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


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Appendix G: Audit Program for the Installation Stage

Stage: 6. Installation Stage

Objective: 6.A To ensure that the system and any file conversions properly moves from the development status to the operational and maintenance status.

Criterion: 6.A.1 The accuracy, completeness, and authenticity of the files created by conversion are ensured through the use of appropriate control techniques.

Audit Step: 6.A.1.1 Review the conversion plan before it is executed, referring to the List of Minimum System Processing Controls. Verify that control techniques are being included in the conversion process to satisfy all control concerns.

  • This is an extremely critical process. No doubt about the integrity of the data in the new files should be tolerated. Control techniques such as one-to-one checks, may have to be used.
Y N N/A Comments XREF
         

Audit Step: 6.A.1.2 Verify that the conversion was carried out according to plan.

Y N N/A Comments XREF
         
Criterion: 6.A.2 Training has been carried out in accordance with the schedule prepared.

Audit Step: 6.A.2.1. Verify that training was carried out according to the schedule prepared in the Implementation Stage and that any variations have been agreed to by user management.

Y N N/A Comments XREF
         
Criterion: 6.A.3 Installation was carried out in accordance with the schedule prepared.

Audit Step: 6.A.3.1 Have installations been carried out according to the schedule prepared in the implementaion Stage and have any variations been agreed to by the user management?

Y N N/A Comments XREF
         

Audit Step: 6.A.3.2 Has user acceptence been formally ageed to, as appropriate, according to schedule? For example, if stand-alone processing locations are being installed on an independent basis, each location should sign-off its acceptance of the system.

Y N N/A Comments XREF
         
Criterion: 6.A.4 The status of the project relative to the budget and schedule contained in the Implementation Stage Status document has been addressed in an Installation Stage Project Status Report or similar document.

Audit Step: 6.A.4.1 Has an installation Stage Status document been prepared and released?

Y N N/A Comments XREF
         

Audit Step: 6.A.4.2 Verify that it contains at least the following:

  • actual resources used to date, compared to plan, with reasons for variance.
  • actual milestones achieved to date, with reasons for variance.
  • updated budget and reasons for any changes.
  • updated schedule and reasons for any changes.
  • updated cost/benefit analysis
  • recommendations to continue or discontinue the project.
Y N N/A Comments XREF
         

Audit Step: 6.A.4.3 Verify actual resource use in source documents.

Y N N/A Comments XREF
         

Audit Step: 6.A.4.4 Verify that the updated budget and schedule are in keeping with the updated cost/benefit analysis.

Y N N/A Comments XREF
         

Audit Step: 6.A.4.5 Verify the updated cost/benefit analysis against the cost/benefit analysis from the previous stage and from source documents.

Y N N/A Comments XREF
         

Audit Step: 6.A.4.6 Determine that the updated cost/benefit analysis has taken into consideration the human resource impact requirements.

Y N N/A Comments XREF
         
Criterion: 6.A.5 The accuracy and completeness of the Installation Stage Status document and agreement with it has been acknowledged by the appropriate level of user and by Data Processing management.

Audit Step: 6.A.5.1 The accuracy and completeness of the Installation Stage Status document and agreement with it should be acknowledged by the appropriate level of user and Data Processing management.

Y N N/A Comments XREF