CHAPTER 3

PROCESSES

PROJECT MANAGEMENT PROCESSES, PROCESS GROUPS, AND THE INTERACTION OF PROCESSES

PMI has created a standard which documents the processes needed to manage a project. These processes are based on best practices that are practiced on most projects, most of the time. However, the PMBOK^® Guide states that not all the processes need be, or even should be, applied to all projects all of the time. The project managers and their teams need to consider each process and determine if it is appropriate to their specific situation. This procedure is called tailoring by PMI. PMI feels that the processes and interactions among processes described in the PMBOK^® Guide should serve as a standard for project management. Various methodologies and tools can be used to implement the framework for project management within an organization. Variances from the PMBOK^® Guide standard are documented as part of the organization’s project management methodology. The organization’s project management methodology can, in turn, be tailored to fit the specific needs of the project based on customer requirements.

EXAM TIP
A diagram of the mapping of project management processes to the process groups and knowledge areas is found in thePMBOK^® Guide Table 3-1.

Things to Know

1. Project management processes and process groups
2. Work performance data, work performance information, and work performance reports
3. Project management process interactions
4. The purpose of the role delineation study
5. Project management performance domains

Key Definitions

Input: a tangible item internal or external to the project that is required by a process for the process to produce its output.

Output: a deliverable, result, or service generated by the application of various tools or techniques within a process.

Phase: one of a collection of logically related project activities usually resulting in the completion of one or more major deliverables. A project phase is a component of a project life cycle.

EXAM TIP

Be very familiar with PMBOK® Guide Figures 3-1, 3-2, 3-3, 3-4, 3-5 and especially Table 3-1.

Process: a collection of related actions performed to achieve a predefined desired outcome. The PMBOK^® Guide defines a set of 47 project management processes, each with various inputs, tools, techniques, and outputs. Processes can have predecessor or successor processes, so outputs from one process can be inputs to other processes. Each process belongs to one and only one of the five process groups and one and only one of the ten knowledge areas.
Process group: a logical grouping of a number of the 47 project management processes. There are five process groups, and all are required to occur at least once for every project. The process groups are performed in the same sequence each time: initiating, planning, executing, more planning and executing as required, and ending with closing. The monitoring and controlling process group is performed throughout the life of the project. Process groups can be repeated for each phase of the project life cycle. Process groups are not phases. Process groups are independent of the application area or the life cycle utilized by the project.
Tailoring: the act of carefully selecting processes and related inputs and outputs contained within the PMBOK^® Guide to determine a subset of specific processes that will be included within a project’s overall management approach.
Technique: a defined systematic series of steps applied by one or more individuals using one or more tools to achieve a product or result or to deliver a service.
Tool: a tangible item such as a checklist or template used in performing an activity to produce a product or result.

PROJECT MANAGEMENT PROCESSES AND PROCESS GROUPS
The PMBOK^® Guide defines five process groups required for any project. They are:

• Initiating: defining and authorizing the project (or phase of the project)
• Planning: defining objectives, refining them, and planning the actions required to attain them
• Executing: integrating all resources to carry out the plan
• Monitoring and Controlling: measuring progress to identify variances and taking corrective action when necessary
• Closing: bringing the project or phase to an orderly end, including gaining formal acceptance of the result

The process groups are NOT project phases. In fact, it is not unusual to see all of the process groups represented within a single phase of a larger project.

In preparing for the PMP exam, take the time to read Chapter 3 of the PMBOK^® Guide very carefully, along with Annex A1. PMI has put a lot of thought into the descriptions of the process groups, the interactions of the processes within them, and the relationships of each process group to the other process groups.

Each process group contains a number of processes, as listed below, but PMI has also identified ten topic-related groupings for the processes called knowledge areas. The processes associated with a particular knowledge area all address a single topic. For example, the processes within the time knowledge area address defining and planning the project schedule. The PMBOK® Guide is organized around these knowledge areas; Chapters 4 through 13 define each of the processes within a knowledge area in detail, covering the knowledge areas of integration, scope, time, cost, human resources, quality, communications, risk, procurement, and stakeholder management. This study guide is organized the same way to facilitate the exam candidate’s study effectiveness.

EXAM TIP

Know how tailoring applies to planning within a unique project setting.

The process group lists below show the process group, the processes in that group, and, in parentheses, the knowledge area in which that process is described.

Initiating Process Group

1. Develop Project Charter (Integration)
2. Identify Stakeholders (Project Stakeholder Management)

Planning Process Group

1. Develop Project Management Plan (Integration)
2. Plan Scope Management (Scope)
3. Collect Requirements (Scope)
4. Define Scope (Scope)
5. Create WBS (Scope)
6. Plan Schedule Management (Time)
7. Define Activities (Time)
8. Sequence Activities (Time)
9. Estimate Activity Resources (Time)
10. Estimate Activity Durations (Time)
11. Develop Schedule (Time)
12. Plan Cost Management (Cost)
13. Estimate Costs (Cost)
14. Determine Budget (Cost)
15. Plan Quality Management (Quality)
16. Plan Human Resource Management (Human Resources)
17. Plan Communications Management (Communications)
18. Plan Risk Management (Risk)
19. Identify Risks (Risk)
20. Perform Qualitative Risk Analysis (Risk)
21. Perform Quantitative Risk Analysis (Risk)
22. Plan Risk Responses (Risk)
23. Plan Procurement Management (Procurement)
24. Plan Stakeholder Management (Stakeholder Management)

Executing Process Group

1. Direct and Manage Project Work (Integration)
2. Perform Quality Assurance (Quality)
3. Acquire Project Team (Human Resources)
4. Develop Project Team (Human Resources)
5. Manage Project Team (Human Resources)
6. Manage Communications (Communications)
7. Conduct Procurements (Procurement)
8. Manage Stakeholder Engagement (Stakeholder Management)

Monitoring and Controlling Process Group

1. Monitor and Control Project Work (Integration)
2. Perform Integrated Change Control (Integration)
3. Validate Scope (Scope)
4. Control Scope (Scope)
5. Control Schedule (Time)
6. Control Costs (Cost)
7. Control Quality (Quality)
8. Control Communications (Communications)
9. Control Risks (Risk)
10. Control Procurements (Procurement)
11. Control Stakeholder Engagement (Stakeholder Management)
    

Closing Process Group

1. Close Project or Phase (Integration)
2. Close Procurements (Procurement)

WORK PERFORMANCE DATA, WORK PERFORMANCE INFORMATION, AND WORK PERFORMANCE REPORTS

In the PMBOK^® Guide, a very specific distinction is made between work performance data, information, and reports.

• Data are raw observations and measurements that are identified as activities being performed
• Information is data that has been analyzed in context
• Reports are the physical or electronic representation of work performance information compiled in project documents

An easy way to remember these differences is that work performance data is typically an output of a process. Information is typically an input, while reports can be either an input or an output.
Work performance data is an output of the Direct and Manage Project Work process, while work performance reportsare an output of the Monitor and Control Project Work process.
PROJECT MANAGEMENT PROCESS INTERACTIONS
Each process has inputs, tools, techniques, and outputs as defined in the PMBOK^® Guide. You must take the time to learn the flow of the processes within each process group, the relations of processes across process groups, and how the outputs of one process become the inputs to other processes.

In order to help you understand how process groups flow and interact with one another, refer to Figure 3-1 on the following page.

Figure 3-1 Interaction of Process Groups (PMBOK^® Guide Figure 3-2)

ROLE DELINEATION STUDY

PMI conducts a role delineation study on a periodic basis to answer the question “what skills must project managers have to successfully lead and direct projects?” The results of the study provide the basis for the exam so that it mirrors the practices, methods, and systems of the project management profession. The study validates that the exam is measuring what project management professionals actually do on their jobs.

PERFORMANCE DOMAINS

Performance domains define the knowledge and skills needed by a project manager to complete the tasks in the project management processes competently. They are based on the role delineation study and described in the PMI PMP Exam Content Outline July—2011. There are five performance domains, which match the five process groups described in the PMBOK^®Guide. In addition, cross-cutting knowledge and skills have been defined for each domain, and these skills are highlighted inAppendix X-3 in the PMBOK^® Guide.

The domains are also used to specify the percentage of each type of question on the exam.

Performance Domains and Tasks

Figure 3-2 below lists all performance domains, tasks, and cross-cutting skills.

                                   Figure 3-2 Performance Domains and Tasks

Exercise 3-1

In the WAV files connected with this study guide, there are charts of the 47 processes with the inputs, tools, techniques, and outputs for each process. Print out each chart, in color if possible, and cut out and rearrange the processes for each one of the process groups.

HINT: See PMBOK^® Guide Figures 4-1, 5-1, 6-1, 7-1, 8-1, 9-1, 10-1, 11-1, 12-1, and 13-1.

The charts of each process will also make a very portable quick reference you can use as a study aid.

SAMPLE PMP EXAM QUESTIONS ON MANAGEMENT PROCESSES

1.Performing the initiating processes at the start of each phase helps focus the project on:

a)	Potential risks that should be identified
b)	Additional requirements for the project
c)	The business need for the project
d)	Procurement items that may be needed in the phase

2.What is likely to take place during the executing processes?

a)	Changing resource availability, updating activity durations, and rebaselining
b)	Controlling changes and recommending corrective or preventive actions
c)	Verifying that defined processes are complete and concluding project activities
d)	Refining the project objectives and defining the steps to take during the project

3.What defines the planning process group actions?

a)	Completes the work defined in the project management plan to satisfy the project specifications
b)	Defines a new project or new phase by obtaining authorization to start the project or phase
c)	Finalizes all activities across all process groups to formally close the project or phase
d)	Establishes the project scope, refines the objectives, and defines the course of action required to achieve the objectives

4.Which definition defines the executing process group?

a)	Completes the work defined in the project management plan to satisfy the project specifications
b)	Defines a new project or new phase by obtaining authorization to start the project or phase
c)	Finalizes all activities across all process groups to formally close the project or phase
d)	Establishes the project scope, refines the objectives, and defines the course of action required to achieve the objectives

5.You are a new project manager for a startup software company. As you began your career there, you notice that the project management methodology is very informal. One of the first things you should do is:

a)	Educate the organization on why a more formal methodology is needed
b)	Establish a PMO in the organization
c)	Nothing; if the process is working, an informal methodology could certainly be used
d)	Communicate to the project team that they need to follow your proven methodology

6.The project manager is always responsible for:

a)	Ensuring that the project is highly profitable
b)	Hiring and firing members of the project team
c)	Selecting projects that can be accommodated
d)	Determining what processes are appropriate

7.Aligning the stakeholders’ expectations with the project’s purpose, giving them visibility about the scope and objectives, and showing how their participation will help the project is a key purpose of which process group?

a)	Planning
b)	Initiating
c)	Executing
d)	Monitoring and controlling

8.Evaluating the impact of change, developing a root cause analysis, and performance tracking are skills used in the _______________ performance domain.

a)	Closing
b)	Monitoring and controlling
c)	Planning
d)	Executing

9.When a project is divided into phases, how do the process groups apply?

a)	It’s usually not necessary to go through the initiating process group again
b)	Planning of a prior phase will probably be sufficient for the next phase
c)	Monitoring and controlling will be simplified because of your experience in a prior phase
d)	All process groups may be repeated for each phase

10.A set of interrelated actions performed to create a product, service, or result and assure the effective flow of the project throughout its life cycle is:

a)	Product management process
b)	Project management process
c)	Project life cycle
d)	Project management plan

11.Which of the following statements is true regarding project management?

a)	It should focus on the life cycle of product-oriented processes
b)	Project requirements may be met without intentionally managing interrelated activities
c)	It is an integrative undertaking that requires alignment among processes
d)	Projects exist within a closed system in the organization

12.What is the key benefit obtained from project planning processes?

a)	Allows the project manager to manage stakeholders’ expectations and coordinate project resources
b)	Provides a way to track and review progress and manage changes aggressively
c)	Aligns stakeholders’ expectations with the project’s purpose
d)	Helps the team define the strategy, tactics, and course of action to complete a project

13.Performance domains together with their __________, _________, and _________ define the project management profession.

a)	Tasks, knowledge, skills
b)	Schedules, costs, scope
c)	Performance reports, control charts, skills
d)	Organization charts, domain impact, project plan

14.Significant changes occurring throughout the project life cycle can most likely trigger:

a)	A rewrite of the project charter and a need for new authorization
b)	The need to revisit one or more of the initiating or planning processes
c)	Assignment of a new project manager and team members
d)	Cancellation of the project and contracts

15.On your project, the quality assurance department has delivered the results of a recent system test. The results have been analyzed by several team members and compiled into an overall analysis of the project. The team then summarizes the analysis for presentation to the project sponsor. This summary is called:

a)	Work performance completed
b)	Work performance data
c)	Work performance information
d)	Work performance reports

ANSWERS AND REFERENCES FOR SAMPLE PMP EXAM QUESTIONS ON MANAGEMENT PROCESES
Section numbers refer to the PMBOK^® Guide.

1.  C	Section 3.3 – Initiating
	A), B), and D) are all planning processes.
2.  A	Section 3.5 – Executing
	B) take place in monitoring and controlling processes, C) take place in closing processes, and D) take place in planning processes.
3.  D	Section 3.4 – Planning
	A) defines the executing process group, B) defines the initiating process group, and C) defines the closing process group.
4.  A	Section 3.5 – Executing
	B) defines the initiating process group, C) defines the closing process group, and D) defines the planning process group.
5.  C	Section 3.0 – Initiating
	A project management methodology does not have to be formal or mature. The objective of any project is to satisfy the needs of the customer.
6.  D	Section 3.0 – Initiating
	A) projects don’t have to be profitable; B) project managers may not have the authority to hire and fire; C) project managers don’t always get to choose the projects they work on.
7.  B	Section 3.3 – Initiating
	Some of this information is captured in the stakeholder register.
8.  B	Section IV – Monitoring and Controlling
	These activities show up in several different knowledge areas.
9.  D	Section 3.1 – Initiating
	A) some sort of initiating process is preferred at the start of each phase; B) and C) prior phases are likely to be very different and potentially use different resources, so the planning and monitoring and controlling are not likely to be the same or easier.
10.  B	Section 3.0 – Initiating
	The goal of project management is to integrate both product and project processes.
11.  C	Section 3.0 – Initiating
	A) product management processes don’t reflect how projects are managed; B) may be true, but it will be accidental; D) projects don’t exist in a closed environment, they require input from the organization and beyond.
12.  D	Section 3.4 – Planning
	A) is a benefit of the executing processes, B) is a benefit of the monitoring and controlling processes, and C) is a benefit of the initiating processes.
13.  A	Section Overview – Initiating
	The performance domains give an overview of what skills project managers must have to be successful in managing projects.
14.  B	Section 3.4 – Monitoring and Controlling
	Although A), C), and D) may happen, the most likely action is that the project manager should revisit various planning processes to determine what may need to change, if anything.
15.  D	Section 3.8 – Executing
	Know the difference between data and information; data is typically an input to many processes, and information is an output.