The planning phase is the most critical step in completing development, acquisition, and maintenance projects. Careful planning, particularly in the early stages of a project, is necessary to coordinate activities and manage project risks effectively. The depth and formality of project plans should be commensurate with the characteristics and risks of a given project.
Planning Phase
The planning phase is the most critical step in
completing development, acquisition, and maintenance projects. Careful
planning, particularly in the early stages of a project, is necessary to
coordinate activities and manage project risks effectively. The depth and
formality of project plans should be commensurate with the characteristics and
risks of a given project.
Project plans refine the information gathered
during the initiation phase by further identifying the specific activities and
resources required to complete a project.
A critical part of a project manager’s job is
to coordinate discussions between user, audit, security, design, development,
and network personnel to identify and document as many functional, security,
and network requirements as possible. Primary items organizations should
address in formal project plans include
Project
Overview
Project overviews provide an outline of the
project plan. Overviews should identify the project, project sponsors, and
project managers; and should describe project goals, background information,
and development strategies.
Roles
and Responsibilities
Project plans should define the primary
responsibilities of key personnel, including project sponsors, managers, and
team members. Additionally, project plans should identify the responsibilities
of third-party vendors and internal audit, security, and network personnel.
Communication
Defined communication techniques enhance
project efficiencies. Therefore, management should establish procedures for
gathering and disseminating information. Standard report forms, defined
reporting requirements, and established meeting schedules facilitate project
communications. Management should establish acceptance criteria for each
project phase. Management should also establish appropriate review and approval
procedures to ensure project teams complete all phase requirements before
moving into subsequent phases.
Defined
Deliverables
Clearly defined expectations are a prerequisite
for successfully completing projects. Representatives from all departments involved
in, or affected by, a project should assist in defining realistic project
objectives, accurate informational, functional, and interface requirements, and
objective acceptance criteria.
Control
Requirements
An essential part of the planning process involves
designing and building automated control and security features into
applications. Identifying all required features and exactly where they should
be placed is not always possible during initial project phases. However,
management should consider security and control issues throughout a project’s
life cycle and include those features in applications as soon as possible
during a project’s life cycle.
Risk
Management
Managing risks is an important part of the
project planning process. Organizations should establish procedures to ensure
managers appropriately assess, monitor, and manage internal and external risks
throughout a project’s life cycle. The procedures should include risk
acceptance, mitigation, and/or transfer strategies.
External risks include issues such as vendor
failures, regulatory changes, and natural disasters. Internal risks include
items that affect budgets, such as inaccurate cost forecasting or changing
functional requirements; scheduling difficulties, such as unexpected personnel changes
or inaccurate development assumptions; and work flow challenges, such as weak
communication or inexperienced project managers.
Change
Management
Personnel often request the addition or
modification of functional requirements during software development projects.
Although the addition or modification of requirements may be appropriate,
standards should be in place to control changes in order to minimize
disruptions to the development process. Project managers should establish
cut-off dates after which they defer requested changes to subsequent versions.
Additionally, representatives from the same departments involved in
establishing requirements should be involved in evaluating and approving
proposed changes. Large, complex, or mission-critical projects should include
formal change management procedures.
Standards
Project plans should reference applicable
standards relating to project oversight activities, system controls, and
quality assurance. Oversight standards should address project methodology selections,
approval authorities, and risk management procedures. System controls standards
should address functional, security, and automated-control requirements.
Quality assurance standards should address the validity of project assumptions,
adherence to project standards, and testing of a product’s overall performance.
Management should review, approve, and document deviations from established
standards.
Documentation
Project plans should identify the type and
level of documentation personnel must produce during each project phase. For
instance, personnel should document project objectives, system requirements,
and development strategies during the initiation phase. The documentation
should be revised as needed throughout the project. For example, preliminary
user, operator, and maintenance manuals created during the design phase should
be revised during the development and testing phases, and finalized during the
implementation phase.
Scheduling
Management should identify and schedule major
project phases and the tasks to be completed within each phase. Due to the
uncertainties involved with estimating project requirements, management should
build flexibility into project schedules. However, the amount of flexibility
built into schedules should decline as projects progress and requirements
become more defined.
Budget
Managers should develop initial budget
estimations of overall project costs so they can determine if projects are
feasible. Managers should monitor the budgets throughout a project and adjust
them if needed; however, they should retain a baseline budget for post-project
analysis. In addition to budgeting personnel expenses and outsourced
activities, it is important to include the costs associated with project
overhead such as office space, hardware, and software used during the project.
Testing
Management should develop testing plans that
identify testing requirements and schedule testing procedures throughout the
initial phases of a project. End users, designers, developers, and system
technicians may be involved in the testing process.
Staff
Development
Management should develop training plans that
identify training requirements and schedule training procedures to ensure
employees are able to use and maintain an application after implementation.