Information Technology Audit Universe Model
17
Internal Audit Department 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 Financial Loss Regulatory Requirements Customer Impact Recent Changes IA Results Time IA Ranking AUDITABLE UNIT Category Responsibilit y 25% 20% 10% 25% 10% 10% Weighted Average 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 1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive Raymond James Confidential 7/17/02 Page 1
Transcript of Information Technology Audit Universe Model
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
1 0.002 0.003 0.004 0.005 0.006 0.007 0.008 0.009 0.00
10 0.0011 0.0012 0.0013 0.0014 0.0015 0.0016 0.0017 0.0018 0.0019 0.0020 0.0021 0.0022 0.0022 0.0023 0.0024 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 1
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
25 0.0026 0.0027 0.0028 0.0029 0.0030 0.0031 0.0032 0.0033 0.0034 0.0035 0.0036 0.0037 0.0038 0.0039 0.0040 0.0041 0.0042 0.0043 0.0044 0.0045 0.0046 0.0047 0.0048 0.0049 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 2
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
50 0.0051 0.0052 0.0053 0.0054 0.0055 0.0056 0.0057 0.0058 0.0059 0.0060 0.0061 0.0062 0.0063 0.0064 0.0065 0.0066 0.0067 0.0068 0.0069 0.0070 0.0071 0.0072 0.0073 0.0074 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 3
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
75 0.0076 0.0077 0.0078 0.0079 0.0080 0.0081 0.0082 0.0083 0.0084 0.0085 0.0086 0.0087 0.0088 0.0089 0.0090 0.0091 0.0092 0.0093 0.0094 0.0095 0.0096 0.0097 0.0098 0.0099 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 4
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
100 0.00101 0.00102 0.00103 0.00104 0.00105 0.00106 0.00107 0.00108 0.00109 0.00110 0.00111 0.00112 0.00113 0.00114 0.00115 0.00116 0.00117 0.00118 0.00119 0.00120 0.00121 0.00122 0.00123 0.00124 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 5
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
125 0.00126 0.00127 0.00128 0.00129 0.00130 0.00131 0.00132 0.00133 0.00134 0.00135 0.00136 0.00137 0.00138 0.00139 0.00140 0.00141 0.00142 0.00143 0.00144 0.00145 0.00146 0.00147 0.00148 0.00149 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 6
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
150 0.00151 0.00152 0.00153 0.00154 0.00155 0.00156 0.00157 0.00158 0.00159 0.00160 0.00161 0.00162 0.00163 0.00164 0.00165 0.00166 0.00167 0.00168 0.00169 0.00170 0.00171 0.00172 0.00173 0.00174 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 7
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
175 0.00176 0.00177 0.00178 0.00179 0.00180 0.00181 0.00182 0.00183 0.00184 0.00185 0.00186 0.00187 0.00188 0.00189 0.00190 0.00190 0.00191 0.00192 0.00193 0.00194 0.00195 0.00196 0.00197 0.00198 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 8
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
199 0.00200 0.00201 0.00202 0.00203 0.00204 0.00205 0.00206 0.00207 0.00208 0.00209 0.00210 0.00211 0.00212 0.00213 0.00214 0.00215 0.00216 0.00217 0.00218 0.00219 0.00220 0.00221 0.00222 0.00223 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 9
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
224 0.00225 0.00226 0.00227 0.00228 0.00229 0.00230 0.00231 0.00232 0.00233 0.00234 0.00235 0.00236 0.00237 0.00238 0.00239 0.00240 0.00241 0.00242 0.00243 0.00244 0.00245 0.00246 0.00247 0.00248 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 10
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
249 0.00250 0.00251 0.00252 0.00253 0.00254 0.00255 0.00256 0.00257 0.00258 0.00259 0.00260 0.00261 0.00262 0.00263 0.00264 0.00265 0.00266 0.00267 0.00268 0.00269 0.00270 0.00271 0.00272 0.00273 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 11
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
274 0.00275 0.00276 0.00277 0.00278 0.00279 0.00280 0.00281 0.00282 0.00283 0.00284 0.00285 0.00286 0.00287 0.00288 0.00289 0.00290 0.00291 0.00292 0.00293 0.00294 0.00295 0.00296 0.00297 0.00298 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 12
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
299 0.00300 0.00301 0.00302 0.00303 0.00304 0.00305 0.00306 0.00307 0.00308 0.00309 0.00310 0.00311 0.00312 0.00313 0.00314 0.00315 0.00316 0.00317 0.00318 0.00319 0.00320 0.00321 0.00322 0.00323 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 13
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
324 0.00325 0.00326 0.00327 0.00328 0.00329 0.00330 0.00331 0.00332 0.00333 0.00334 0.00335 0.00336 0.00337 0.00338 0.00339 0.00340 0.00341 0.00342 0.00343 0.00344 0.00345 0.00346 0.00347 0.00348 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 14
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
349 0.00350 0.00351 0.00352 0.00353 0.00354 0.00355 0.00356 0.00357 0.00358 0.00359 0.00360 0.00361 0.00362 0.00363 0.00364 0.00365 0.00366 0.00367 0.00368 0.00369 0.00370 0.00371 0.00372 0.00373 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 15
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
374 0.00375 0.00376 0.00377 0.00378 0.00379 0.00380 0.00381 0.00382 0.00383 0.00384 0.00385 0.00386 0.00387 0.00388 0.00389 0.00390 0.00391 0.00392 0.00393 0.00394 0.00395 0.00396 0.00397 0.00398 0.00
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 16
Internal Audit DepartmentInformation Technology Risk Matrix
Category Legend: Responsibility Legend:A=Application Audit BC=Business ContingencyC=Consulting C=Corporate SystemsD=Departmental Audit CS=CSS and Imaging & Fixed IncomeG=General Controls Review CTS=Client Technology SupportP=PC Product Review DS=Data SecurityT=Technical Product Audit ITD=IT Development
ITM = IT Management SupportITP=IT Production SupportOS=Office ServicesPAC=Portfolio, Accounting & Customer Operation SystemsRS=Retail SystemsTT - Tandem Technology
Financial Reporting Impact / Potential
Financial LossRegulatory
Requirements Customer Impact Recent Changes IA Results Time IA
Ran
king
AUDITABLE UNIT Cat
egor
yR
espo
nsib
ilit
y 25% 20% 10% 25% 10% 10%Weighted Average
399 0.00400 0.00401 0.00402 0.00403 0.00404 0.00405 0.00406 0.00407 0.00408 0.00409 0.00
Shaded areas denote systems which have either already been reviewed or scheduled for review in '02.
1=Insignificant, 2=Small, 3=Moderate, 4=Considerable, 5=Extensive
Raymond James Confidential7/17/02 Page 17
