Project
Management Processes
Project management is an
integrative endeavor—an action, or failure to take action, in one area will
usually affect other areas. The interactions may be straightforward and well understood,
or they may be subtle and uncertain. For example, a scope change will almost
always affect project cost, but it may or may not affect team morale or product
quality.
These interactions often
require tradeoffs among project objectives—performance in one area may be enhanced
only by sacrificing performance in another.
The specific performance
tradeoffs may vary from project to project and organization to organization.
Successful project management requires actively man- aging these interactions.
Many project management practitioners refer to the project triple constraint as
a framework for evaluating competing demands. The project triple constraint is
often depicted as a triangle where either the sides or corners represent one of
the parameters being managed by the project team.
To help in understanding the
integrative nature of project management, and to emphasize the importance of
integration, this document describes project management in terms of its
component processes and their interactions. This chapter provides an
introduction to the concept of project management as a number of interlinked
processes, and thus provides an essential foundation for understanding the
process descriptions in Chapters 4 through 12. It includes the following major
sections:
3.1 Project Processes
3.2 Process Groups
3.3 Process Interactions
3.4 Customizing Process
Interactions
3.5 Mapping of Project
Management Processes\
3.1 PROJECT PROCESSES
Projects are composed of
processes. A process is “a series of actions bringing about a result” (1).
Project processes are performed by people and generally fall into one of two
major categories:
Project management processes
describe, organize, and complete the work of the project. The project management processes that are applicable to most projects,
most of the time, are described briefly in this chapter and in detail in Chapters
4 through 12.
Product-oriented processes
specify and create the project’s product. Product-oriented processes are
typically defined by the project life cycle (discussed in Section 2.1) and vary
by application area (discussed in Appendix E).
Project management processes
and product-oriented processes overlap and interact throughout the project. For example, the scope of the project
cannot be defined in the absence of some basic understanding of how to create
the product.
3.2 PROCESS GROUPS
Project management processes
can be organized into five groups of one or more processes each: Initiating processes—authorizing the
project or phase.
Planning processes—defining
and refining objectives and selecting the best of the alternative courses of
action to attain the objectives that the project was undertaken to address. Executing
processes—coordinating people and other resources to carry out the plan.
Controlling
processes—ensuring that project objectives are met by monitoring and measuring progress regularly to
identify variances from plan so that corrective action can be taken when
necessary.
Closing
processes—formalizing acceptance of the project or phase and bringing it to an
orderly end.
The process groups are
linked by the results they produce—the result or out- come of one often becomes
an input to another. Among the central process groups, the links are iterated—planning provides executing with a
documented project plan early on, and then provides documented updates to the
plan as the project progresses. These connections are illustrated in Figure
3-1. In addition, the project management process groups are not discrete,
one-time events; they are overlapping activities that occur at varying levels
of intensity throughout each phase of the project. Figure 3-2 illustrates how
the process groups overlap and vary within a phase.
Finally, the process group
interactions also cross phases such that closing one phase provides an input to
initiating the next. For example, closing a design phase requires customer
acceptance of the design document. Simultaneously, the design document defines
the product description for the ensuing implementation phase. This interaction
is illustrated in Figure 3-3. Repeating the initiation processes at the start
of each phase helps to keep the project
focused on the business need that it was undertaken to address. It should also
help ensure that the project is halted if the business need no longer exists, or
if the project is unlikely to satisfy that need. Business needs are discussed more
detail in the introduction to Section 5.1, Initiation.
It is important to note that
the actual inputs and outputs of the processes depend upon the phase in which
they are carried out. Although Figure 3-3 is drawn with discrete phases and discrete processes, in an actual project
there will be many overlaps. The planning process, for example, must not only
provide details
of the
work to be done to bring the current phase of the project to successful completion,
but must also provide some preliminary description of work to be done in later
phases. This progressive detailing of the project plan is often called rolling wave
planning , indicating that planning is an iterative and ongoing process. Involving stakeholders in the
project phases generally improves the probability of satisfying customer
requirements and realizes the buy-in or shared ownership of the project by the
stakeholders, which is often critical to project success.
3.3 PROCESS INTERACTIONS
Within each process group,
the individual processes are linked by their inputs and outputs. By focusing on
these links, we can describe each process in terms of its: Inputs—documents or
documentable items that will be acted upon.
Tools and
techniques—mechanisms applied to the inputs to create the outputs.
Outputs—documents or
documentable items that are a result of the process
The project management
processes common to most projects in most application areas are listed here and
described in detail in Chapters 4 through 12. The numbers in parentheses after
the process names identify the chapter and section where each is described. The
process interactions illustrated here are also typical of most projects in most
application areas. Section 3.4 discusses customizing both process descriptions
and interactions.
3.3.1 Initiating Processes
Figure
3-4 illustrates the single process in this process group.
Initiation (5.1)—authorizing
the project or phase is part of project scope management.
3.3.2 Planning Processes
Planning is of major
importance to a project because the project involves doing something that has
not been done before. As a result, there are relatively more processes in this
section. However, the number of processes does not mean that project management
is primarily planning—the amount of planning performed should be commensurate
with the scope of the project and the usefulness of the information developed.
Planning is an ongoing effort throughout the life of the project.
The relationships among the
project planning processes are shown in Figure
3-5
(this chart is an explosion of the ellipse labeled “Planning Processes” in
Figure 3-1). These processes are subject to frequent iterations prior to completing
the project plan. For example, if the initial completion date is unacceptable,
project resources, cost, or even scope may need to be redefined. In addition,
planning is not an exact science—two different teams could generate very
different plans for the same project.
Core
processes. Some planning processes have clear dependencies that require them to be performed in essentially
the same order on most projects. For example, activities must be defined before
they can be scheduled or coasted. These core planning processes may be iterated several times during any one phase
of a project. They include: Scope
Planning (5.2)—developing a written scope statement as the basis for future project decisions. Scope Definition
(5.3)—subdividing the major project deliverables into smaller more manageable
components. Activity Definition (6.1)—identifying the specific activities that
must be performed to produce the various project deliverables. Activity
Sequencing (6.2)—identifying and documenting interactivity dependencies.
Activity Duration Estimating (6.3)—estimating the number of work periods that
will be needed to complete individual activities. Schedule Development
(6.4)—analyzing activity sequences, activity durations and resource
requirements to create the project schedule. Risk Management Planning
(11.1)—deciding how to approach and plan for risk management in a project. Resource
Planning (7.1)—determining what resources (people, equipment, materials, etc.)
and what quantities of each should be used to perform project activities. Cost
Estimating (7.2)—developing an approximation (estimate) of the costs nof the
resources required to complete project activities. Cost Budgeting
(7.3)—allocating the overall cost estimate to individual work packages.
Project Plan Development (4.1)—taking the results of other planning
processes and putting them into a consistent, coherent document Facilitating
processes. Interactions among the other planning processes are more dependent
on the nature of the project. For example, on some projects, there may be
little or no identifiable risk until after most of the planning has been done
and the team recognizes that the cost and schedule targets are extremely aggressive
and thus involve considerable risk. Although these facilitating processes are
performed intermittently and as needed during project planning, they are not
optional. They include: Quality Planning (8.1)—identifying which quality
standards are relevant to the project and determining how to satisfy them. Organizational
Planning (9.1)—identifying, documenting, and assigning project roles,
responsibilities, and reporting relationships. Staff Acquisition (9.2)—getting
the human resources needed assigned to and working on the project.
Communications Planning (10.1)—determining the information and communications
needs of the stakeholders: who needs what information, when will they need it,
and how will it be given to them. Risk Identification (11.2)—determining which
risks are likely to affect the project and documenting the characteristics of
each.
Qualitative Risk Analysis (11.3)—performing a qualitative analysis of
risks and conditions to prioritize their effects on project objectives. Quantitative
Risk Analysis (11.4)—measuring the probability and impact of risks and
estimating their implications for project objectives. Risk Response Planning
(11.5)—developing procedures and techniques to enhance opportunities and to
reduce threats to the project’s objectives from risk.
Procurement Planning (12.1)—determining what to procure, how much to procure,
and when.
Solicitation Planning (12.2)—documenting product requirements and identifying
potential sources.
3.3.3 Executing Processes
The executing processes include core processes and facilitating
processes. Figure
3-6 illustrates how the following core and facilitating processes
interact:
Project Plan Execution (4.2)—carrying out the project plan by
performing the activities included therein.
Quality Assurance
(8.2)—evaluating overall project performance on a regular basis to provide confidence
that the project will satisfy the relevant quality standards.
Team Development (9.3)—developing individual and group skills/competencies
to enhance project performance.
Information Distribution (10.2)—making needed information available to
project stakeholders in a timely manner.
Solicitation (12.3)—obtaining quotations, bids, offers, or proposals
as appropriate.
Source Selection (12.4)—choosing from among potential sellers.
Contract Administration (12.5)—managing the relationship with the
seller.
3.3.4 Controlling Processes
Project performance must be monitored and measured regularly to
identify variances from the plan. Variances are fed into the control processes
in the various knowledge areas. To the extent that significant variances are
observed (i.e., those that jeopardize the project objectives), adjustments to
the plan are made by repeating the appropriate project planning processes. For
example, a missed activity finish date may require adjustments to the current
staffing plan overtime, or tradeoffs between budget and schedule objectives.
Controlling also includes taking preventive action in anticipation of possible
problems.
The controlling process group contains core processes and facilitating
processes.
Figure 3-7 illustrates how the following core and facilitating
processes interact: Integrated Change Control (4.3)—coordinating changes across
the entire project. Scope Verification (5.4)—formalizing acceptance of the
project scope. Scope Change Control (5.5)—controlling changes to project scope.
Schedule Control (6.5)— controlling changes to the project schedule. Cost
Control (7.4)—controlling changes to the project budget. Quality Control
(8.3)—monitoring specific project results to determine if they comply with
relevant quality standards and identifying ways to eliminate causes of
unsatisfactory performance. Performance Reporting (10.3)— collecting and disseminating
performance information. This includes status reporting, progress measurement,
and forecasting.
Risk Monitoring and Control (11.6)—keeping track of identified risks,
monitoring residual risks and identifying new risks, ensuring the execution of
risk plans, and evaluating their effectiveness in reducing risk.
3.3.5 Closing Processes
Figure 3-8 illustrates how the following core processes interact:
Contract Closeout (12.6)—completion and settlement of the contract, including
resolution of any open items.
Administrative Closure (10.4)—generating, gathering, and disseminating
information to formalize phase or project completion, including evaluating the
project and compiling lessons learned for use in planning future projects or
phases.
3.4 CUSTOMIZING PROCESS
INTERACTIONS
The processes and interactions in Section 3.3 meet the test of general
acceptance—they apply to most projects most of the time. However, not all of
the processes will be needed on all projects, and not all of the interactions
will apply to all projects. For example:
An organization that makes extensive use of contractors may explicitly
describe where in the planning process each procurement process occurs.
The absence of a process does not mean that it should not be
performed. The project management team should identify and manage all the
processes that are needed to ensure a successful project.
Projects that are dependent on unique resources (commercial software
development, biopharmaceuticals, etc.) may define roles and responsibilities
prior to scope definition, since what can be done may be a function of who will
be available to do it. Some process outputs may be predefined as constraints.
For example, management may specify a target completion date, rather than
allowing it to be determined by the planning process. An imposed completion
date may increase project risk, add cost, and compromise quality. Larger projects
may need relatively more detail. For example, risk identification might be
further subdivided to focus separately on identifying cost risks, schedule
risks, technical risks, and quality risks.
On subprojects and smaller projects, relatively little effort will be
spent on processes whose outputs have been defined at the project level (e.g.,
a subcontractor may ignore risks explicitly assumed by the prime contractor),
or on processes that provide only marginal utility (e.g., there may be no
formal communications plan on a four-person project).
3.5 MAPPING OF PROJECT
MANAGEMENT PROCESSES
Figure 3-9 reflects the mapping of the thirty-nine project management
processes to the five project management process groups of initiating,
planning, executing, controlling, and closing and the nine project management
knowledge areas inChapters 4–12.
This diagram is not meant to be exclusive, but to indicate generally
where the project management processes fit into both the project management
process groups and the project management knowledge areas.
