Systems Under Development (Audit Guide) - March 1, 1991

Appendix B: Audit Program for the Project Initiation Stage

Stage: 1. Project Initiation

Objective: 1.A To establish that the project is formally initiated and that appropriate project control measures exist.

Criterion: 1.A.1. The need for the project has been addressed in a Project Initiation Report or similar document.

Audit Step: 1.A.1.1 Has a Project Initiation document been prepared and released by the Project Manager?

Y	N	N/A	Comments	XREF

Audit Step: 1.A.1.2 Verify that Project Initiation document contains at least the following:

a clear statement of the project definition prepared by the user group
a clear link between the departmental Information Management Plan (IMP)and Multi Year Operational Plan (MYOP)
assurances that the data and the system are not already provided for by existing systems or other projects
an evaluation of the present system to ensure that the proposed system is required
a statement of internal and external constraints, such as organizational changes required, legislative changes required, impact on other systems
special security requirements
a preliminary cost/benefit and risk analysis of viable alternatives
an explanation of the source of funds for the project, including reference to any special requirements, like Treasury Board submissions, which may be involved.

Criterion: 1.A.2 The need for the project acknowledged by the user at the appropriate level, and Data Processing management.

Audit Step: 1.A.2.1 Has the Project Initiation document been reviewed and approved by management at least one level above those who will be held directly accountable for the project?

Y	N	N/A	Comments	XREF

Audit Step: 1.A.2.2 Have steps been taken by the project team to identify and consult all affected parties?

Y	N	N/A	Comments	XREF

Audit Step: 1.A.2.3 Has the project received financial approval?

Y	N	N/A	Comments	XREF

Criterion: 1.A.3. An appropriate project organization has been outlined in the Project Initiation documentation.

Audit Step: 1.A.3.1 Determine by examining the Project Initiation document that:

Project Team members and representatives and their responsibilities have been named including:
- Project Director
- Project Manager
- User Manager/Director
- Technical Representatives
- User Functional Representatives
a Steering Committee or Sign Off Authorities have been established
if appropriate, a TB Program Branch official has been identified, and his or her role in the project determined

Audit Step: 1.A.3.2 Evaluate the background and qualifications of project members for their assignment to specific project tasks.

Y	N	N/A	Comments	XREF

Audit Step: 1.A.3.3 Has the user department management appointed personnel from its department to participate in the project?

Y	N	N/A	Comments	XREF

Audit Step: 1.A.3.4 Do user department personnel and the project team have the same understanding of the scope and objectives of the project?

Y	N	N/A	Comments	XREF

1.A.3.5 Verify that the Project Manager or one of the team members is responsible to ensure the complete and accurate accumulation of project costs.

Y	N	N/A	Comments	XREF

Audit Step: 1.A.3.6 Determine that the Steering Committee/Sign Off Authority is representative of management at least one level higher than the Project Manager and that it represents all interested parties.

Y	N	N/A	Comments	XREF

Audit Step: 1.A.3.7 Determine that the required and actual level of security and reliability clearance for team members is established and verified.

Y	N	N/A	Comments	XREF

Criterion: 1.A.4 An appropriate project development process is outlined in the Project Initiation documentation.

Audit Step: 1.A.4.1 Determine, by referral to the Project Initiation document, that a formal process for carrying out the project is outlined. (In the absence of a departmental process, the process outlined in Chapter 440, Section 3 of the Treasury Board Administrative Policy Manual could still be used as a guide).

Y	N	N/A	Comments	XREF

Audit Step: 1.A.4.2 Have variations from the approved departmental process been highlighted and reasons for the variances stated?

Y	N	N/A	Comments	XREF

Audit Step: 1.A.4.3 Has prototyping (see the start of Chapter 2) been considered as a development technique, with appropriate consideration for:

the prevention of too much prototyping (see Chap. 2, page 16 for a brief description of prototyping)
its use at stages of the development process (ie., during the Feasibility stage through General Design)
effective user involvement with the prototype (by seeing that the user needs are reflected in the prototype)

Y	N	N/A	Comments	XREF

Criterion: 1.A.5 A work plan, including reasonable target dates and resource requirements for each stage, is provided in the Project Initiation document.

Audit Step: 1.A.5.1 Determine from the Project Initiation document that a work plan, including target dates and resource requirements, has been prepared.

Y	N	N/A	Comments	XREF

Audit Step: 1.A.5.2 Verify that the total resource requirements indicated in the work plan are in keeping with those outlined in the preliminary cost/benefit analysis.

Y	N	N/A	Comments	XREF

Audit Step: 1.A.5.3 Verify that the target dates indicated in the work plan are in keeping with the resource requirements outlined and any constraints involved.

Y	N	N/A	Comments	XREF

Audit Step: 1.A.5.4 Verify that the work plan includes the development of a human resources plan for all employees to be affected by the new system.

Y	N	N/A	Comments	XREF

Criterion: 1.A.6 The project organization, the development process, and the work plan have been formally accepted by an appropriate level of management.

Audit Step: 1.A.6.1 Has the Initiation Document been reviewed by management levels at least one above those who will be on the Steering Committee/Sign Off Authorities? Have they signified acceptance of the organization, the development process, and the work plan?

Y	N	N/A	Comments	XREF

Audit Step: 1.A.6.2 Is there a plan for the project manager to present periodic reports to management indicating the project costs and actual achievements compared to the project plans?

Y	N	N/A	Comments	XREF