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

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Appendix F: Audit Program for the Implementation Stage

Stage: 5. Implementation stage

Objective: 5.A To establish that all appropriate forms, manuals, programs and training materials have been created from the detailed systems specifications.

Criterion: 5.A.1 All manuals and other outputs required have been completed before installation begins.

Audit Step: 5.A.1.1 Determine that the following have been prepared:

• conversion tools
• user manuals
• conversion manuals
• training manuals
• operations manuals
• program and systems documentation.

Y	N	N/A	Comments	XREF

Audit Step: 5.A.1.2 Verify that the user manual does the following:

• Describes the functions sufficiently,
• Contains non-DP terminology,
• Indicates how and when it is to be used,
• Serves as a reference document,
• Explains how to prepare input data and parameters,
• Explains how to interpret output results,
• Provides a full description of the application,
• Describes how to correct errors,
• Describes how to recover operations.

Y	N	N/A	Comments	XREF

Criterion: 5.A.2 The accuracy and completeness of the required manuals and outputs have been acknowledged by the appropriate level of user and by Data Processing management.

Audit Step: 5.A.2.1 Have the required manuals and outputs been reviewed by all members of the Project Team and have they signified acceptance? Note any conditional acceptance for follow-up in later stages.

Y	N	N/A	Comments	XREF

Criterion: 5.A.3 Testing results have been addressed in a Test Report or similar document.

Audit Step: 5.A.3.1 Has a Test Report been prepared and released?

Y	N	N/A	Comments	XREF

Audit Step: 5.A.3.2 Verify that it covers at least the following both for program and system testing, and for volume and operational testing:

• test results
• reasons for any testing not completed
• follow-up action taken where required as indicated by test results

Y	N	N/A	Comments	XREF

Criterion: 5.A.4 The accuracy and completeness of the Test Report have been acknowledged by the appropriate level of user and by Data Processing management.

Audit Step: 5.A.4.1 Has the Test Report document been reviewed by the Steering Committee/Sign Off Authorities and have they signified acceptance? Note any conditional acceptance for follow-up in later stages.

Y	N	N/A	Comments	XREF

Criterion: 5.A.5 All required skills continue to be available to the project.

Audit Step: 5.A.5.1 Do the skills of the staff being employed on the project (as Team Members or Steering Committee/Sign Off Authority members) continue to meet the requirements specified in the Personnel Skills Summary?

Y	N	N/A	Comments	XREF

Criterion: 5.A.6 Dates for Committee meetings and the items to be discussed at each meeting continue to be addressed in a Steering Committee Meeting Schedule or similar document.

Audit Step: 5.A.6.1 Has a Steering Committee Meeting Schedule document been prepared and released to all interested parties, including EDP and user management?

Y	N	N/A	Comments	XREF

Audit Step: 5.A.6.2 Attend or review the minutes of the Committee meetings and note the following:

• representatives from EDP and user management attended each meeting, and
• meetings were held regularly.

Y	N	N/A	Comments	XREF

Criterion: 5.A.7 The status of the project compared to the budget and schedule contained in the Detailed Design Stage Status document has been addressed in an Implementation Stage Project Status Report or similar document.

Audit Step: 5.A.7.1 Has an Implementation Stage Status document been prepared and released.

Y	N	N/A	Comments	XREF

Audit Step: 5.A.7.2 Verify that it contains at least the following:

• actual resources used to date, compared to planned, with reasons for variance
• actual milestones achieved to date, compared to planned, with reasons for variance
• detailed plans for the Installation stage, including the following:
  • file conversion, including any reconciliations and sampling of results
  • training, including schedules and distribution of materials
  • distribution of user and operations manuals
  • redeployment of staff
  • cut-over schedule
• updated budget and reasons for any changes
• updated schedule and reasons for any changes
• updated cost/benefit analysis
• recommendation to continue or discontinue the project

Y	N	N/A	Comments	XREF

Audit Step: 5.A.7.3 Verify actual resource use in source documents.

Y	N	N/A	Comments	XREF

Audit Step: 5.A.7.4 Verify that the updated budget and schedule are in keeping with the updated cost/benefit analysis.

Y	N	N/A	Comments	XREF

Audit Step: 5.A.7.5 Verify the updated cost/benefit analysis against the cost/benefit analysis from the previous stage and source documents.

Y	N	N/A	Comments	XREF

Audit Step: 5.A.7.6 Determine that the updated cost/benefit analysis has taken into consideration the human resource impact requirements.

Y	N	N/A	Comments	XREF

Criterion: 5.A.8 The accuracy and completeness of the Implementation Stage Status document and agreement with it has been acknowledged by the appropriate level of user and by Data Processing management.

Audit Step: 5.A.8.1 Has the Implementation Stage Status document been reviewed by the Steering Committee/Sign Off Authorities and have they signified acceptance of it?

Y	N	N/A	Comments	XREF

Objective: 5.B To ensure that key data controls are effective.

Criterion: 5.B.1 Re-perform selected data integrity control tests.

Audit Step: 5.B.1.1 Re-perform selected data integrity control tests.

Note: Appendix I contains reference material for determining appropriate techniques to re-test the selected controls, depending on the nature of the system and its environment. For example, real-time on-line systems, using data base management systems under the control of separate data administrative management, will demand more sophisticated re-tests than typical batch input, tape master file systems.

Y	N	N/A	Comments	XREF

Objective: 5.C To ensure that key system controls are effective.

Criterion: 5.C.1 Re-perform selected system integrity control tests.

Audit Step: 5.C.1.1 Re-perform selected system integrity control tests.

Note: Appendix I contains reference material for determining appropriate techniques to re-test the selected controls, depending on the nature of the system and its environment. Real-time on-line systems, using data base management systems under the control of separate data administrative management, will demand more sophisticated re-tests than typical batch input, tape master file systems.

Y	N	N/A	Comments	XREF

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