5 Process Overview

A project management methodology provides the structure and discipline for managing projects. Using such a methodology increases your odds of project success. To more effectively manage small projects, a methodology specifically designed for small projects should be used. The small and simple project management (SPM) methodology, created by the author, provides the framework, processes, tools, and techniques to manage small projects, and it can be further tailored for simple projects.

In addition to a project management methodology, projects will also need a defined project life cycle methodology. Together, the project management methodology and project life cycle methodology provide the structure for bringing a project to completion.

Project Life Cycle

The PMBOK® Guide, sixth edition, defines project life cycle as “a series of phases that a project passes through from its start to its completion.”¹ The phases are generally sequential, and their names and numbers are determined by the management and control needs of the organization or organizations involved in the project, the nature of the project itself, and its area of application. The phases can be broken down by functional or partial objectives, intermediate results or deliverables, specific milestones within the overall scope of work, or financial availability. For example, a project life cycle to enhance an existing software application includes start-up and planning, definition, requirements analysis, design, build/construction, testing, implementation, and postimplementation.

The purpose of the project life cycle is to provide the basic framework for managing the project. Phases provide management control because each phase defines the work that should occur and results in a deliverable or deliverables that are passed on to the next phase. More specifically, a project life cycle defines the technical work required for each phase, when the deliverables are to be generated, who is involved, and how to control the work. It also provides review points for the project so that go/no go decisions can be made. The end of the phase is often marked by a milestone, which indicates that a significant event has occurred. The end of a phase is also a good time to review the work that occurred in the previous phase and determine if any adjustments in the approach are required. Finally, the end of a phase is also a good time to conduct a lessons learned session.

A generic project life cycle for small projects, shown in figure 5.1, includes

• Project proposal

• Requirements definition

• Design

• Development or build

• Testing

• Implementation

• Postimplementation review

These phases are usually short, and some may be combined or planned at the phase level. Refer to the planning chapters (chapters 7 and 8) for more details.

The PMBOK® Guide, sixth edition, provides a generic life cycle structure that can be used when communicating with those who are less familiar with the details of a project.² The author included a phase for preproject work, which occurs prior to starting the project.

• Preproject work

• Starting the project

• Organizing and preparing

• Carrying out the project work

• Completing the project

It is important for the project manager to understand the project life cycle because the project life cycle defines what the project will deliver. A generic project life cycle can be used for most small projects because most small projects are not industry specific and do not require a specific methodology. If a small project has a defined methodology, that methodology should be used. Specific details related to project life cycle or product deliverables are not discussed in this book because the content varies from project to project. The project management of the project life cycle or product deliverables remains constant. The focus of this book is on how to produce standard project management deliverables:

Deliverables

The PMBOK® Guide, sixth edition, defines a deliverable as “any unique and verifiable product, result, or capability to perform a service that must be produced to complete a process, phase, or project.”³ There are two types of deliverables: final and interim. Final deliverables are delivered to the customer, and interim deliverables are produced as part of the process of creating the final deliverable. For example, a project might require a procedure manual as the final deliverable. The individual sections or drafts of the procedure manual are the interim deliverables.

Project deliverables include both the output from the product or service of the project and project management deliverables, such as the project management plan and project documents. The PMBOK® Guide, sixth edition, distinguishes between the project management plan and project documents.⁴ The project management plan is a formal, approved document that defines how the project is executed, monitored, and controlled. It may be summary or detailed and may be composed of one or more subsidiary management plans and other planning documents. Project documents are used to assist the project manager in managing the project but are not part of the project management plan. (The project management plan will be discussed in chapter 7, step 11.)

Most small projects can be managed using deliverables. The project manager can plan and control project progress for deliverables at the task level, which is how most projects are normally managed. Tasks can be added for specificity only if the additional details improve the project manager’s ability to monitor and control the project activities. Otherwise, the use of only deliverables and interim deliverables allows the project manager to scale the process and tools to fit the project’s needs. Managing using deliverables is covered in more detail in chapters 7 and 8.

Project Management Process for Small Projects

Effective project management is based on a repeatable process for describing, organizing, and completing the work of the project. Small projects can be effectively managed; although they do not require as much formality as large projects, some form of project management discipline is suggested. What is needed is a process specifically designed for small projects. Applying a process designed for a large project to a small project could prove to be worse than not using a process.

SPM Process Overview

A process is a set of interrelated actions and activities that are performed to achieve a prespecified set of products, results, or services. Processes are composed of inputs, tools and techniques, and outputs. The SPM process is specifically designed for small projects and can be adjusted for simple projects and assignments. A good process is consistent and can be applied to all projects.

Process components as defined by the PMBOK® Guide, sixth edition, are:

• Input—“Any item, whether internal or external to the project, that is required by a process before that process proceeds. May be an output from a predecessor process.”⁵

• Tool—“Something tangible, such as a template or software program, used in performing an activity to produce a product or result.”⁶

• Technique—“A defined systematic procedure that is employed by a human resource to perform an activity to produce a product or result or deliver a service and may employ one or more tools.”⁷

• Output—“A product, result, or service generated by a process. May be an input to a successor process.”⁸

It is important to note that for a process to be effective for small projects, it must be both scalable and adaptable. It should be scalable so that the level of complexity of the project management process, the time spent in using the process, and the focus of the process all fit the needs of the project. It should be adaptable so that the tools chosen to support the project can be easily applied. The tools and techniques are flexible, but the process does not change.

Another aspect of the SPM process is that the emphasis is placed on deliverables, with a focus on templates and checklists. Process guides keep the process visible and easy to follow. You can find process guides in chapters 6–10.

Project Management Process Description

The SPM process defines the overall project management life cycle and the process groups by which to organize the project. It explains how to move among project management process groups within the project, how to determine specific assignments to do the work, and what action is taken to complete the work. Some methodologies refer to the process groupings as stages, chunks, or steps. We use the term process group to represent a specific collection of project management activities.

The PMBOK® Guide, sixth edition, process groups are:

• Initiating process group—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.

• Planning process group—Those processes required to establish the scope of the project, refine the objectives, and define the course of action required to attain the objectives that the project was undertaken to achieve.

• Executing process group—Those processes performed to complete the work defined in the project management plan to satisfy the project requirements.

• Monitoring and controlling process group—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.

• Closing process group—Those processes performed to formally complete the project, phase, or contract.⁹

The following is a summary of the SPM process. Each phase will be explained in detail in the following chapters. The four project management process groups are

1. Initiating process—Includes the activities conducted to start up the project. The initiating process defines and authorizes the project (see chapter 6).

2. Planning process—Includes the activities to define the project in detail and determines how the project objectives will be achieved (see chapters 7 and 8).

3. Controlling process—Includes the activities to carry out the project activities, measure and monitor progress, and take corrective action when necessary (see chapter 9).

4. Closing process—Includes the activities to bring the project to an end (see chapter 10).

The SPM process is consistent with the PMBOK® Guide, sixth edition, except that the process groups executing, monitoring, and controlling have been combined for simplicity. Figure 5.2 shows how this process works:

The PMBOK® Guide, sixth edition, is very important in the world of project management and has set the standard for good practices, so it is important to know how the SPM process groups differ from the PMBOK® Guide, sixth edition, process groups. Also, as you prepare to make the transition from smaller to larger projects, more processes will be required.

It is important to distinguish between the project life cycle and the project management process. The project life cycle is linear and defines the deliverables for each phase, whereas the project management process occurs for each phase, can recur multiple times within a phase, and is used to define the actions for completing the work. The project life cycle and the project management process, although separate and distinct, are integrated to allow the project manager to manage the entire project from start to finish.

PALM Principle

The SPM process previously discussed is designed for small projects; however, at times it will be too much process for your immediate project needs. The PALM principle (figure 5.3) is a component of the SPM process and is used for simple projects—projects that do not need much project management formality. Any of the SPM process documents can be used as needed to support PALM.

• Plan project activities. Always take time to think through what needs to be accomplished, who is involved, and the timeframe for completing the work.

• Analyze the situation and ask questions. Use project management tools as needed to make good decisions.

• Lead the project activities. Initiate communication with stakeholders. Make sure your project gets the attention it deserves.

• Monitor and control time and resources.

The PALM principle requires minimal documentation. The focus is on behavior. Your attitude about how to approach a simple project will determine how other people will support your efforts.

LEADERSHIP CONNECTION

The project manager is responsible for leading the project team. Based on the previous definition of small projects, small projects typically have small teams. One of the first things the project manager must do with the project team is to communicate the processes that will be used on the project. Processes must be established at the beginning of the project and be understood by the team.

The project manager should:

• Determine how much process is required for the project and which tools and techniques are appropriate.

• Make the project management process understandable and visible.

• Understand the project life cycle for the project and integrate the project life cycle and management processes as needed.

• Understand and respect project roles and responsibilities.

• Build relationships with project stakeholders.

• Establish and maintain trust.

KEYS FOR PROCESS SUCCESS

Keys for process success include the following:

• Remember that each project is unique and to tailor the methodology to fit the project.

• Make sure the right amount of process is used for each project. If too much or too little is used initially, be flexible enough to make the necessary adjustments.

• Keep process guides handy for quick reference.

• Integrate the project management process with the product development process to gain more efficiency.

• Lead the way for other project managers to begin using project management on small projects.