ERSA Risk Survey

Hello:
In the following survey, you will evaluate several operational risks related to DP&D. These risks were compiled based on the conversations held with the DP&D leaders during interviews. Some of the operational risks are presented with a supporting explanation based on the input received during the workshop exercise. The survey is anonymous, and the results will be shared in aggregate with the DP&D Leadership Team.We ask that you reserve using "I do not know" only for those instances for which you have no basis for evaluating the risk exposure in question.

I Agree

Risk Statement 1. Failure to Meet Client or Regulatory Obligations.
Please select the LIKELIHOOD of this risk occurring within the organization:

Remote (<10%)

Possible (10-50%)

Probable (>50%)

I do not know

Risk Statement 1. Failure to Meet Client or Regulatory Obligations.
If this risk were to occur, please select the financial / regulatory / brand IMPACT it would have on the organization.

Low: Financial loss of < $250K -or- No brand impact -or- No regulatory impact (no legal impact or fines / penalties)

Medium: Financial loss of $250K - $500K -or- Some (temporary) brand impact -or- Some regulatory impact (some regulatory action / criticism or fines / penalties)

High: Financial loss of > $500K -or- Significant/irreparable brand impact -or- Serious regulatory action (license suspension)

I do not know

Risk Statement 1. Failure to Meet Client or Regulatory Obligations.
Please rate the CONTROL ENVIRONMENT of the organization:

Very Strong: Controls are well designed and operate effectively

Moderate: Controls are well designed, but may not always operate effectively

Needs Improvement: Controls are not properly designed - or - Controls are not operating effectively

I do not know

Risk statement: 2. Business Process failures including Outsourced Processes.
Please select the LIKELIHOOD of this risk occurring within the organization:

Remote (<10%)

Possible (10-50%)

Probable (>50%)

I do not know

Risk statement: 2. Business Process failures including Outsourced Processes.
If this risk were to occur, please select the financial / regulatory / brand IMPACT it would have on the organization.

Low: Financial loss of < $250K -or- No brand impact -or- No regulatory impact (no legal impact or fines / penalties)

Medium: Financial loss of $250K - $500K -or- Some (temporary) brand impact -or- Some regulatory impact (some regulatory action / criticism or fines / penalties)

High: Financial loss of > $500K -or- Significant/irreparable brand impact -or- Serious regulatory action (license suspension)

I do not know

Risk statement: 2. Business Process failures including Outsourced Processes.
Please rate the CONTROL ENVIRONMENT of the organization:

Very Strong: Controls are well designed and operate effectively

Moderate: Controls are well designed, but may not always operate effectively

Needs Improvement: Controls are not properly designed - or - Controls are not operating effectively

I do not know