix Category Legend: A=Application Audit C=Consulting D=Departmental Audit G=General Controls Review P=PC Product Review T=Technical Product Audit Responsibility Legend: BC=Business Contingency C=Corporate Systems CS=CSS and Imaging & Fixed Income CTS=Client Technology Support DS=Data Security 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 Financial Loss Responsibilit y
Regulatory Requirements
Customer Impact Recent Changes
IA Results
Time IA
Category
Ranking
AUDITABLE UNIT
25%
20%
10%
25%
10%
10%
## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## ## Shaded areas denote systems which have either already been reviewed or scheduled for review in '02.
Weighted Average 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
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 4/1/2009 Page 16