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3.3 Process Interactions

Within each process group, the individual processes are linked by their inputs and outputs. By focusing on these links, we can describe each process in terms of its:

   Inputs—documents or documentable items that will be acted upon.

   Tools and techniques—mechanisms applied to the inputs to create the outputs.

   Outputs—documents or documentable items that are a result of the process.

  The project management processes common to most projects in most application areas are listed here and described in detail in Chapters 4 through 12. The numbers in parentheses after the process names identify the chapter and section where it is described. The process interactions illustrated here are also typical of most projects in most application areas. Section 3.4 discusses customizing both process descriptions and interactions.

3.3.1 Initiating Processes
Figure 3-4 illustrates the single process in this process group.

   Initiation (5.1) —authorizing the project or phase is part of project scope management.

3.3.2 Planning Processes
Planning is of major importance to a project because the project involves doing something that has not been done before. As a result, there are relatively more processes in this section. However, the number of processes does not mean that project management is primarily planning—the amount of planning performed should be commensurate with the scope of the project and the usefulness of the information developed. Planning is an ongoing effort throughout the life of the project.
  The relationships among the project planning processes are shown in Figure 3-5 (this chart is an explosion of the ellipse labeled "Planning Processes" in Figure 3-1). These processes are subject to frequent iterations prior to completing the project plan. For example, if the initial completion date is unacceptable, project resources, cost, or even scope may need to be redefined. In addition, planning is not an exact science__two different teams could generate very different plans for the same project.
  Core processes. Some planning processes have clear dependencies that require them to be performed in essentially the same order on most projects. For example, activities must be defined before they can be scheduled or costed. These core planning processes may be iterated several times during any one phase of a project. They include:

   Scope Planning (5.2) —developing a written scope statement as the basis for future project decisions.

   Scope Definition (5.3) —subdividing the major project deliverables into smaller, more manageable components.

   Activity Definition (6.1) —identifying the specific activities that must be performed to produce the various project deliverables.

   Activity Sequencing (6.2) —identifying and documenting interactivity dependencies.

   Activity Duration Estimating (6.3) —estimating the number of work periods that will be needed to complete individual activities.

   Schedule Development (6.4) —analyzing activity sequences, activity durations, and resource requirements to create the project schedule.

   Risk Management Planning (11.1) —deciding how to approach and plan for risk management in a project.

   Resource Planning (7.1) —determining what resources (people, equipment, materials) and what quantities of each should be used to perform project activities.

   Cost Estimating (7.2) —developing an approximation (estimate) of the costs of the resources needed to complete project activities.

   Cost Budgeting (7.3) —allocating the overall cost estimate to individual work packages.

   Project Plan Development (4.1) —taking the results of other planning processes and putting them into a consistent, coherent document.

  Facilitating processes. Interactions among the other planning processes are more dependent on the nature of the project. For example, on some projects, there may be little or no identifiable risk until after most of the planning has been done and the team recognizes that the cost and schedule targets are extremely aggressive and thus involve considerable risk. Although these facilitating processes are performed intermittently and as needed during project planning, they are not optional. They include:

   Quality Planning (8.1) —identifying which quality standards are relevant to the project and determining how to satisfy them.

   Organizational Planning (9.1) —identifying, documenting, and assigning project roles, responsibilities, and reporting relationships.

   Staff Acquisition (9.2) —getting the human resources needed assigned to and working on the project.

   Communications Planning (10.1) —determining the information and communications needs of the stakeholders: who needs what information, when will they need it, and how will it be given to them.

   Risk Identification (11.2) —determining which risks are likely to affect the project and documenting the characteristics of each.

   Qualitative Risk Analysis (11.3) —performing a qualitative analysis of risks and conditions to prioritize their effects on project objectives.

   Quantitative Risk Analysis (11.4) —measuring the probability and impact of risk and estimating their implications for project objectives.

   Risk Response Planning (11.5) —developing procedures and techniques to enhance opportunities and to reduce threats to the project's objectives from risk.

   Procurement Planning (12.1) —determining what to procure, how much to procure, and when.

   Solicitation Planning (12.2) —documenting product requirements and identifying potential sources.

3.3.3 Executing Processes

The executing processes include core processes and facilitating processes. Figure 3-6 illustrates how the following core and facilitating processes interact:

   Project Plan Execution (4.2) —carrying out the project plan by performing the activities included therein.

   Quality Assurance (8.2) —evaluating overall project performance on a regular basis to provide confidence that the project will satisfy the relevant quality standards.

   Team Development (9.3) —developing individual and group skills/competencies to enhance project performance.

   Information Distribution (10.2) —making needed information available to project stakeholders in a timely manner.

   Solicitation (12.3) —obtaining quotations, bids, offers, or proposals as appropriate.

   Source Selection (12.4) —choosing from among potential sellers.

   Contract Administration (12.5) —managing the relationship with the seller.

3.3.4 Controlling Processes
Project performance must be monitored and measured regularly to identify variances from the plan. Variances are fed into the control processes in the various knowledge areas. To the extent that significant variances are observed (i.e., those that jeopardize the project objectives), adjustments to the plan are made by repeating the appropriate project planning processes. For example, a missed activity finish date may require adjustments to the current staffing plan, reliance on overtime, or tradeoffs between budget and schedule objectives. Controlling also includes taking preventive action in anticipation of possible problems.
  The controlling process group contains core processes and facilitating processes.
   Figure 3-7 illustrates how the following core processes and facilitating processes interact:

   Integrated Change Control (4.3) —coordinating changes across the entire project.

   Scope Verification (5.4) —formalizing acceptance of the project scope.

   Scope Change Control (5.5) —controlling changes to project scope.

   Schedule Control (6.5) —controlling changes to the project schedule.

   Cost Control (7.4) —controlling changes to the project budget.

   Quality Control (8.3) —monitoring specific project results to determine if they comply with relevant quality standards and identifying ways to eliminate causes of unsatisfactory performance.

   Performance Reporting (10.3) —collecting and disseminating performance information. This includes status reporting, progress measurement, and forecasting.

   Risk Monitoring and Control (11.6) —keeping track of identified risks, monitoring residual risks and identifying new risks, ensuring the execution of risk plans, and evaluating their effectiveness in reducing risk.

3.3.5 Closing Processes
   Figure 3-8 illustrates how the following processes interact:

   Contract Closeout (12.6) —completion and settlement of the contract, including resolution of any open items.

   Administrative Closure (10.4) — generating, gathering, and disseminating information to formalize phase or project completion, including evaluating the project and compiling lessons learned for use in planning future projects or phases.