Manual 2-The Standard For Project Management

Manual 2
The Standard for Project

Management
Book 1 of 1
Manual 2: The Standard for Project Management
Contents
Topic 1: Project Management Process 4
Section A: An Overview of the Project Management Processes 4
Project Management Process Groups 5
Section B: Another Insight on the Project Management Processes 8
Project Management Process Groups (Figure 5) 8
Initiating: 8
Process Groups 9
Iterative Nature of a Process 9
Iterative Nature between Processes 9
Interaction between Phases 9
Topic 2: Framework of Project Management 10
Section A: Project Management Process Groups 10
Iterative Nature in a Process 10
Iterative Nature among Processes 11
Nine Project Management Knowledge Areas 11
Integrating the Process Groups with the Knowledge Areas 11
Core vs. Facilitating Processes 12
Core Planning Processes 12
Facilitating Planning Processes 12
Section B: Overview of Managing a Project 13
Defining a Project 13
The key characteristics of a project 13
Related Definitions 13
Operation 13
Program 13
Subproject 13
How Projects Differ from Operations 13
Project versus Operations 15
Defining Project Management 15
How Does Project Management Differ from Other Types Of Management? 15
Project Management 16
Corporate Trends That Support Project Management 16
Corporate Benefits of Using Project Management 17
PMI Framework 17
Defining Project Phase 17
Topic 3: The Five Process Groups 19
Section A: Introduction to the Five Process Groups 19
Iterative Nature of a Process 19
Iterative Nature between Processes 20
Interaction between Phases 20
Section B: Initiating Process Group 21
Life Cycle and Process Group Interaction 23
Navigating Content by Process Group 24
Executive Core and Facilitating Process 25
Core versus Facilitating Processes 25
Book 1 of 1 Page 2 of 46
Section C: Another Insight on the Initiating Process Group 27

Initiating Processes 27
Why Projects Are Authorized 27
Activities Prior to Initiation 28
Purposes of the Initiation Process 28
Project Sponsor 28
Section D: The Initiation Process 29
Defining Initiation Process 29
Inputs, Tools and Techniques, and Outputs of Initiation 29
Inputs 29
Tools and Techniques 29
Outputs 30
Defining the Project Charter 30
Project Charter Content 30
The Assignment of the Project Manager 31
Constraints and Assumptions 31
Section E: The Planning Process Group 32
Section Objectives 32
Planning Process Group 32
Purpose of the Planning Process Group 33
Core Planning Process 33
Facilitating Planning Processes 33
Iterative Nature of Planning Processes 34
Core Processes 34
Section F: The Executing Process Group 35
Introduction 35
Section G: Project Plan Execution 36
Core Executing Processes 36
Inputs, tools and Techniques, and Outputs of Project Plan Execution 37
Execution Process Outputs 37
Change Request 37
Change Request Options 39
Section H: The Controlling Process Group 40
Introduction 40
Controlling Process Group 40
Section I: The Closing Process Group 41
The Closing Process Group 41
The Purpose of Project Closure 41
Core Closing Processes 43
Discussion Topic 43
Topic 4: Project Constraints 44
Section A: Introduction to Project Constraints 44
Triple Constraint Model 44
Section B: Another Insight on Project Constraints 45
Triple Constraint Model 45
Summary: Project Quality Management Overview 46
Topic 1: Project
Management Process
Section A: An Overview of the Project
Management Processes
The project management processes are presented as discrete elements with well defined interfaces.
However, in practice they overlap and interact in ways that are not completely detailed here. Most
experienced project management practitioners recognize there is more than one way to manage a project.
The specifics for a project are defined as objectives that must be accomplished based on complexity, risk,
size, time frame, project team’s experience, access to resources, amount of historical information, the
organization’s project management maturity, and industry and application area.
The required Process Groups and their constituent processes are guides to apply appropriate project
management knowledge and skills during the project. In addition, the application of the project
management processes to a project is iterative and many processes are repeated and revised during the
project. The project manager and the project team are responsible for determining what processes from
the Process Groups will be employed, by whom, and the degree of rigor that will be applied to the
execution of those processes to achieve the desired project objective.
An underlying concept for the interaction among the project management processes is the plan-do-
check-act cycle (as defined by Shewhart and modified by Deming, in the ASQ Handbook, pages 13–14,
American Society for Quality, 1999). This cycle is linked by results the result from one part of the cycle
becomes the input to another. See Figure 1.
Plan Do
Act Check
Figure 1 - The Plan-Do-Check-Act Cycle
The integrative nature of the Process Groups is more complex than the basic plan-do-check-act cycle (see
Figure 2). However, the enhanced cycle can be applied to the interrelationships within and among the
Process Groups. The planning process Group corresponds to the “plan” component of the plan-do-check-
act cycle. The Executing Process Group corresponds to the “do” component and the Monitoring and
Controlling Process Group corresponds to the “check and act” components. In addition, since
management of a project is a finite effort, the Initiating Process Group starts these cycles and the Closing
Process Group ends them. The integrative nature of project management requires the Monitoring and
Controlling Process Group interaction with every aspect of the other Process Groups.
Monitoring &
Controlling
Planning
Processes
Initiating Closing
Processes Processes
Executing
Processes
Figure 2: Project Management Process Groups Mapped to the plan-Do-Check-Act Cycle
Project Management Process Groups

This section identifies and describes the five Project Management Process Groups required for any
project. These five Process Groups have clear dependencies and are performed in the same sequence on
each project. They are independent of application areas or industry focus. Individual Process Groups and
individual constituent processes are often iterated prior to completing the project. Constituent processes
also can have interactions both within a Process Group and among Process Groups.
The symbols for the process flow diagrams are shown in Figure 3:
• Process Groups
• Processes within the Process Groups
• Organizational Process Assets and Enterprise Environmental. Factors, shown as inputs to and outputs
from the Process Groups, but external to the processes.
• Arrows or line arrows indicate process or data flow among or within the Process Groups.
Note: Not all process interactions and data flow among the processes are shown in an effort to make the
diagrams more readable.
Flow Chart Legend

Diagrams throughout the Guide show basic steps and interactions
Many additional interactions are possible
External to process
Process Group Process
Process flow
Figure 3 - Flow Chart Legend
The process flow diagram, Figure 4, provides an overall summary of the basic flow and interactions
among the Process Groups. An individual process may define and constrain how inputs are used to
produce outputs for that Process Group. A Process Group includes the constituent project management
processes that are linked by the respective inputs and outputs, that is, the result or outcome of one
process becomes the input to another. The Monitoring and Controlling Process Group, for example, not
only monitors and controls the work being done during a Process Group, but also monitors and controls
the entire project effort.
The Monitoring and Controlling Process Group must also provide feedback to implement corrective or
preventive actions to bring the project into compliance with the project management plan or to
appropriately modify the project management plan. Many additional interactions among the Process
Groups are likely. The Process Groups are not project phases. Where large or complex projects may be
separated into distinct phases or sub-projects such as feasibility study, concept development, design,
prototype, build, test, etc. all of the Process Group processes would normally be repeated for each phase
or subproject.
The five Process Groups are:
• Initiating Process Group. Defines and authorizes the project or a project phase.
• Planning Process Group. Defines and refines objectives, and plans the course of action required to
attain the objectives and scope that the project was undertaken to address.
• Executing Process Group. Integrates people and other resources to carry out the project
management plan for the project.
• Monitoring and Controlling Process Group. Regularly measures and monitors progress to identify
variances from the project management plan so that corrective action can be taken when necessary to
meet project objectives.
• Closing Process Group. Formalizes acceptance of the product, service or result and brings the
project or a project phase to an orderly end.
Note: Not all process interactions and data flow among the Process Groups are shown.
Organization’s culture
Project management
information system
Human resource pool Statement
Enterprise of work Project Initiator of
Initiating
Environmental Factors Sponsor
Process Group
contract
Policies, procedures,
standards, guidelines
Defined processes, Project charter
Historical information Preliminary Project Scope Statement
Lessons learned
Organizational Process
Assets
Planning
Process Group
Project Management Plan
Executing
Process Group
Deliverables
Requested changes
Implemented change requests
Implemented corrective actions
Implemented preventive actions
Implemented defect repair
Work performance information
Monitoring and
controlling
Process Group
Approved change requests

Rejected change requests
Approved corrective actions
Approved preventive actions
Approved defect repair
Project Management plan (updates)
Project Scope Statement (updates)
Recommended corrective actions
Recommended preventive actions
Performance reports
Recommended defect repair
Forecasts
Validated defect repair
Approved deliverables
Organizational Process assets (updates)

Closing Process
Group
Final product,
service, result
Customer
Figure 4 - High Level Summary of Process Groups’ Interactions
Section B: Another Insight on the Project

Management Processes
Projects are composed of processes.
• A process is a series of actions bringing about a result.
PMJ identifies:
• Five process groups.

• 39 processes.
• Nine project management knowledge areas.
Project Management Process Groups (Figure 5)

There are five project process groups for a project:
• Initiating Process Group

• Planning Process Group
• Executing Process Group
• Controlling Process Group
• Closing Process Group
Initiating Planning
Controlling Executing
Closing
Figure 5
Each of the five project management process groups includes one or more processes that are performed.
Initiating: Authorizing the project or phase.
Planning: Defining and refining objectives and selecting the best of the alternative courses of action to
attain the objective that the project was undertaken to address.
Executing: Coordinating people and other resources to carry out the plan.
Controlling: Ensuring that project objectives are met by monitoring and measuring progress regularly to
identify variances from the plan so that corrective action can be taken when necessary.
Closing: Formalizing acceptance of the project or phase and bringing it to an orderly end.
Process Groups
Initiating Planning
Closing
Iterative Nature of a Process
There is no one correct path through the processes. The planning process covers all areas in the project
planning column, but it is not a one-pass process. As the planning process incorporates quality, human
resources, communication, risk, and procurement plans into the overall project plan, some original
assumptions and plans for scope, cost and schedule may have to be altered. It is an iterative process.
Many of the processes within project management are iterative in nature. This allows the project manager
to repeat processes as more information becomes available and to more effectively manage the project.
This is known as progressive elaboration.
Iterative Nature between Processes
The figure on the following page shows the feedback loop that exists among the processes. Typically, after
the planning processes, the project enters the executing process group. However, while in the executing
process group, the project manager is also controlling the project, and feeding status back to the planning
processes, as required. Once the phase is completed, the closing process begins.
Interaction between Phases
Although the processes of project management are similar to the project life cycle, they are not the same.
The processes are, or may be, used in each phase of the project.
All the process groups occur with varying levels of intensity during each project life cycle phase. Process
groups occur in Design Phase, and then are used again in the Implementation Phase. Each phase of a
project may have to be formally closed, with major review or report, before the subsequent phase is
approved.
Topic 2: Framework of
Project Management
This manual contains the compilation of information required to manage a project and contains:
• Proven professional practices and procedures that are widely applied.

• Innovative and advanced practices that have limited use.
This manual is a basic structure to understand and apply accepted practices and procedures required to
manage a project, consisting of:
• Core and facilitating processes.

• Quality processes in project planning.
• Quality processes in project execution.
• Quality processes in project control.
Section A: Project Management Process

Groups
There are five project management process groups: initiating, planning, executing, controlling and
closing. Each of these includes sub-processes that are executed. For this reason, they are often called
process groups. For example, the planning process has twenty-one sub-processes, including risk
management planning, communications planning, cost estimating, and schedule development. The five
process groups are described below.
Initiating Process - Authorizing the project or phase.
Planning Process - 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 Process - Coordinating people and other resources to carry out the plan.
Controlling Process - Ensuring that project objectives are met by monitoring and measuring progress
regularly to identify variances from the plan so that corrective action can be taken when necessary.
Closing Process - Formalizing acceptance of the project or phase and bringing to an orderly end.
Iterative Nature in a Process
There is no one correct path through the project management processes; they all interact with each other.
During the executing processes, work is performed and results are recorded. This can trigger a change
request because of a realized risk. This may require an adjustment to the project schedule, scope, quality,
or budget. Therefore, the outputs of the executing processes trigger activities in the controlling processes.
The change request could result in the project plan being reconsidered, affecting the planning processes
of project management.
Iterative Nature among Processes
Additionally, feedback loops occur among different phases of the project life cycle. Each phase in the
project life cycle performs these project management processes, and the closing process of one phase
typically signals the beginning of the next phase. Typically, after the planning process, the project enters
an executing process. However, while in the executing process, the project manager is also controlling the
project and feeding status back to the planning process, as required. Once the phase is completed, the
closing process begins.
Initiating Planning
(1 Process) (21 Processes)
(8 Processes) (7 Processes)
Closing
(2 Processes)
Nine Project Management Knowledge Areas

This manual defines nine knowledge areas for project management. These knowledge areas describe
project management knowledge and practice in terms of their component processes. The nine project
management knowledge areas are listed below.
• Project Integration Management (3 processes)

• Project Scope Management (5 processes)
• Project Time Management (5 processes)
• Project Cost Management (4 processes)
• Project Quality Management (3 processes)
• Project Human Resource Management (3 processes)
• Project Communications Management (4 processes)
• Project Risk Management (6 processes)
• Project Procurement Management (6 processes)
Integrating the Process Groups with the Knowledge Areas
The intersection of the nine knowledge areas of project management and the five project management
process groups defines a set of project management core and facilitating sub-processes.
The graphic below shows the facilitating processes of the quality project management knowledge area.
The planning, executing, and controlling process groups each have one facilitating process for project
quality management.
Process Groups
Initiatin
Planning Executing Controlling Closing
g
Knowledge area
Quality Quality
Project Quality Quality Planning
Assurance Control
Management (Facilitating)
(Facilitating) (Facilitating)
Core vs. Facilitating Processes
Core planning processes have clear dependencies, are performed in essentially the same order, and may
be iterated several times during the project.
Facilitating processes have less defined dependencies than core processes, and are performed
intermittently as needed during the project. They are more dependent on the nature of the project.
Core Planning Processes
The diagram below displays the relationship of the core processes of the planning process group. Core
processes have clear dependencies that require them to be performed in essentially the same order on
most projects. Quality management has no core processes, but many of the planning core processes will
impact the project’s quality.
Scope Time Time Time

Scope Activity Activity Schedule
Planning Definition Sequencing Development
Time
Cost
Scope Cost Activity Duration
Cost Budgeting
Scope Resource Estimating
Definition Planning
Integration
Cost
Cost Project Plan
Estimating Development
Risk
Risk Management
Planning
Facilitating Planning Processes
The diagram below displays interaction among the facilitating processes. These processes are more
dependent on the nature of the project and are performed intermittently and on an as needed basis during
project planning. It is important to remember that facilitating processes are not optional
Human Human Procurement Procurement

Quality Resources Resources
Organizational Procurement Solicitation

Quality Planning Planning Staff Acquisition Planning Planning
Communications Risk Risk Risk Risk
Communications Risk Qualitative Risk Quantitative Risk Risk response

Planning Identification Analysis Analysis Planning
The sub-process names and knowledge management areas match when comparing the core and
facilitating processes diagram to the matrix created by intersecting the five project process groups with
the nine knowledge areas. It is simply another presentation of the information.
Section B: Overview of Managing a Project

Defining a Project
The definition of project is as follows
Definition: Project
A temporary endeavor undertaken to create a unique product, service, or result.
• Temporary: Projects are marked by a definite beginning and end.

• Unique: The service or product is different in some distinguishing way from other products or
services.
The key characteristics of a project

• Temporary, unique, one-time effort
• Proactive, integrative, preventive
• Specific objectives
• Has definite starting and ending points
• Consumes constrained resources
Related Definitions
Operation
Operations and projects differ primarily in that operations are ongoing and repetitive while projects are
temporary and unique.
Program
A program is a group of projects managed in a coordinated way to obtain benefits not available from
managing them individually.
Subproject
Projects are frequently divided into more manageable components or subprojects.
Care should be given in distinguishing a project from related terms such as operation, program, and
subproject. In informal conversations, the terms are often interchanged. To avoid confusion, the
differences between the terms should be noted and adhered to.
How Projects Differ from Operations
Projects Operations
• Create own temporary charter,

• Semi-permanent charter, organization, goals.
organization, and goals.
• Catalyst for change. • Maintains status quo.

• Unique product or service. • Standard product or service.
• Heterogeneous teams. • Homogeneous teams.
• Start and end date. • Ongoing.
Project versus Operations
Projects can come out of operations. For example, upgrading an assembly line with new equipment to
speed up the development of widgets could be a project born out of an operation. The widget assembly
line is an operation (the ongoing development of widgets) and the new equipment upgrade is a project (the
temporary - as short as possible installation of equipment).
When considering projects and operations, consider the unique characteristics of each.
Defining Project Management

The use of project management methodologies has increased dramatically in the latter half of the 20th
century.
It has evolved because of the successes, failures and lessons learned when organizations have
undertaken large, unidentifiable, complex and lengthy challenges. Projects today would be more difficult
to manage with traditional organizational structures and management methodologies.
Definition: Project Management

The application of knowledge, skills, tools, and techniques to project activities to meet the project
requirements.
A project manager’s job is to balance the three primary variables of a project:
• Time
• Cost
• Scope
How Does Project Management Differ from Other Types Of Management?
Strategic Management
Focuses on setting a strategic plan and achieving a long-range vision/mission in an ongoing, proactive
way.
Op erations Management
Provides an ongoing focus towards managing and maintaining the thy-to-day

status quo in a recurring, proactive way.
Crisis Management
Focuses on fighting fires by fixing the status quo when it breaks or malfunctions in a temporary, reactive
way.
Project Management
Changes the status quo in a temporary, proactive way which: fulfills the strategic plan on an incremental
basis, improves thy-to-day operations, and avoids reactive crisis by managing risk.
Project Management
Project management is a proven discipline used to deliver consistent, predictable, and repeatable project
results by:
• Identifying milestones and deliverables.

• Delineating steps and following the progress of the project.
• Planning quality into the project.
• Proactively identifying risks to eliminate negative impacts and to embrace positive impacts on the
project.
• Developing cost projections based on a timeline.
• Analyzing the effects of change and incorporating them into the planning process.
Project management is a universal discipline that can be applied in many situations. The level of project
management diligence will vary depending on the number of variables, which include:
• Importance of the project.

• Difficulty of the project.
• Experience of the project type.
• Size of the project.
• Risk factor in the project.
Project management can be applied to any project regardless of size, budget, or timeline. Some examples
are:
• Designing a mechanical device.

• Managing a marketing campaign.
• Building a bridge.
• Putting a satellite into orbit.
• Setting up an e-commerce Internet site.
Corporate Trends That Support Project Management
Some examples of corporate trends supporting project management include:
• Corporate globalization.
• Sophisticated telecommunication networks that are easy to use and inexpensive to maintain.
• Downsizing, mergers, and reorganizations.
• Sophisticated customers requiring high-end quality goods and services.
• Multi-national projects requiring standard processes to manage projects.
• Constant technical growth.
Current changes in the business environment have identified effective project management as a critical
success factor (CSF) for companies. As a result, the demand for project managers is increasing
significantly.
There are at least four reasons for the high demand for project managers. Organizations today are more
customer-driven, requiring the ability of the organization to provide a liaison between the organization and
the customer. Companies are redefining the process with which they do business. Task forces are used to
determine the direction of the company, and organizations define their business plans in terms of projects
requiring the skills and knowledge to manage them. All of these organizational changes noted are
contributing to a growth of project managers.
Corporate Benefits of Using Project Management
There are many benefits to corporations that use project management methodologies regularly. These
include:
• Establish measures of success.

• Enable customer focus and alignment.
• Quantify value commensurate with cost.
• Optimize the use of organizational resources.
• Incorporate quality principles.
• Put strategic plans into practice.
• Ensure fast time-to-market.
• Comply with regulations and standards.
Many benefits of successfully implementing project management have been identified. Many common
management principles such as risk management, quality management, strategic planning, and
customer focus are recognized as critical success factors, or competitive advantages for businesses.
Effective project management incorporates these principles, and when applied, realizes the benefits of
these principles.
These are just a few benefits which corporations may realize by using project management.
PMI Framework
The framework is a basic structure to understand and apply accepted practices and procedures required
to manage a project such as:
• Project phases.
• Project life cycles.
• Process groups
• Core and facilitating processes.
• Knowledge areas.
The Project Management Institute defines a framework for project management, which allows project
managers to consistently apply procedures to manage a project. The structure includes project phases,
life cycles, process groups (containing core and facilitating processes), and knowledge areas.
This manual is the compilation of information required to manage a project and contains the knowledge
of:
• Proven professional practices and procedures that are widely applied.

• Innovative and advanced practices that have limited use.
Defining Project Phase

Information technology projects offer a clear illustration of the concept of project phases. Several phases
are used to manage unique processes and deliverables. For example, the requirement phase defines the
basic requirements of what the system will do; while the subsequent design phase will determine how to
best fulfill these requirements. The requirements phase will generally produce requirements documents;
whereas the design specifications are the result of the design phase.
Definition: Project Phase

A collection of logically related project activities, usually culminating in the completion of a major
deliverable.
Topic 3: The Five Process

Groups
Section A: Introduction to the Five Process
Groups
This manual defines five project process groups for each phase of a project life cycle:
Initiating Process Group, Planning Process Group, Executing Process Group, Controlling Process Group,
and Closing Process Group.
Initiating Planning
(1 Process) (21 Processes)
(8 Processes) (7 Processes)
Closing
(2 Processes)
Each of the five project management process groups includes one or more processes that are performed.
These process groups are covered on the PMP Certification Exam. The process groups are:
• Initiating: Authorizing the project or phase.
• Planning: 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: Coordinating people and other resources to carry out the plan.
• Controlling: Ensuring that project objectives are met by monitoring and measuring progress regularly
to identify variances from the plan so that corrective action can be taken when necessary.
• Closing: Formalizing acceptance of the project or phase and bringing it to an orderly end.
Iterative Nature of a Process
There is no one correct path through the processes. Each of the planning core and facilitating processes
within the process groups are performed. As more information becomes available, and the planning
process incorporates quality, human resources, communications, risk, and procurement plans into the
overall project plan, some original assumptions and plans for scope, cost, and schedule may have to be
altered. Each time more detailed information becomes available, the process is repeated again and again.
It is an iterative process. The process of learning more about the project and the product of the project,
and responding to information in a way to better manage the project is called progressive elaboration.
Iterative Nature between Processes
Typically, after the planning processes, the project enters the executing process group. However, while in
the executing process group, the project manager is also controlling the project and feeding status back
to the planning processes, as required. Once the phase is completed, the closing process begins.
Interaction between Phases
Although the processes of project management are similar to the project life cycle, they are not the same.
The processes are, or may be, used in each phase of the project. All process groups occur with varying
levels of intensity during each project life cycle phase. Process groups occur in the Design Phase, and
then are used again in the Implementation Phase. Each phase of a project may have to be formally closed,
with a major review or report, before the subsequent phase is approved.
Design Phase Implementation Phase
Initiating Planning Initiating Planning

Process Process Process Process
Controlling Executing Controlling Executing

Processes Processe Processes Processe
Closing Closing
Processe Processe
It is important to note that each phase in the project life cycle may have unique stakeholders, and unique
communications requirements and methods. The project manager should try to consider the
communications needs across the life of the project, but communications needs and documents do
change across different phases.
Section B: Initiating Process Group

The Initiating Process Group consists of the processes that facilitate the formal authorization to start a
new project or a project phase. Initiating processes are often done external to the project’s scope of
control by the organization or by program or portfolio processes (Figure 6), which may blur the project
boundaries for the initial project inputs. For example, before beginning the Initiation Process Group
activities, the organization’s business needs or requirements are documented. The feasibility of the new
undertaking may be established through a process of evaluating alternatives to pick the best one. Clear
descriptions of the project objectives are developed, including the reasons why a specific project is the
best alternative solution to satisfy the requirements.
The documentation for this decision also contains a basic description of the project scope, the
deliverables, project duration, and a forecast of the resources for the organization’s investment analysis.
The framework of the project can be clarified by documenting the project selection processes. The
relationship of the project to the organization’s strategic plan identifies the management responsibilities
within the organization. In multi-phase projects, initiating processes are carried out during subsequent
phases to validate the assumptions and decisions made during the original Develop Project Charter and
Develop Preliminary Project Scope Statement processes.
Project Boundaries
Monitoring &
Controlling Process Project End
Planning Deliverables Users
Processes
Project Project Initiating Closing

Initiator/ Inputs Processes Processes
Sponsor
Project Process
Executing
Records Assets
Processes
Figure 6. Project Boundaries
The initial scope description and the resources that the organization is willing to invest are further refined
during the initiation process. If not already assigned, the project manager will be selected. Initial
assumptions and constraints will also be documented. This information is captured in the Project Charter
and, when it is approved, the project becomes officially authorized. Although the project management
team may help write the Project Charter, approval and funding are handled external to the project
boundaries.
As part of the Initiating Process Group, many large or complex projects may be divided into phases.
Reviewing the initiating processes at the start of each phase helps to keep the project focused on the
business need that the project was undertaken to address. The entry criteria are verified, including the
availability of required resources. A decision is then made whether or not the project is ready to continue
or whether the project should be delayed or discontinued. During subsequent project phases, further
validation and development of the project scope for that phase is performed. Repeating the initiating
processes at each subsequent phase also enables the project to be halted if the business need no longer
exists or if the project is deemed unable to satisfy that business need.
Involving the customers and other stakeholders during initiation generally improves the probability of
shared ownership, deliverable acceptance, and customer and other stakeholder satisfaction. Such
acceptance is critical to project success. The Initiating Process Group (Figure 7) starts a project or project
phase, and the output defines the project’s purpose, identifies objectives, and authorizes the project
manager to start the project.
PLANNING PROCESS GROUP
Develop
Project
Charter
3.2.1.1
(4.1)
EXECUTING PROCESS GROUP
Develop
Preliminary
Project
Scope
Statement
3.2.1.2
MONITORING & CONTROLLING
PROCESS GROUP
Figure 7 - Initiating Process Group
The Initiating Process Group includes the following project management processes:
1. Develop Project Charter
This process is primarily concerned with authorizing the project or, in a multiphase project, a
project phase. It is the process necessary for documenting the business needs and the new
product, service, or other result that is intended to satisfy those requirements. This chartering
links the project to the ongoing work of the organization and authorizes the project. Projects are
chartered and authorized external to the project by the organization, a program or portfolio
management body. In multi-phase projects, this process is used to validate or refine the decisions
made during the previous Develop Project Charter process.
Inputs Tools & Techniques

1. Contract 1. Project charter
2. Project statement of work
3. Enterprise environmental
factors
4. Organizational process
assets
Table 1 - Develop Project Charter: Inputs and Outputs
2. Develop Preliminary Project Scope Statement
This is the process necessary for producing a preliminary high-level definition of the project using
the Project Charter with other inputs to the initiating processes. This process addresses and
documents the project and deliverable requirements, product requirements, boundaries of the
project, methods of acceptance and high level scope control. In multi-phase projects, this process
validates or refines the project scope for each phase.
Inputs Tools & Techniques

1. Project charter 1. Preliminary project scope
2. Project statement of work statement
3. Enterprise environmental
factors
4. Organizational process
assets
Table 2 - Develop Preliminary Project Scope
Life Cycle and Process Group Interaction

Design Phase Implementation Phase
Initiating Planning Initiating Planning
Controlling Executing Controlling Executing
Closing Closing
Navigating Content by Process Group
The diagram shows only the specific core and the facilitating processes of the executing process group.
Although the left-hand column of the matrix illustrates the knowledge areas to which the processes
relate, the focus is on the vertical axis of the executing process group.
Process Group
Initiating Planning Executing Controlling Closing
Knowledge Area
4. Project Integration …. 4.2 Project Plan ….
Management Execution
5. Project Scope …. …. ….
Management
6. Project Time …. ….
Management
7. Project Cost …. ….
Management
8. Project Quality …. 4.2 Project Plan ….
5. Project Human Resource …. 9.3 Team ….
Management Development
5. Project Communications …. 10.2 Information ….
Management Distribution
5. Risk Project …. ….
Management
5. Project Procurement …. 12.3 Solicitation ….
Management 12.4 Source Selection
12.5 Contract
Administration
Figure 7 - Presentation of Process Group
The processes shown in the figure on the next page are the same processes of the executing process
group listed in the vertical axis of the executing process group column found in the matrix shown on the
previous page. In reviewing this diagram, it is important to note that the knowledge management areas to
which the processes relate are identified above each core and facilitating processes.
Additionally, it is important to note in this course that when a specific process is to be discussed, it will be
highlighted. In this example, the project plan execution is highlighted. At the top of the box, the word
integration appears. This signifies that the process of project plan execution is part of the project
integration management knowledge area.
Executive Core and Facilitating Process
Process Group
Initiating Planning Executing Controlling Closing
Knowledge Area
4. Project Integration …. 4.2 Project Plan ….
5. Project Scope …. …. ….
Management
6. Project Time …. ….
Management
7. Project Cost …. ….
Management
8. Project Quality …. 4.2 Project Plan ….
9. Project Human …. 9.3 Team ….
Resource Development
Management
10. Project …. 10.2 Information …. ….
Communications Distribution
Management
11. Risk Project …. ….
Management
12. Project Procurement …. 12.3 Solicitation …. ….
Management 12.4 Source Selection
12.5 Contract
Administration
Core versus Facilitating Processes
Core processes \
• Have clear dependencies.
• Performed in same order.
• Iterated several times during project.
Facilitating processes
• Dependent on nature of project.
• Performed intermittently and as needed.
• Not optional.
This manual defines different processes of project management as core processes, or facilitating
processes. The distinction between the two types of processes is important.
The major distinction between core and facilitating processes is that core processes have clear
dependencies, which dictate the order in which they are performed. They are performed in the same order
for each project.
For example, in considering project planning processes, it is clear that the project manager cannot
perform the process of activity sequencing before the process of activity definition. It is not possible to
sequence activities that are not defined. Activity definition always precedes activity sequencing.
It is critical to note that facilitating processes are not considered optional, and all facilitating processes
should be performed at one or more points during the project. However, facilitating processes do not have
clearly defined dependencies, and fluctuate based on the specific nature and needs of the project.
For example, the process of risk identification will happen at several points in a project as needed. It is not
clearly dependent on specific activities and, how and when this process is performed will fluctuate
significantly based on the nature of the project.
Section C: Another Insight on the Initiating

Process Group
This section, discusses the Project Charter, the foundational document for the project. It begins with the
business problem that needs to be solved, the value of solving the problem, and the non-technical
description of the solution. Additionally, project initiation notes roles, responsibilities, and authority of the
project manager, and may include any known schedule or budget constraints, or assumptions for the
project.
Initiating Processes
Initiating precedes the other process groups. It is important to note that initiating may occur for each
phase within the project life cycle.
Most process groups are linked by the results that they produce. The result or outcome of one process
group often becomes the input to another process group. The single process in the initiating process
group is shown below. Its outputs are used in subsequent process groups. Initiating only has one process,
initiation.
Why Projects Are Authorized
Projects are typically authorized as a result of some or more of the following:
• Market demand.
• Business need.
• A customer request.
• Technological advance.
• Legal requirement.
• Social need.
Market demand: For example, research may indicate to a company that the marketplace is interested in a
product that they have been contemplating developing, and thus it is a good point in time for the company
to initiate a project to complete development of the product and/or to communicate with the marketplace
that the project is being developed and gather input into the product’s features.
Business need: For example, a company’s need to implement a new software upgrade in order to better
manage their customer’s accounts, or to put in place new procedures to develop products.
Customer request: For example, a request from a customer to develop a new product, or for training on a
current product. The request may also be for customization of a product to the customer’s specifications.
Technological advance: For example, a new method the company has developed to capture data from
consumers’ use of a product that they want to showcase to others in the industry. The technological
advance may also be for a new software product that helps a company to better manage their business.
Legal requirement: For example, a requirement by a legal authority or government entity that needs to
be met before a product or service is released, or because of a problem with a product or service offered
by the company.
Social need: For example, a “stop smoking” product or a new prosthesis the company has developed that
they want to introduce and promote to the marketplace. Another example might be the need for a new
playground in a major city to give children a safe place to play.
Activities Prior to Initiation
In some organizations, projects are not initiated until the following occurs:
• A formal needs assessment.

• A feasibility study.
• A preliminary plan.
• Some other equivalent form of analysis that was itself separately initiated.
Many organizations have several activities that are performed before a project is authorized. These
activities are almost always performed to provide project sponsors with information regarding the validity
or success of authorizing the project.
Purposes of the Initiation Process
Initiation serves many purposes for an organization. These include formal sponsorship and commitment
from the sponsors, and clarification of the project’s objectives. The initiation process is used to:
• Commit the organization to a project or a phase.

• Set the overall solution direction.
• Define top-level project objectives.
• Secure the necessary approvals and resources.
• Assign a project manager.
Project Sponsor
The project sponsor is the person (or group) with formal authority who is ultimately responsible for the
success of the project. Their authority comes from their title and position within the organization. Project
sponsors can have a tremendous impact on the success of key projects; in reality, however, the project
sponsor will typically be uninvolved, under-involved, or over-involved.
The role of the project sponsor is to:
• Communicate the importance of the project to key upper managers.

• Identify deficiencies in project plan.
• Challenge team thinking.
• Provide resources.
• Review team progress.
• Get help from senior management.
Additionally, the project sponsor will write a project charter for each project.
Section D: The Initiation Process

Defining Initiation Process
The definition of initiation notes that initiation is the formal authorization of a new project, or the
progression of an existing project.
Definition: Initiation Process

Initiation is the process of formally authorizing a new project or that an existing project should
continue into its next phase.
Inputs, Tools and Techniques, and Outputs of Initiation

The primary output from the initiation process is the Project Charter. The tools used to make decisions
about the viability of a project are Project Selection Methods and Expert Judgment.
This activity will show the inputs that are needed during the initiation process, the tools and techniques
applied to the inputs, and the expected outputs.
Inputs
Product description
Strategic plan Tools and Techniques
Project selection criteria Project selection methods
Historical information Expert judgment
Outputs
Project charter
Project manager identified /
assigned
Constraints
Assumptions
Inputs
• Product line description—Documents the characteristics of the product of service and the
relationship between the product or service being created and the business need.
• Strategic plan—Products should be supportive of the strategic goals of the organization.
• Project selection criteria—Merits of the product of the project.
• Historical information—Data about both the results of previous project decisions and previous
project performance; if initiation is approval for next phase, information about previous phases is often
critical.
Tools and Techniques
• Project selection methods - Measures value or attractiveness to the project owner; establishes
decision criterion and a means to calculate value under uncertainty.
• Expert judgment - Opinions of identified experts regarding the value of the project.
Outputs
• Project charter - Formally authorizes the projects.

• Project manager identified/assigned - A project manager is identified and assigned to the project.
The designation of the project manager is related to the amount of his/her experience and how that
experience relates to the projected difficulty and breadth of the project.
• Constraints/Assumptions - Starting constraints and assumptions for the project are documented.
Defining the Project Charter

The project charter is a document issued by senior management. It demonstrates a commitment to the
project and authorizes the project manager resources from the organization to execute the project work.
Definition: Project Charter

A document issued by senior management that formally authorizes the existence of a project.
And it provides the project manager with the authority to apply organizational resources to
project activities.
Project Charter Content
At a minimum, the project charter should include the following:
• A clear description of the business problem that needs to be solved, and the value of solving the
problem.
• A non-technical description of the solution.
Although not technically part of the charter the charter may also specify:
• The name of the project manager.

• The limits to the authority of the project manager, including any special authority needed to manage
the project.
• The responsibilities of the project manager.
• Known constraints, typically schedule or budget.
• Assumptions.
Note that although the charter authorizes the project manager the authority to apply resources to the
project (formal acknowledgement of a project), it does not necessarily define the output of assigning a
project manager as part of the project charter.
While these components of the project charter may, at first glance, seem trivial, it is often difficult in
practice to gather and document this information. However, the effort needed to draft and revise the
charter document is typically invaluable in identifying the real problem and a workable solution.
“Solution” can be a difficult term to define early in the project life cycle. Substituting the phrase “solution
framework” or “solution template” can make the document more flexible.
The level of detail in a project charter varies greatly according to the practices of the performing
organization. If the performing organization has clearly defined roles and responsibilities for project
management, these sections may need to be quite extensive to specify exactly what the project manager’s
job will entail.
Some organizations may have formal documents and practices for communicating the project charter,
while in other organizations an email from the sponsor is sufficient. If the project charter is well written,
much of the information can be used to develop the project scope statement.
The Assignment of the Project Manager
The assignment of the project manager is one of the most critical decisions made by the organization due
to the challenge of finding someone with the ability to acquire, manage, and motivate needed technical
resources. Project managers should be matched to projects based on the skills required to manage the
project successfully. The choice of a project manager for a project corresponds with the project
manager’s background and experience, and how these two factors relate to the type of project to be
managed.
Project managers should be matched to projects based on the skills required to manage the project
successfully. For projects to be successful, the organization should carefully consider the assignment of
the project manager, a critical success factor.
Constraints and Assumptions
At the beginning of a project or phase, there are often pieces of information about the project which are
not complete. The project manager should clarify any known project constraints and document them. To
progress, the project manager may have to create and document some assumptions until more
information becomes available.
Definition: Constraint
Applicable restriction that will affect the performance of the project. Any factor that affects when
an activity can be scheduled.
Definition: Assumption
Assumptions are factors that, for planning purposes, are considered to be true, real, or certain.
Assumptions affect all aspects of project planning, and are part of the progressive elaboration of
the project. Project teams frequently identify, document, and validate assumptions as part of
their planning process. Assumptions generally involve a degree of risk.
Section E: The Planning Process Group

This concept explores the planning process group of project management. It first explores core planning
processes, then explores selected facilitating processes.
Section Objectives
• State the purpose of the planning processes.
• Distinguish between core and facilitating planning processes.
• Define the purpose of the project plan.
• State the role of the scope statement, identifying each component.
• State the purpose of scope definition and the role of the WBS in managing the project.
• Distinguish between different levels in a WBS, identifying work packages.
• Differentiate graphical and outline WBS formats.
• State the purpose of activity definition.
• Define the purpose of resource planning.
• Explain how resource requests and resource tables are used to fulfill resource requirements.
• State the purpose of activity duration estimating.
• Differentiate between the different estimating techniques.
• Distinguish effort time and duration.
• Estimate duration for project activities.
• State the purpose of activity sequencing.
• Determine dependencies for project activities.
• Distinguish between PDM, ADM, and Conditional Diagramming techniques
• Define lead and lag.
• State potential uses, and limitations of the Gantt Chart.
• Describe how resource-leveling heuristics impact the project schedule.
• State the reasons schedules need compressing.
• Distinguish between the different types of duration compression techniques.
• Define cost estimates.
• Distinguish between the unique cost estimation techniques.
• Define cost budgeting.
Planning Process Group

The Planning Process Group processes occur after a project is initiated. The processes of the planning
process group are performed to create a project plan, which outlines the details of the project work that
will be performed during the executing process.
Initiating Planning
Closing
Purpose of the Planning Process Group
To develop a project plan that:
• Facilitates the accomplishment of useful work.

• Ensures project-wide integration.
• Monitors change effectively.
• Provides decision support information to stakeholders.
• Can be updated by iterative planning activities.
Once a project has been initiated, the project manager then plans the project. There are many processes
in the planning process group, but the terminal goal is to complete a valid project plan. A project plan is a
dynamic tool. It reflects any and all changes that take place during the execution of the project. The
project plan identifies clear responsibilities and can be used to guide both project execution and project
control.
The complete project plan will identify:
• What has to be done.

• Why it must be done.
• Who will do the work.
• When it will be done.
• What resources will be required.
• What criteria must be met in order for the project to be complete and successful.
Core Planning Process

Scope Time Time Time
Scope Activity Activity Schedule
Planning Definition Sequencing Development
Time
Cost
Scope Cost Activity Duration
Cost Budgeting
Scope Resource Estimating
Definition Planning
Integration
Cost
Cost Project Plan
Estimating Development
Risk
Risk Management
Planning
Shown are the core processes of the planning process group. It begins with planning the project scope
and performs other processes to develop a completed project plan. It is important to note that all the core
processes and facilitating process (shown on the next page) are integrated into the project plan as part of
the planning process of Project Plan Development (highlighted).
Facilitating Planning Processes
It is important to note that there are many Facilitating Planning Processes, and that they are performed as
needed during project planning. How the facilitating processes are performed varies depending on the
characteristics of the project. Facilitating processes are also integrated in the project plan.
Human Human Procurement Procurement

Quality Resources Resources
Organizational Procurement Solicitation

Quality Planning Planning Staff Acquisition Planning Planning
Communications Risk Risk Risk Risk
Communications Risk Qualitative Risk Quantitative Risk Risk response

Planning Identification Analysis Analysis Planning
Iterative Nature of Planning Processes
It is important to note that core processes have a generally recognized progression from process to
process. However, it is critical to realize that as more planning information is available from subsequent
processes, many processes will be iterated multiple times to reflect the most current data.
Core Processes
The core processes of any phase may be iterated several times during the phase of a project. Results of
the planning processes are put into a consistent, coherent document called the project plan.
Section F: The Executing Process Group

This section explores the executing process group, where project team members carry out the details of
the project plan.
It distinguishes between core and facilitating processes and discuss execution process skills in the
development of a project.
It identifies the role and responsibilities of the project manager in developing the team during execution,
and how the outputs of work results and change requests are used in managing the project, including the
constant attention to quality standards by applying quality assurance techniques.
Section Objectives
• Distinguish between the one core process and six facilitating processes of the executing process
group.
• Identify the inputs, tools and techniques, and outputs of project plan execution.
• Distinguish between the major stages of team development, and the project manager’s role in each.
• Define quality assurance, noting its key purpose.
• Determine key project variables to work on by using an importance- satisfaction matrix.
Introduction
The Executing Process Group follows the planning processes. The executing processes carry out the
project plan details, producing work results. Controlling processes interact to ensure project execution is
aligned with the project plan. In some cases, work results that are not in control require changes to the
project plan. The diagram on the following page shows the interaction between the process groups.
Process Group
Initiating Planning
Closing
Section G: Project Plan Execution

Integration
Project Plan Execution
Facilitating Processes
Human Resources
Quality
Team Development
Quality Assurance
Communications
Procurement Procurement Information Distribution
Solicitation Source Selection
Procurement
Contract Administration
This graphic shows the core and facilitating processes of the Executing Process Group. Comparing this
view, learners should see that the processes are the same, and reference the same knowledge areas. For
example, Project Plan Execution is part of the Executing Process Group and part of the Project Integration
Management knowledge area.
The titles on top of each box refer to the knowledge area and the title in the box is the title of the process
itself.
Core Executing Processes
The executing process has one core process, Project Plan Execution. During project plan execution, team
members perform their duties in carrying out the details of the project plan, and generate work results.
Change requests may result from variances in production, or the need to change scope to seize
opportunities.
The executing process has six facilitating processes. These processes are not optional, but they are
performed at various points in executing the project plan as needed. These facilitating processes vary
significantly in scope and dependencies in relation to the nature of the project.
Facilitating processes include:
• Quality Assurance.
• Team Development.
• Information Distribution.
• Solicitation.
• Source Selection.
Definition: Project Plan Execution

Project plan execution is the primary process for carrying out the project plan-the vast majority
of the project’s budget will be expended in performing this process.
Inputs, tools and Techniques, and Outputs of Project Plan

Execution
As project plan details are executed during the execution process, the role of the project manager is to
support the team, ensure the correct resources are available, communicate regarding the project status,
and adhere to the quality standards that were agreed upon by the stakeholders.
The main goal of the project plan execution process is to perform the work outlined in the project plan.
Outputs of project plan execution are work results and change requests. The project manager’s primary
responsibility is to promote the smooth execution of the project and collect data for monitoring progress.
Execution Process Outputs
Inputs
Project plan Tools and Techniques
Supporting detail General management skills
Organizational Product skills and knowledge
policies Work authorization system
Preventive action Status review meetings
Corrective action Project management information
system
Organizational procedures
Outputs
Work results
Change requests
Work Results
Work results are the outcomes of the activities performed to accomplish the project. They can come in the
form of status reports. The project manager reviews the progress, identifying any areas that signal a need
for change to one of the project parameters of time (schedule), cost, or quality. If changes are necessary, a
change request is used to formally communicate changes to stakeholders for review and approval.
Change Request
Although the project has been planned with great care and in great detail, the plans may change. In fact, a
project manager should plan for change to occur on a project. Changes occur in many ways; the change
may be from internal source, as a way of performing differently that planned, or the change may be an
external request from the customer, who wants to add another feature.
Analysis of project performance frequently generates requests for changes to some aspect of a project.
These changes requests are handled as described in the various change control processes.
It is helpful to develop a standardized form for change requests. Information that might be collected
include:
• Date of request
• Name of requestor
• Project name
• Description of change
• Reason for change
• Other areas which may be affected
• Urgency of change
• Resolution of request
• Change authorized by any date
These forms are kept as part of the project’s records, and the action plans result from these changes are
reported at subsequent status meetings. Resolution of issues or the incorporation of changes is handled
at various levels in the project and stakeholder community.
Change Request Options
When the problem cannot be contained within the original scope, quality, time, and cost parameters,
upper management and/or the customers must be consulted in order to modify the original agreement or
understanding. Early involvement by the stakeholders may offer more options to be explored. Do not make
assumptions about which parameters are more important to the stakeholders. Openly discuss all options
and arrive at a consensus to solve the problem.
Some change request options include:
• No impact on schedule and/or budget.

• Need more time-alter deliverable schedule.
• More resources are needed to accommodate change so as not to impact the schedule.
• More time and resources are required.
• Consider multiple release versions.
• Prioritize deliverables across release dates.
• Major change to the project.
• Scope of project must be redefined.
Change requests may ripple through scope change control, schedule change control, cost change control,
quality control, risk change control, and contract administration. Thus, it is important that the output form
the execution process is documented as a major input into the control processes of project management.
Section H: The Controlling Process Group

This manual introduces the controlling process group. Although the project has been planned with great
care and in great detail, often project changes are necessary. In fact, the project manager should plan for
change to occur on a project.
Section Objectives:
• Distinguish between the two core process and six facilitating processes of the controlling process
group.
• Discuss the purpose of project change management.
• Define integrated change control, identifying its inputs, tools, techniques, and outputs.
• Identify components of a change control system.
• Distinguish between the tools and techniques of configuration management and performance
measurement.
• Identify types of change requests and change request alternatives.
• Identify the components of a change control process.
• Distinguish between the outputs of the integrated change control process.
• Define quality control, identifying its inputs, tools, techniques, and outputs.
• Review how control charts are used to determine whether a process is within quality standards.
• Review a Pareto diagram to determine the source of significant quality problems.
Introduction
Changes for a project can occur in many ways. Changes may be from an internal source because
performance results differ from the project plan, or result from an external request from the customer
who wants to add another feature.
The controlling processes occur concurrently with the project executing processes. The purpose of
establishing and using control measures is to:
• Detect and report variances in the project plan.

• Take corrective action to remedy variances.
• Track project progress.
Controlling Process Group
Process Groups
Initiating Planning
Closing
Section I: The Closing Process Group

This section discusses the closing activities that the project manager performs when a project is
completed, including documenting the project and conducting a post-implementation audit. The
importance of closure activities, as well as why these activities are sometimes ignored, are also
discussed.
Section Objectives:
• State the purpose of the closing processes.

• Distinguish between contract closeout and administrative closure.
• Identify the inputs, tools, techniques, and outputs of contract closeout.
• State reasons to conduct a post-implementation audit, and reasons they are not performed.
• Identify key skill areas for a project manager to develop.
• Perform a Project Management Skill Assessment to determine individual strengths and weaknesses.
The Closing Process Group

Process Groups
Initiating Planning
Closing
The closing process group is the last of the five project management process groups. It occurs after
project execution, where all project work is completed.
Definition: Closing Process

Formalizing acceptance of the project or phase and bringing it to an orderly end.
The Purpose of Project Closure

The definition of the closing processes clearly defines the purpose of closure-to bring a project, or project
phase, to an orderly end. This requires a formal acceptance of project work, confirming that the project
work is complete and satisfactory.
Formal closing processes ensure that all contract issues are concluded, and all contract deliverables are
reviewed and accepted. Additionally, closing activities include internal documentation and archiving of
project records and lessons learned to benefit future projects in an organization.
To summarize, project managers perform formal closing processes to:
• Finalize all contract requirements.

• Formalize acceptance of project and contract closure.
• Document lessons learned.

• Archive project reports and data.
Core Closing Processes
Procurement Communications
Solicitation Administrative Closure
This graphic illustrates the relationship among the closing processes. The core processes generally have
known relationships and are performed in a consistent manner. Generally, contract closeout is done
before administrative closure.
Discussion Topic
Think about what usually happens at the end of the project life cycle
Often times, at the end of a project life cycle:
• Some team members leave as fast as they can, looking for the next project.
• Other team members are forced off the team because the budget is gone.
• The project manager is already thinking about the next project.
• People are not recognized nor thanked for hard work or sacrifices made.
Why is it important to ensure the project comes to an orderly close?
In contrast to what may typically happen at the end of a project, project managers should take the time to
ensure all contract requirements are concluded, capture all key learning from a project, and reward and
recognize team members for good performance.
Topic 4: Project Constraints

Section A: Introduction to Project
Constraints
Triple Constraint Model
Project management primarily focuses on meeting the needs and expectations of project stakeholders.
The needs, expectations, and requirements of the stakeholders (internal or external to a company) are
expressed in terms of:
• Scope and Quality: What the customer wants

• Time: When the customer wants it
• Cost: How much the customer is willing to pay
The project manager uses knowledge, skills, and tools and techniques to plan and manage all of the
project management influences to satisfy the needs and expectations of the stakeholders. This concept is
known by several terms, such as the from triangle or the triple constraint. It is shown on the following
page.
The Triple Constraint Model illustrates how the project constraints of time, cost, and scope and quality,
interact and change over the life of a project. The project manager’s primary responsibility is to integrate
all aspects of the project to manage this interaction. The project manager integrates knowledge, skills,
tools, and techniques to manage these constraints to keep them aligned with stakeholder needs and
expectations.
The primary influences on the project are the constraints of time, cost, and scope and quality. The triangle
created by the time, cost, and scope and quality expectations of the stakeholders is referred to as the
Triple Constraint Model.
Usually stakeholders will specify what, when, and how much as part of a package request. A change to
one side of the triangle cannot be made without affecting one of the other two sides. It is the project
manager’s role to manage all the variables by applying different tools and techniques, knowledge, and
skills.
For example, if the product is desired sooner, then it may cost more or some features may have to be
eliminated from the end-item deliverable. If scope or quality features are added, then it may cost more,
take longer, or both. If the customer changes a project’s funding, the time, scope, and quality values may
react.
The project manager must adhere to the constraints until they are formally, or contractually, changed by
the customer. The essence of project management is the management of human resources, material
assets, and other capital toward the successful completion of a project’s goal. Any change to any side of
the triangle will affect the other sides. Scope creep may look innocent, but must affect either time or cost,
or both, to some degree.
A project that started late, and therefore has less time to complete, will need to adjust either the cost or
scope/quality sides to be back in balance. If the balance is not restored, then the success of the project is
at risk.
Section B: Another Insight on Project

Constraints
Key project constraints are scope, cost, schedule, and quality. If one is affected, all could be affected to
varying degrees.
Triple Constraint Model

The triangle below is referred to as the triple constraint model. Usually the customer specifies what,
when, and how much as part of a project request. A change to one side of the triangle cannot be made
without affecting at least one of the other two sides.
The needs (expectations and requirements) of the customer (internal or external to a company) are what
the customer wants (scope and quality), when the customer wants it (time), and how much the customer is
willing to pay (cost).
The project manager uses knowledge, skills, tools, and techniques to plan and manage the project to
satisfy the customer’s requirements. This concept is shown below.
Time Cost
Needs and
Expectations of
Stakeholders
Scope and Quality
For example, if the product of the project is desired sooner, it may cost more or some features may need
to be eliminated from the end-item deliverable. If scope or quality features are added, the project may
cost more, take longer, or both. If the customer changes a project’s funding, the time, scope, and quality
values may react.
The project manager must adhere to the constraints until the customer formally or contractually changes
them. The essence of project management is the management of human resources, material assets, and
other capital, toward the successful completion of a project’s goal. Understanding the constraints that are
most flexible to the stakeholders can help the project manager achieve success.
Summary: Project Quality Management Overview

• Quality is the totality of characteristics of an entity that bear on its ability to satisfy stated or implied
needs. Achieving high quality is important in all businesses, services, and products.
• Project quality management includes all the activities of project management that determine the
quality policies, objectives, and responsibilities. It is intended to be in accordance with a set of industry
standards, such as ISO 9000 and 14000 series. Project quality management encompasses both
process quality management and product quality management.
• Project quality management is one of the nine project management knowledge areas. The processes
of the project quality management knowledge area occur in the planning, executing, and controlling
process groups. The quality processes are quality planning, quality assurance, and quality control.
• Projects are divided into several project phases, collectively known as a project life cycle. A generic
project life cycle shows that a project has an initial phase, one or more intermediate phases, and a
final phase. Planning quality into a project life cycle is a way to help prevent quality issues from being
realized as problems.
• Scope, cost, schedule, and quality are key project constraints. If one is affected, all could be affected
to varying degrees.

Manual 2-The Standard For Project Management

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Manual 2

The Standard for Project

Section C: Another Insight on the Initiating Process Group 27

Figure 1 - The Plan-Do-Check-Act Cycle

Figure 2: Project Management Process Groups Mapped to the plan-Do-Check-Act Cycle

Project Management Process Groups

Flow Chart Legend

The five Process Groups are:

Project Management Plan

Approved change requests

Organizational Process assets (updates)

Figure 4 - High Level Summary of Process Groups’ Interactions

Section B: Another Insight on the Project

• A process is a series of actions bringing about a result.

• Five process groups.

Project Management Process Groups (Figure 5)

• Initiating Process Group

Initiating: Authorizing the project or phase.

Iterative Nature of a Process

Iterative Nature between Processes

Interaction between Phases

• Proven professional practices and procedures that are widely applied.

• Core and facilitating processes.

Section A: Project Management Process

Initiating Process - Authorizing the project or phase.

Iterative Nature in a Process

Iterative Nature among Processes

Nine Project Management Knowledge Areas

• Project Integration Management (3 processes)

Integrating the Process Groups with the Knowledge Areas

Core vs. Facilitating Processes

Core Planning Processes

Scope Time Time Time

Facilitating Planning Processes

Human Human Procurement Procurement

Organizational Procurement Solicitation

Communications Risk Risk Risk Risk

Communications Risk Qualitative Risk Quantitative Risk Risk response

Section B: Overview of Managing a Project

• Temporary: Projects are marked by a definite beginning and end.

The key characteristics of a project

Projects are frequently divided into more manageable components or subprojects.

How Projects Differ from Operations

• Create own temporary charter,

• Catalyst for change. • Maintains status quo.

Project versus Operations

Defining Project Management

Definition: Project Management

A project manager’s job is to balance the three primary variables of a project:

How Does Project Management Differ from Other Types Of Management?

Provides an ongoing focus towards managing and maintaining the thy-to-day

• Identifying milestones and deliverables.

• Importance of the project.

• Designing a mechanical device.

Corporate Trends That Support Project Management

Some examples of corporate trends supporting project management include:

Corporate Benefits of Using Project Management

• Establish measures of success.

• Proven professional practices and procedures that are widely applied.

Defining Project Phase

Definition: Project Phase

Topic 3: The Five Process

• Initiating: Authorizing the project or phase.