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Project Management Process Groups

Chapter 3


Chapter 3Objectives

Common Inputs, Tools & Techniques, Outputs (ITTOs)

Initiating Process Groups - 2 ProcessesPlanning Process Groups - 24 ProcessesExecuting Process Groups - 8 ProcessesMonitoring & Controlling Process Groups - 11 ProcessesClosing Process Groups - 2 Processes

All the above 47 Processes & their Inputs, Tools & Techniques, Outputs (ITTOs)

This chapter entails one to understand the 5 different Process Groups, 47 Processes, their Inputs, Tools & Techniques, Outputs.

Detailed understanding about each of these 47 processes with practical and theoretical knowledge.

Understand some of the important concepts of project management process groups and processes with the aid of samples and examples.


Project Management Process GroupsBased on the W. Edward Deming Plan-Do-Check-Act cycle and groups are largely derived from same.

Project Management is Integration of these processes running across the project. Actions taken during one process typically need alignment and coordination with interfacing processes. These project management processes are grouped into five groups.

1. Initiating Process Group: Processes performed to define and

authorize the new project and start.

2. Planning Process Group: Processes performed to scope the project, refine project objectives, and define course of action to acheive project objectives.

3. Executing Process Group: Processes performed to complete the defined work inline with specifications.

4. Monitoring & Controlling Process Group: Processes perfomed to monitor the work being performed to the specifications and perform processes to adopt changes in order to bring back the work being performed inline to the specifications.

5. Closing Process Group: Processes performed to closure of all activities and finally the project end formally.

Project Management

Processes

Plan

Do

Check

Act

Planning

Execution

Monitoring

Controlling


8 Initiating Domain Process Group Tasks

1. Perform project assessment based upon available information, lessons learned from previous projects, and meetings with relevant stakeholders, in order to support the evaluation of the feasibility of new products or services within the given assumptions and/or constraints.

2. Identify key deliverables based on the business requirements, in order to manage customer expectations and direct the achievement of project goals.

3. Perform stakeholder analysis using appropriate tools and techniques, in order to align expectations and gain support for the project.

4. Identify high level risks, assumptions, and constraints based on the current environment, organizational factors, historical data and expert judgment, in order to propose an implementation strategy.

5. Participate in the development of the project charter by compiling and analysing gathered information, in order to ensure project stakeholders are in agreement on its elements.

6. Obtain project charter approval from the sponsor, in order to formalize the authority assigned to the project manager and gain commitment and acceptance for the project.

7. Conduct benefit analysis with stakeholders (including sponsor, customer, subject matter experts), in order to validate project alignment with organizational strategy and expected business value.

8. Inform stakeholders of the approved project charter, in order to ensure common understanding of the key deliverables, milestones, and their roles and responsibilities.


13 Planning Domain Process Group Tasks

1. Review and assess detailed project requirements, constraints, and assumptions with stakeholders based on the project charter, lessons learned, and by using requirement gathering techniques, in order to establish detailed project deliverables.

2. Develop a scope management plan, based on the approved project scope and using scope management techniques, in order to define, maintain, and manage the scope of the project.

3. Develop the cost management plan based on the project scope, schedule, resources, approved project charter and other information, using estimating techniques, in order to manage project costs.

4. Develop the project schedule based on the approved project deliverables and milestones, scope, and resource management plans, in order to manage timely completion of the project.

5. Develop the human resource management plan by defining the roles and responsibilities of the project team members, in order to create a project organizational structure and provide guidance regarding how resources will be assigned and managed.

6. Develop the communications management plan based on the project organization structure and stakeholder requirements, in order to define and manage the flow of project information.

7. Develop the procurement management plan based on the project scope, budget, and schedule, in order to ensure that the required project resources will be available.

8. Develop the quality management plan and define the quality standards for the project and its products, based on the project scope, risks, and requirements, in order to prevent the occurrence of defects and control the cost of quality.


13 Planning Domain Process Group Tasks

9. Develop change management plan by defining how changes will be addressed and controlled, in order to track & manage change.

10. Develop the risk management plan by identifying, analysing, and prioritizing project risks, and defining risk response strategies, in order to manage uncertainty and opportunity throughout the project life cycle.

11. Present the project management plan to the relevant stakeholders according to applicable policies and procedures, in order to obtain approval to proceed with project execution.

12. Conduct kick-off meeting, communicating the start of the project, key milestones, and other relevant information, in order to inform and engage stakeholders and gain commitment.

13. Develop the stakeholder management plan by analysing needs, interests, and potential impact, in order to effectively manage stakeholders’ expectations and engage them in project decisions.


7 Executing Domain Process Group Tasks

1. Acquire and manage project resources by following the human resource and procurement management plans, in order to meet project requirements.

2. Manage task execution based on the project management plan by leading and developing the project team, in order to achieve project deliverables.

3. Implement the quality management plan using the appropriate tools and techniques, in order to ensure that work is performed in accordance with required quality standards.

4. Implement approved changes and corrective actions by following the change management plan, in order to meet project requirements.

5. Implement approved actions by following the risk management plan, in order to minimize the impact of the risks and take advantage of opportunities on the project.

6. Manage the flow of information by following the communications plan, in order to keep stakeholders engaged and informed.

7. Maintain stakeholder relationships by following the stakeholder management plan, in order to receive continued support and manage expectations.


7 Monitoring & Controlling Domain Process Group Tasks

1. Measure project performance using appropriate tools and techniques, in order to identify and quantify any variances and corrective actions.

2. Manage changes to the project by following the change management plan, in order to ensure that project goals remain aligned with business needs.

3. Verify that project deliverables conform to the quality standards established in the quality management plan by using appropriate tools and techniques, in order to meet project requirements and business needs.

4. Monitor and assess risk by determining whether exposure has changed and evaluating the effectiveness of response strategies, in order to manage the impact of risks and opportunities on the project.

5. Review the issue log, and update if necessary, and determine corrective actions by using appropriate tools and techniques, in order to minimize the impact on the project.

6. Capture, analyze, and manage lessons learned using lessons learned management techniques, in order to enable continuous improvement.

7. Monitor procurement activities according to the procurement plan, in order to verify compliance with project objectives.


7 Closing Domain Process Group Tasks1. Obtain final acceptance of the project

deliverables from relevant stakeholders, in order to confirm that project scope and deliverables were achieved.

2. Transfer the ownership of deliverables to the assigned stakeholders in accordance with the project plan, in order to facilitate project closure.

3. Obtain financial, legal, and administrative closure using generally accepted practices and policies, in order to communicate formal project closure and ensure transfer of liability.

4. Prepare and share the final project report according to the communications management plan, in order to document and convey project performance and assist in project evaluation.

5. Collate lessons learned that were documented throughout the project and conduct a comprehensive project review, in order to update the organization’s knowledge base.

6. Archive project documents and materials using generally accepted practices, in order to comply with statutory requirements and for potential use in future projects and audits.

7. Obtain feedback from relevant stakeholders, using appropriate tools and techniques and based on the stakeholder management plan, in order to evaluate their satisfaction.


Understand PMBOK5 Process Groups

Initiating Process Group

Planning Process Group

Executing Process Group

Monitoring & Controlling Process Group

Closing Process Group

10 Knowledge Areas

Integration Management

Scope Management

Time Management

Cost Management

Quality Management

Human Resource Management

Communication Management

Risk Management

Procurement Management

Stakeholder Management

Initiating

Planning

Executing

Closure

Monitoring & Controlling


Client

Project

Vendor

VendorWork

PM

ClientPM

VendorPM

Vendor PM

Internal StakeholdersExternal Stakeholders External Stakeholders

Organization 1

Organization 2

Organization 3

Organization 4

Internal

External

External

For effective preparation, consider yourself to be in the center of entire project engagement during

PMBOK Study

Foundation: PMBOK Study Assumption


47 ProcessesKnowledge Area

Initiating (2P) 13% Questions

Planning (24 P)24% Questions

Executing (8P)30% Questions

Monitoring & Controlling (11P) 25% Questions

Closing (2P)8% Questions

Integration 4.1 Develop Project Charter

4.2 Develop Project Management Plan

4.3 Direct And Manage Project Work

4.4 Monitor And Control Project Work4.5 Perform Integrated Change Control

4.6 Close Project Or Phase

Scope 5.1 Plan Scope Management5.2 Collect Requirements5.3 Define Scope5.4 Create WBS

5.5 Validate Scope5.6 Control Scope

Time

6.1 Plan Schedule Management6.2 Define Activities6.3 Sequence Activities6.4 Estimate Activity Resources6.5 Estimate Activity Duration6.6 Develop Schedule

6.7 Control Schedule

Cost7.1 Plan Cost Management7.2 Estimate Costs7.3 Determine Budget

7.4 Control Costs

Quality 8.1 Plan Quality Management

8.2 Perform Quality Assurance

8.3 Control Quality

Each process has Inputs to the process Tools & Techniques applied to the process Outputs from the process

Table Continued…


47 ProcessesKnowledge Area

Initiating (2P) 13% Questions

Planning (24 P)24% Questions

Executing (8P)30% Questions

Monitoring & Controlling (11P) 25% Questions

Closing (2P)8% Questions

Human Resources

9.1 Plan HR Management

9.2 Acquire Project Team9.3 Develop Project Team9.4 Manage Project Team

Communications

10.1 Plan Communications Management

10.2 Manage Communications

10.3 Control Communications

Risk

11.1 Plan Risk Management11.2 Identify Risks11.3 Perform Qualitative Risk Analysis11.4 Perform Quantitative Risk Analysis11.5 Plan Risk Responses

11.6 Control Risks

Procurement12.1 Plan Procurement Management

12.2 Conduct Procurements

12.3 Control Procurements

12.4 Close Procurement

Stakeholder13.1 Identify Stakeholders

13.2 Plan Stakeholder Management

13.3 Manage Stakeholder Engagement

13.4 Control Stakeholder Engagement

Each process has Inputs to the process Tools & Techniques applied to the process Outputs from the process


Common ITTO’s

CommonInputs

• Project Management Plan

• Enterprise Environmental Factors

• Organizational Process Assets

Common Tools & Techniques

• Expert Judgment

Common Outputs

• Project Management Plan updates

• Project document updates

• Change Requests


Common InputsProject Management Plan• Is created across the processes in

summary or detailed manner. • Is the basis for all the project work

to be accomplished based on the approach defined in the plan.

Enterprise Environmental Factors• Factors which have direct or

indirect influence on the outcome of Project.

• Could be Internal to the organization or beyond organization – external.

• Some of them are listed here:• Organization Culture• Organization Format & structure• Human Resource Policies• Political Climate• Regulatory environment• Government Environment Policy• Financial & Market Conditions…

Organizational Process Assets• Organizational assets within the

organization to help & guide project manager accomplish project delivery.

• Some of them are listed here:• Processes, Guidelines and

Procedures• Examples: Financial Payment

Processes, Technical Guidelines, Disaster Recovery Procedures

• Corporate Knowledge Base• Examples: Historical Project Files

& Reports, Past lessons learned



Expert Judgment• Experts in their Subject Matter are considered to be the prime

source of information for the project manager to gather inputs on any particular subject.

• This is one of the elements for decision making process for project manager and management.

• Project Manager also utilizes the Expert skills to resolve issues in that particular expertise domain. This ensures that project manager is only a facilitator and not the problem solver him/herself.


Common OutputsProject Management Plan Updates• Is created across the

processes in summary or detailed manner and becomes the continuously evolving output from each process

• Is utilized by all project team members

Project Document Updates• At any given point the project

documents need to be up to date

• Documents which get updated include:• Requirements Document• Project Issue Log• Risk Register• Stakeholder Register• Performance Reports• Communication Log

Change Requests• All change requests derived

out of each input or process is an output.

• This is also an input to Integrated Change Control Process which includes Corrective, Preventive actions, defect repairs and scope changes.


We Learnt: Common ITTO’s

CommonInputs

• Project Management Plan

• Enterprise Environmental Factors

• Organizational Process Assets


• Expert Judgment

Common Outputs

• Project Management Plan updates

• Project document updates

• Change Requests


Let us talk about InitiatingKey Purpose of this Group:

Align Stakeholder Expectations to Project’s Purpose

Nature of aspects involved in Initiating:

Selection of the Project using Business CaseProject feasibility check & Product fitmentSelection of the SponsorIdentification of all StakeholdersCultivate Stakeholder Management StrategyGather preliminary information required for Project establishment including processes and lessons learnt

Evaluate Initial requirements, Identify Risks & Evaluate AssumptionsSelection of the Project ManagerDevelop Project CharterBreakdown Project into phases based on StrategyDefine High level objectives of the Project


Exam Perspective on InitiatingPrimary goals of Initiating are:

Develop project charterIdentify Stakeholders

Understand the following in Initiating:Staffing is very lowCosts are very lowChances of Project success are very lowRisks are higherStakeholders Influences are higher


Let us talk about PlanningKey Purpose of this Group:

Develop Project Management Plan along with subsidiary Management Plans

Nature of aspects involved in Planning:Planning all phases of the ProjectPlan all subsidiary management plansDetailed Scope Requirements & Develop Scope StatementEvaluation of Detailed Time(Schedule), Cost(Budget) Needs, Quality (Benchmark Standards, Adoption of Processes, Metrics)Identify Procurement Needs(Purchases)Define the Human Resource Requirements including Roles, Responsibilities MatrixWBS Creation & WBS Dictionary DevelopmentCreate activity list, network diagrams, resource requirements

Identification of Project Critical PathPerform Risk Identification, Risk Qualitative & Quantitative Analysis with Risk Response StrategyDevelop detailed Procurement planDevelop Process Improvement planDevelop Change management planDevelop Project Performance measurement plan & Establish BaselinesApproval on the Project PlansKick Off Project Execution


Exam Perspective on PlanningPrimary goals of Planning are:

Finalize a Project Management PlanEstablish supporting Subsidiary Management Plans

Understand the following in Planning:Project Management Plan and Subsidiary Management Plans are not finalized until a thorough Risk assessment and identification has been performedBefore using any of these plans, all of them need to be approved by the Project board/Sponsor/StakeholdersProvisions should be made in the entire planning to accommodate the changes which will arise across the project dimensions


Let us talk about ExecutingKey Purpose of this Group:

Get the work done as defined in the management plans by using all defined means

Nature of aspects involved in Executing:

Project Work Execution as per BaselinesAcquire & Deploy Procured Services, Products & ResourcesSelect Sellers & Check Quality of Deliverables from ProcurementDeploy & manage the Human ResourcesProject Team Performance Reinforcements, Rewards, Recognition, Team BuildingConduct Meetings & Communicate InformationAdherence to the Project Processes

Implement Approved Changes by CCB (Change Control Board)Quality Assurance & Quality Audits, Continuous Process ImprovementsRecord Issues in the Issue Log, assist the Conflict ResolutionProduce the DeliverablesRamp down Resources and finally release


Exam Perspective on ExecutingPrimary goals of Executing are:

Direct and Manage Project WorkRe-adopt and Refine the Project Work as progression happens

Understand the following in Executing:

Project progression involves getting the work accomplished along with the re-planning, updates and re-baseline the project upon approvalsLarge amount of the entire project sum is expensed in this stage


Let us talk about Monitoring & Controlling

Key Purpose of this Group:Is to measure the performance of the project, address change requests, recommended corrective and preventive actions along with implement defect repairs

Nature of aspects involved in Monitoring & Controlling:

Measure work against the Project performance baselinesEnable corrective and preventive actionsEnable approved baseline changes & re-calibered Project planSeek approval for the Change RequestsPerform Quality ControlPerform Procurement MonitoringPerform Risk Audits

Perform Integrated Change ControlPerform Forecast ManagementPerform ConfigurationAppraise Stakeholders with actionable informationGet an approval on the deliverables from Customer


Exam Perspective onMonitoring & Controlling

Primary goals of Monitoring & Controlling are:Monitor and Control Project Work and Integrate Change Control

Pay more attention on these areas:Perform root cause analysisSecure additional fundingPerform validated defect repairCalculate ETC(Estimate to Complete)Reassess project control system for effectiveness

Understand the following in Monitoring & Controlling:Project subsidiary plans are complete and realisticProject performance is measured against metricsVariances observed are rectified with corrective actions


Let us talk about ClosingKey Purpose of this Group:

Project performed is now brought to a proper closure with all the proper project details been documented, archived, released and published

Nature of aspects involved in Closing:

Conformity to Product RequirementsProcurement ClosurePhase ClosureProduct AcceptanceFinancial ClosureStakeholder Appraisal of Project PerformanceDocument Project Performance Report

Document Project Lessons LearntArchive Project information for Future use


Exam Perspective on ClosingPrimary goals of Closing are:

Ensure Project Administrative Closure on the Project is completed(without which project is not marked complete)

Understand the following in Closing:Project is not always only closed in proper manner, it may also be subject of Project terminationReasons for Project termination has to be detailed and documented formally for future referencesAfter the Project is closed formally, it is time to Celebrate.


Chapter 3 - Debrief


THIS BRINGS TO CHAPTER 3 COMPLETION.

From what we have understood so far is:

Common Inputs, Tools & Techniques, Outputs (ITTOs)

Initiating Process Groups - 2 ProcessesPlanning Process Groups - 24 ProcessesExecuting Process Groups - 8 ProcessesMonitoring & Controlling Process Groups - 11 ProcessesClosing Process Groups - 2 Processes

All above 47 Processes & their Inputs, Tools & Techniques, Outputs (ITTOs)

Chapter 3


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Acknowledgements & Disclaimer

PMI, PMBOK, PMP, CAPM, PgMP, PMI-ACP, PMI-RMP, PMI-SP are registered marks of Project Management Institute, Inc.All registered trademarks, symbols, names are marks of their respective owners and acknowledged.

Online PMP Prep Material for PMP Exam - Project management process groups

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