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CHAPTER 3
Project Management
Process Groups

OBJECTIVES:

After reading this chapter, you will be able to:

1. Describe the five project management (PM) process groups, the typical level of
activity for each, and the interactions among them
2. Understand how the PM process groups relate to the PM knowledge areas
3. Discuss how organizations develop information technology PM methodologies to
meet their needs
4. Review a case study of an organization applying the PM process groups to
manage an information technology project, and understand the contribution that
effective project initiation, project planning, project execution, project monitoring
and controlling, and project closing make to project success

Introduction

The 47-project management process described can be organized in two different ways:
by Process Group and by Knowledge Area.

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Process groups can be defined as:

“These five Process Groups (Initiating, Planning, Executing, Monitoring &

Controlling, Closing) have clear dependencies and are typically 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”

The explanation gives for categorizing processes into process groups is described as
follows:
“Process groups and their constituent processes are guides for applying
appropriate project management knowledge and skills during the project.”

The Guide makes it clear that the process groups are not meant to be
prescriptive activities that are executed one after the other. You do not perform
initiation, then planning etc. in sequence. You need to be continually reviewing each
process group as the project environment alters as it progresses. Projects in the real
world are a process of evolution where you review each aspect during its production
to ensure the deliverable meets the requirements.
The reason for describing things in terms of process groups at all is that these
groups offer a simplified and idealized way of looking at project management that
minimizes the potential for misinterpretation, and makes the whole process easier to
understand.
For example, looking at the planning process as something discrete that has
defined in- puts and outputs makes sense because even if it is being done at the same
time as one or more of the other processes it is always done in the same way. There
is no need to do different types of planning at different stages of the project because
planning is planning no matter when you do it and no matter what else is happening
at the same time.

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 To make this clear, consider the following example of a project to build a new
hospital.
 The project is to build a new hospital.
 The Project Sponsor is the area health authority.
 The project is divided into three phases:
• Clearing the site
• Constructing the buildings
• Commissioning the medical facilities.
 These phases are not divisions of the project based on time, but are stages
of the project that produce a major deliverable.
 They are usually sequential, but they sometimes overlap. For example:
• The phase ‘Constructing the buildings’ could begin before the whole
site was completely cleared.
 Similarly,
• Medical equipment could be moved into parts of the building before
construction was completely finished.

When you divide a project into phases like this, it is usual to manage each phase
as a project in its own right. For example, clearing the site would have its own initiation
and planning process and would probably be nearing closure before the second phase
Constructing the buildings’ began its execution phase.
It is quite conceivable that issues that came to light during the clearing phase
would impact on the construction phase. For example, the clearing phase might
uncover issues with the land that mean that the foundations needed to be modified.

New Hospital Project Life Cycle

1. Clear Site Initiate Plan Execute Close

2. Construction Initiate Plan Execute Close
3. Purchase of all Initiate Plan Execute Close
Medical Supplies
RE-plan Execute Close
Coronary

Later on in the project, the commissioning phase could be subjected to scope

changes and re-planning because of changes to healthcare policy, changes to health

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and safety regulations, new medical equipment becoming available, etc. For example,
imagine the project is at the point where the building work is nearing completion and
medical equipment is being transferred over from other hospitals and bought in from
suppliers. The health authority then receives a government grant for several million
dollars to spend on acute coronary care.
At this point, they could decide to re-scope the parts of the project that deal with
the coronary care unit. This would result in major re-planning of this area of the project
but without affecting other areas, which would be nearing closure.
In the real world, a project like this one would have initiation, planning, executing,
monitoring and controlling, and closure processes all happening at the same time.
Anyone looking at this project that did not have a good understanding of project
management processes would probably see it as disorganized and chaotic.

The process groups are derived from a business process model developed by Walter
A. Shewhart and popularized by W. Edward Deming. This iterative four-step
management method is used for the control and continuous improvement of processes
and products.

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 PDCA (Plan-Do- Check-Act)

Deming Cycle
(P-D-C-A)

PLAN - Understand the existing situation and then establish the objectives and
processes necessary to deliver results in accordance with the target or goals.

DO - Implement the plan. That is, execute the planned process.

CHECK - Study the actual results of the previous phase and compare them against the
expected targets or goals to discover any differences.
Look for deviation from the plan in implementation and also look for the appropriateness
and completeness of the plan to enable the execution.
Convert the collected data into a form that can be used in the next step.

ACT - Where there are significant differences between actual and planned results request
corrective actions.
Analyze the differences to determine their root causes.
Determine where to apply changes that will include improvement of the process or
product.

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 The Process groups can be thought of as a form of PDCA, since we are dealing
with business processes in which we have to plan, do, check, and act. There are some
differences in terminology:

The second major difference is due to the fact that projects are temporary; there
is a need to start them and finish them, hence the Initiation and Closing process
groups.
“Project management processes apply globally and across industry groups.
Good practice means there is general agreement that the application of project
management processes has been shown to enhance the chances of success
over a wide range of projects.”
“This does not mean that the knowledge, skills, and processes described
should always be applied uniformly on all projects. For any given project,
the project manager, in collaboration with the project team, is always
responsible for determining which processes are appropriate, and the
appropriate degree of rigor for each process.”

The following sections describe what needs to occur in each of the five process groups.

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Initiating Process Group

This process is defined:

“Those processes performed to define a new project or a new phase of an

existing project by obtaining authorization to start the project or phase.

Within the initiating processes, the initial scope is defined and initial financial
resources are committed.

Internal and external stakeholders who will interact and influence the overall
outcome of the project are identified.”

When the project charter is first circulated it can attract additional sponsorship from
other areas of the organization that feel as though they would benefit from getting on
board and increasing the scope of the project or it can sometimes be decided that the
business case is not strong enough for the project to proceed.

The main objective here is to clarify the business need and define the scope of the
project and show clearly that other options have been considered and that this project
is the right choice along with the reasons why this is so.

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 This process group is very straightforward in that it only has two processes:
develop project charter and identify stakeholders.

Develop Project Charter

This is the process of developing a document that formally authorizes a project
or a phase and documents initial requirements that satisfy the stakeholder’s needs and
expectations.

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 There are variety of inputs you will require for this process. They will be whatever you
need to:
● Identify the high-level requirements
● Define and agree the high-level project scope
● Identify the project or stage objectives
● Define the project success criteria
● Identify and define any obvious milestones
● Define the approximate budget
● Ensure that the project is aligned with the organization’s strategic goals

The Organizational Process Assets and Enterprise Environmental Factors as inputs to

this process and whilst this is intended to be an overview it is worth defining these here
because they are used in so many different processes.

Inputs

Organizational Process Assets

These are the processes or process-related assets that can be used to help this
project succeed. They can be grouped into processes and procedures for conducting
work, and a corporate knowledge base for storing and retrieving information. These
assets would typically include:
● Documents
● Templates

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 ● Policies
● Procedures
● Plans and guidelines
● Lessons learned, historical data and information
● Earned value
● Estimating
● Risk, etc.

Enterprise Environmental Factors

You can think of these as the way the organization ‘normally does things.’ For
example, you should consider personnel administration policies because your company
may have a limit on how many permanent staff can be assigned to a particular project or
policies regarding the use of contract staff. There may also be guidelines for hiring, firing,
and performance reviews.
In addition, you may already have project management information systems,
software tools, available skills and expertise, standardized cost estimating data, and risk
databases.
These factors need to be considered because if your organization already does
things in a certain way then there is usually no point in doing them differently just because
they are being done in the context of a project.

Other Possible Inputs

Depending on the nature of the project and the industry sector it will take place in
there are a variety of other possible inputs to this process. They are:
● Contract Heads of Agreement
● Project Statement of Work (SoW)
● Business Case

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 If the project is being done on the basis of a contract then obviously this will be a
major input. If the contract has not been formalized there will usually still be a ‘heads of
agreement’—that is, a non-binding document outlining the main issues relevant to the
potential agreement.
The Project Statement of Work, which is a narrative description of products or
services to be delivered by the project.

For external projects, the statement of work can be received from the customer
as part of a bid document—for example, request for proposal, request for
information, request for bid—or as part of a contract.
For internal projects, the project initiator or sponsor provides the statement of
work based on business needs, product, or service requirements.
You may have this information or you may not.

The business case is the document that is produced to illustrate the cost-benefit and
required investment the organization would need to undertake for the project to go ahead.
The motivation for producing a business case usually comes from one of the following:
● Legal requirement
● Market- or customer-driven demand
● Organizational need
● Technological change

Identify Stakeholders
Identify Stakeholders is the process of identifying all people or organizations
impacted by the project, and documenting relevant information regarding their interests,
involvement, and impact on project success.

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 A stakeholder is defined as:
“Stakeholders are persons or organizations who are actively involved in the
project, or whose interests may be positively or negatively affected by the
performance or completion of the project.”

The three types of stakeholders are:

• Internal to the project.
• External to the project, but internal to the performing of the organization.
• External to both the project and the performing of organization.

The initiating process group may be carried out more than once during a project,
particularly if the project is split into phases or stages as each may require its own
separate initiation process.
The advantage of this approach is that as each phase or stage is completed, the
action of carrying out the initiating process group will help ensure that the project
maintains its business focus and reasons, while ensuring that it remains viable.

When Does a Project Actually Start?

The initiation process is supposed to start the project but it appears to be part of
the very process it’s attempting to start. This is only a semantic problem. It could be
argued that the project starts at the moment it is imagined, when the business case is
approved, or at some other point; it really doesn’t matter.
In reality, what often happens is that people who are working in their own
department identify a possible solution to a business need and then go on to do some

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work to make it happen. At some point enough people will become involved that the thing
starts to be seen as a project. How this process happens or at what point the word ‘project’
is first used varies case by case.

•
•

The most important thing to remember about the initiation process is that it does
NOT involve starting work on creating any of the ‘products’ of the project. It is concerned
exclusively with clarifying the project’s objectives and what will be needed to achieve
them.

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 Planning Process Group
The planning process group provides guidelines for bringing together all of the
different types of planning needed to run the project. Planning processes are found in
every one of the ten knowledge areas.

These processes are defined as follows:

“The planning process group consists of those processes performed to establish

the total scope of the effort, define and refine the objectives, and develop the
course of action required to attain those objectives.”

The iterative nature of planning is essential because projects follow an uncharted

path where new information is continually becoming available as the project progresses.
Part of the skill of project management is knowing how much time and effort to put into
each stage of the planning exercise.
The problems created by too little planning are obvious: there will be insufficient
information to make valid estimates of time and cost, and the project team may become
disillusioned with the apparent lack of direction. On the other hand, if too much planning
is done then this can slow the project down and the project team may find that the plans

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are simply unrealistic because they are based on unfounded assumptions.
People new to project management are often uncomfortable with the evolutionary
approach to the planning process, which involves defining areas in more detail as and
when the necessary information becomes available. However, this is the only way to
proceed if there is any degree of complexity involved.
This process is known as ‘Rolling Wave Planning’ and allows you to plan the
project in a series of ‘waves,’ adding details as the project progresses. This means that
you will have greater definition and details on those work packages required in the near
future, and be able to elaborate on future ones as facts and details become more clearly
known.

This is referred to as ‘progressive elaboration,’ where work package requirements

be- come more refined and detailed over time, and is particularly useful in projects of high
uncertainty—for example, in software development or R&D projects, where the project
goal is known, but the final deliverable may change somewhat as the project progresses.
Attempting to create detailed task-oriented plans for project teams in these types
of environment is likely to lead to plans that are abandoned soon after being published,
and a great deal of time spent endlessly re-planning rather than actually managing the
project.
Unfortunately many IT projects undertake the bulk of their planning too early in the
life cycle, when little concrete data is known about the problem domain, business
environment, or how the team will work together. Rolling wave planning is rarely used in
the construction industry, where lack of detail in initial plans may cause huge expense
later.

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 Even though a complete set of plans cannot usually be developed ahead of the
formal start of the project, high-level plans do need to be produced to define the overall
size, cost, and duration. These are necessary in order to seek the formal approval
required for their initiation. This raises the question, ‘How can projects be quantified and
approved ahead of a detailed understanding of the resource and cost implications?’

This question has no simple answer. However, the planning process should call
upon both planning and domain experts in defining the overall size and cost of the project.
It should be recognized that best estimates often have to be used in the early stages of
planning, but that areas of uncertainty should not be ‘glossed over.’ In fact, these areas
should be highlighted, so that contingencies can be factored in and the planning of these
areas can be refined at a later date.
Some of the decisions that will need to be made include:
● How detailed to make the plan
● How far ahead to plan
● How to involve stakeholders in planning
● How to keep the planning process streamlined
● How to manage the data that is being fed back into the planning process
● How to determine the quality and reliability of this information

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 ● How often to re-plan
● How to administer changes to the plan
● How to minimize the effect of changes on work in progress

The Project Management Plan

The project management plan is the major output from this process. Developing it
is the process of documenting the actions necessary to define, prepare, integrate, and
coordinate all subsidiary plans. It represents the primary source of information for how
the project will be planned, executed, monitored and controlled, and closed.

The project management plan and other documents developed from the planning
process group cover all aspects of the project scope, time, costs, quality,
communications, risk, and procurements. Updates from approved changes during the
project may significantly impact parts of this document and will provide greater precision
with respect to schedule costs and resource requirements.

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 A working version will need to be released to the project team at some point so
that they know what they are supposed to be doing. This plan should pass the following
tests.
● Does it include all known major project tasks?
● Is it in sufficient detail to generate work packages?
● Are all activities in their chronological sequence?
● Are the task interdependencies clear?
● Is it easy to understand?
● Does it make clear to everyone involved what they are expected to do?
● Can everyone see what is being done in the next few weeks?
● Does it have broad acceptance amongst the stakeholders?
● Is it flexible and able to take account of changes?
● Are the milestones shown?
● Are the duration estimates achievable?
● Are urgent and high-priority tasks clearly highlighted?
● Can it be used to check day-to-day progress?
● Does it take account of the available resources?

The project charter along with the organizational process assets and enterprise
environmental factors are three of the four inputs to the project management plan. The
fourth is the actual outputs of the planning process itself.

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These outputs are specified as the key elements in the Planning Process Group:

Collect Requirement
This process is essential for clarifying and managing expectations as adjustments
are made throughout the project. Your project requirements document and
management plan, plus the requirements traceability matrix are outputs of this
process.
Define Scope
This process produces a detailed description of the project and its product that
ensures the confidence and trust of the stakeholders. Your project scope
statement and project document updates are the outputs of this process.
Create Work Breakdown Structure (WBS)
This is the process where you break down the project elements into manageable
work packages producing your WBS and associated dictionary. The WBS
Dictionary describes each component of the WBS with milestones, deliverables,
activities, scope, and sometimes dates, resources, costs, quality. If the WBS
element names are ambiguous, a WBS dictionary can help clarify the distinctions
between WBS elements. Other outputs includes the scope baseline that enables
stakeholders and the project manager to assess ongoing progress and the impact
of necessary adjustments.

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Define Activities, Sequence Activities, Estimate Activity Resources, Estimate Activity
Durations
These four processes create the list of activities and their attributes that are
required for the project. These activities are then scheduled into network diagrams
along with estimates of the resources needed and how long it will take to complete.
These outputs enable benchmark goals to be set so that teams with the right
resources can be created.
Develop Schedule
This process produces the schedule baseline and data needed to complete the
work. This is a complex process and often requires a great deal of coordination
with many project constituents.
Estimate Costs
This part of the planning process produces the cost estimates for each activity and
phase. The expertise of your project manager will have a significant impact on their
accuracy and attention to detail.
Determine Budget
This brings together all activity and work package cost estimates into a complete
project budget. This forms the documentation for the project funding that includes
contingency for potential issues that may arise and produces the cost performance
baseline. To ensure smooth authorization by stakeholders these details must be
presented logically and clearly.
Plan Quality
The quality management plan this process produces must define the quality
metrics and checklists that take into account potential risks, cost performance
baseline, and organizational and environmental factors.
Develop Human Resource Plan
Each phase of the project plan must have the correct resources and skills in the
staff assigned to it. These individuals will form teams to produce work packages or
for phases. The resulting management plan details the skills, roles, responsibilities,

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 and reporting relationships that sup- port the schedule of work and project
objectives.
Plan Communications
Communicating the correct level of information in a timely manner to all parties is
essential for your success. This management plan enables you to set and manage
stakeholder expectations through your regu- lar updates on progress and project
changes. It also helps to create good working relationships within the project team,
gaining their support and cooperation.
Plan Risk Management, Identify Risks, Perform Qualitative Risk analysis, Perform
Quantitative Risk Analysis, Plan Risk Responses
The importance of assessing and planning for potential risks is paramount if your
project is to be completed on time and to budget. Your resulting risk register
enables your communication with stakeholders to be informed and practical.
Plan Procurements
This management plan will define the approach your project adopts towards
procurement and identify potential suppliers you want to approach. There will be
detailed reports outlining procurement state- ments of work and decision-making
throughout the project life cycle.

Developing the skills and the knowledge necessary to be aware of overall project
goals, while at the same time effectively tending to the small, day-to-day details of a
complex project, is what makes an excellent project manager.
While much of a top project manager’s skill set will come about through years of
experience, ongoing education and strong professional networking can leverage
increased opportunity and success as well.

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 Executing Process Group
The third of the process groups is the executing process which defines as:

“It consists of those processes performed to complete the work defined in the
project management plan to satisfy the project specifications. This process
group involves coordinating people and resources, as well as integrating and
performing the activities of the project in accordance with the project
management plan.”

The overall goal of the Executing Process Group is to set the teams in place to get
the work done efficiently and effectively so that the project stays on target with regard to
scope and previously agreed goals. This process is where most of the work is carried out,
and where products and deliverables are built, assembled, constructed, and created. It is
also here that procurement and team development takes place.

This process group involves more than simply the production of project deliverables. It
is intimately entwined with the monitoring and controlling process group. As the work
detailed in the project plan is tackled, it becomes necessary to accept and document
changes to it. This means that the main outputs of this process group include change
requests and their implementation.

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The eight processes that make up this process group are:
Direct and Manage Project Execution
This process is concerned with performing and delivering the work as defined in
the project management plan so that its objectives can be attained. Project
managers will spend the majority of the project budget during the execution
process so scheduling and phasing de- tails must be as accurate as possible. This
includes the complete management of the change request procedure.
Perform Quality Assurance
A key aspect of any project is ensuring that the quality of products and deliverables
meets the criteria set. Performing regular quality assurance checks has several
purposes:
 Ensures any necessary amends can be incorporated in plan to maintain
quality.
 Assures stakeholders that the project is staying within its budget. and
timescales.
 Any quality issues highlighted can be incorporated into your organization’s
processes as required.
Acquire Project Team
This process is simply concerned with ensuring the composition of people and
skills matches the project’s needs. It also ensures the availability of the required
individuals by clearly communicating project expectations and timelines.
Develop Project Team
This process enables the project manager to ensure that the interactions and
competencies within the team match the required level of performance. It is also
the process responsible for building a cohesive team and conducting regular
team assessments.
Manage Project Team
This process involves managing and monitoring team members’ performance. The

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 project manager will give constructive feed- back to individuals or groups to ensure
that issues and conflicts are avoided. It also manages project changes to maintain
performance. This process provides a means for concerns to be fed back to the
project management team.
Distribute Information
A major contributor to a project’s success is how well pertinent information is
routinely communicated to the relevant parties. Selecting the best means of
communicating plays a key role in this process. Knowing what issues warrant a
call to a stakeholder (e.g. delay of a timeline) and those that don’t helps to create
a positive working environment.
Manage Stakeholder Expectations
Since your stakeholders are a significant party in any project, communicating
appropriately with them is an essential skill to acquire. Such communications
need to assure them that their needs are being met, their concerns are heard,
and that issues that occur are being properly addressed.
Conduct Procurements
All projects need to acquire certain resources from external suppliers and having
the necessary procurement processes in place ensures the correct distribution
of resources. Regular reports set suppliers’ expectations and provide a
structured process to voice and address their responses. This process is also
responsible for the timely awarding of and managing of any contracts required
for the project.

While many professionals new to larger and more complex projects may feel over-
whelmed by the many details and recurring processes, over time an understanding of
general process patterns emerges. Through professional mentoring and additional career
development in best-practice project management processes, project managers who
desire the opportunity to experience much larger projects can grow into those roles. With
increasing knowledge and skills come additional professional opportunities.

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Monitoring and Controlling Process Group

The fourth process group can be described as:

“Those processes required to track, review, and regulate the progress and
performance of the project; identify any areas in which changes to the plan are
required; and initiate the corresponding changes.”

This process group involves every knowledge area except for human resources
and is where the performance of the project is measured and action is taken based on an
analysis of this data. The results of the executing processes are compared against the
plan and where differences exist, corrective action is taken either to change the plan itself
or the way in which the plan is being executed.

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 The point of the exercise is to take account of what is being learned from the
execution of the plan and to re-plan on the basis of this new information, in order to
prevent future project work from becoming too detached from the plan.
Evaluation and comparison of actual measured results against those planned is the
fundamental principle of this process group. Where there is a variance corrective action
is required to keep the project on schedule and to budget. The inputs are the project
plan and progress reports that contain data collected from the project team. Where
progress deviates significantly, and this usually means outside of a predetermined
tolerance limit, it is important to identify the underlying causes and take corrective
action.
Reporting mechanisms are time-sensitive and you will need to be able to take
appropriate action as and when deviations occur. If the reporting mechanisms are slow
then you will not be able to control the project; you will just have an historical account
of how out of control it was.

The control framework will vary from project to project, reflecting the size and
complexity of the project and the extent to which the different levels of management
are involved in it. Short projects subject to a high degree of change and uncertainty
will require shorter reporting cycles than projects of a longer duration that are relatively
stable.

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Collecting Performance Data
The best control systems are often the simplest and making the data collection
processes complex only increases both the costs and possibility of error. The accuracy
and timeliness of the data collection procedures will also be influenced by a series of
practical issues and the overall attitude of project management staff.

A practical issue that needs to be addressed is how the executing activities will be
monitored and how progress will be reported. Project team members are usually expected
to maintain up-to-date timesheets and records of the activities they are involved with.
Their team leader then collates the data and passes it to the project manager.
The quality of this performance data is absolutely critical to the success of the
project. Many projects run into trouble because reported progress does not match what
is actually happening and the project manager acting on this information is unaware that
problems are quietly stacking up. Project team members tend to develop a positive or
negative attitude towards the value and importance of data collection quite early on in the
project depending on how it is acted on by management.
Ideally the data that is collected should be as objective as possible and measure
deliverables that have been completed or signed-off in some way. The worst approach is
to ask people how much progress they have made on a task in percentage terms. Many

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people are naturally optimistic and want to be seen as a productive team member, which
leads to persistent over-reporting of the progress they have made. This problem is made
worse when management respond in a negative way to reported overruns.
You do not want team members attempting to disguise how much (or how little)
progress they have made because if they do then the whole monitoring and control
process will be a waste of time. You must do everything possible to collect objective data
in a non-judgmental way.

Change Control
As well as monitoring activities against the plan this process group also includes
controlling changes and recommending preventive action in anticipation of potential
problems.

No matter how carefully planned a project has been, changes will need to be made
as it progresses. These will result from both external influences as well as problems that
arise within the project environment. The four main sources of change are:

Environmental
Resulting from changes in legislation, government policy, or business strategy.

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Organizational
High-level business decisions may change the basic terms of reference of the
project - for example, there may be a change to the overall scope of the project.
End-User
Resulting from changes in customer requirements. It is also possible that
feedback gained during the review or testing of a product may show that it is
unsuitable in some unexpected way.
Technical
New technology may offer a better solution to that originally planned.
Alternatively, technical problems may prevent a product from working in the way
that it was supposed to.

All of these potential changes need a process to control them and their effect on
the project. This process, called change control, should ensure that proposed changes
are interpreted in terms of their potential effect on project timescales, costs, benefits,
quality, and personnel.

Where there is a proposed alteration to the project’s products, change control

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should analyze the change and assess its impact, prioritize and plan the necessary
work, and finally control its implementation.
Any person associated with a project should be able to raise any concern they
have at any time. The concern may involve a perceived problem or a suggestion for an
improvement to some area of the work, documentation, or project organization. These
issues should be reviewed at regular meetings.

There are three possible outcomes when an issue is considered:

1. A change to the design or features of a product may be agreed. This will mean
changing the way the product is specified in the plans and updating any costs
and timescales accordingly. An impact analysis should also be performed.
2. This process looks at the knock-on effects of the change on other deliverables,
and also the effect if the changes are not implemented. The purpose of the impact
analysis is to arrive at a balanced view of the effect of the proposed change on
the project’s ability to satisfy its mandate. This will enable project management to
decide whether to proceed with the change or not.
3. The proposed change is rejected because it is not felt to represent a significant
concern.
4. The third option is unusual but it does occasionally happen that a deliverable does
not agree with its specification and changing the specification is a better solution
than changing the deliverable.

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 Where changing the deliverable is thought to be the best option, the project
manager should use the impact analysis to assess the change in terms of its effect on
timescales, cost, benefit, quality, personnel, and risk and to decide at what level the
decision to proceed should be taken. He or she should then determine whether or not
the proposed change is significant enough to be referred back to the sponsor.

The necessary tasks and their relevant number for this process group are:

Monitor and Control Project Work

This process is concerned with tracking the progress of the performance objectives
as they have been defined in the project management plan. Another aspect of this
process is the reviewing, regulating, and forecasting of these objectives.
The performance reports generated by this process feed into other processes to
monitor and control cost, resources, risk, scope, schedule, quality, benchmark
goals, and timelines. The project status report is a key method of keeping your
project stakeholders informed about project progress and performance. These
documents provide a trail and history that can be used to aid future projects.
Perform Integrated Change Control
Changes are inevitable in any project and it is this process that manages the
reviewing, approving, documenting and then execution of the proposed changes.
The larger the project the greater the number of change requests. These changes
are most likely to alter the project deliverables and plan. It is essential the project
manager documents and assesses each change against its impact on timescales
and budget.
Verify Scope
This process formally accepts project deliverables as being complete. To attain
this completed status all documentation relating to that phase or work package
must be included to be accepted as complete. This includes documenting any
follow-through that is required as the project progresses.

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Control Scope
Any changes to the scope baseline must be closely monitored and, once accepted,
reflected in the project scope and relevant work pack- ages. These adjustments
must be communicated to the project stakeholders so that implications for the
budget and timeframes can be understood and agreed to.
Control Schedule
The project schedule baseline is a critical document and it is essential that any
changes or adjustments that result from monitoring are properly incorporated and
communicated to all necessary parties. Careful and thorough monitoring will
reduce instances of major setbacks due to scheduling issues that have been poorly
reported.
Control Costs
Monitoring and controlling the costs of any project are critical aspects of its
success. It is essential that project status reports accurately re- port current
expenditure and forecasted spend, and highlight any variances from the cost
baseline.
Perform Quality Control
Managing and controlling the quality of what is produced during a project are vital
to its success. This process monitors the quality of the executed activities,
assesses how well it matches the required quality metrics and checklist, and
recommends any necessary changes.
Report Performance
This is the process that defines and monitors the production of performance status
reports, measurements, and forecasts. These reports form a key aspect of the
communication within the project team and stakeholders on how well progress
maps the project benchmark goals.
Monitor and Control Risks
This process plays a key role in project management and performance because it
documents identified risks, and monitors and evaluates any changes or responses

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 to this initial assessment. It is also identifies, evaluates, and reports new risks,
updating the risk register as appropriate.
Administer Procurements
All projects require the procurement of some resources so that their performance
matches project timelines and budget. This process manages, monitors, and
documents the performance of suppliers against the contracted requirements. It
also manages these working relationships to ensure that any changes that occur
during the contract period are properly incorporated and delivered.

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 The Closing Process Group

This is the final process group, which is defined as:

“Those processes performed to terminate formally all activities of a project or

project phase, and the transfer of the completed product to others or to close
a cancelled project.”

A carefully structured project closure phase should ensure that the project is brought to
a controlled end, which in practice means that:
 All of the project deliverables are formally transferred to others.
 All of the lessons learned from the project are documented and archived.
 Any contracts established by the project are formally closed.

Closing process is divided into two main areas:

Close Project or Phase

This is the process of finalizing all activities across all of the Project
Management Process Groups to formally complete the project or phase. When
closing the project, the project manager will review all prior information from the

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 previous phase closures to ensure that all project work is complete and that the
project has met its objectives.
Since project scope is measured against the project management plan, the
project manager will review that document to ensure completion before
considering the project closed. This process also establishes the procedures to
investigate and document the reasons for actions taken if a project is terminated
before completion.

Close Procurements
This is the process of formally closing any contracts set up by the project
and involves verification that all work and deliverables were acceptable. It also
involves administrative activities such as finalizing open claims, updating records
to reflect final results, and archiving such information for future use.

The Project Closure Meeting

A formal closure meeting can help to ensure that none of the important lessons
learned during the project are lost and that everything that could help future projects is
properly documented. The project manager should organize this meeting and define
which individuals from the project need to attend.
It is neither practical nor necessary for everyone to attend in person, but the
project manager needs to request input from everyone involved so that everything is
captured and properly documented. The mechanism open to anyone to contribute to
this meeting in writing could follow similar lines to that of project performance reports.

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Summary

 Successful projects use a methodology to ensure that the project is managed

properly and the objectives are achieved.

 The basic principles behind the Planning, Executing, and the Monitoring &
Controlling processes are encapsulated in the Deming cycle. This iterative four-
step management method is used for the control and continuous improvement
of processes and products.

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  Where a project is split into stages, the processes of these groups repeat in every
stage of the project. This means that each stage must be initiated, planned,
executed, and closed, as well as monitoring and controlling being present
throughout each stage. Once a stage is completed, the processes are repeated
for the next stage.

 The five Process Groups are defined as shown below:

Initiating Process Group

Defines and authorizes the project or a project phase.
Outputs: Project Charter, and preliminary Project Scope Statement.

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

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 phase to an orderly end.

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