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

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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?

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

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