1. business and industrial
2. business operations
3. management
4. project management

Ahoy Mate!
The PMBOK® Guide Distilled for the
SPI Professional
DC SPIN Chapter Meeting
October 2, 2002
Clark A. Sheakley, PMP
Projenics, Inc.
703-754-6694
sheakley@hotmail.com
Questions to be Answered…
• How can I use the PMBOK® Guide to improve my
software engineering processes?
• What is in the PMBOK® Guide that can support
the CMMI – SW/SE practices?
© 2002 Clark Sheakley
2
Contents
•
•
•
•
•
Background
Overview
Comparison to CMM / CMMI
Using the PMBOK® Guide
Close
© 2002 Clark Sheakley
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History: One document could not contain the entire
PM Body of Knowledge… hence the concept of a
“Guide”.
• Sponsored by the Project Management Institute
(www.pmi.org).
• 1983 and 1987 the PMBOK and Revised PMBOK
were published.
• 1996 renamed the PMBOK® Guide and became
an ANSI standard.
© 2002 Clark Sheakley
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About the PMBOK® Guide – 2000 Edition
•
•
•
•
ANSI Standard 99-001-2000
1,700 comments from the PM community
IEEE Standard
Underlying reference in ISO Technical Report:
ISO TR 16543 – Software Project Management
Guide According to 12207
• Available from www.pmi.org in hardbound,
softbound, and CD ($40)
© 2002 Clark Sheakley
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The PM System
“Generally
Application
Accepted”
Areas
General
Management
Tool Set
© 2002 Clark Sheakley
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PMBOK® Guide Misconceptions
• Not a Maturity Model
• It provides descriptive material with pointers
• A guide not a specification
• It is a standard
• Focuses on a single project
• There is no equivalency between the two standards. The PMBOK®
Guide provides further detail to the practices.
© 2002 Clark Sheakley
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Terminology
Project:
A temporary endeavor undertaken to create a unique product, service, or result.
• A definite beginning and end - not an ongoing operational process
• Never done before
• Progressive Elaboration: Because the product is unique, the characteristics of
the product must be progressively elaborated. Characteristics are broadly
defined at the beginning of a project and continuously refined throughout the
project.
Project Management:
The application of knowledge, skills, tools, and techniques to project activities to
meet the project requirements.
© 2002 Clark Sheakley
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Organization of PM Knowledge
Chapters 1 & 2: Definitions & Context
The Standard
Chapter 3: PM Process Groups
Chapters 4 – 12: The Project Management
Knowledge Areas
Project Integration
Management
Project Scope Management
Project Cost Management
Project Quality Management
Project Human Resource
Management
Project Communications
Management
Project Risk Management
Project Procurement
Management
Project Time Management
© 2002 Clark Sheakley
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Chapter 3
Project Processes Groups in a Phase
Process Groups
Initiating
Processes
Planning
Processes
Initiating processes: authorizing the
project or phase.
Planning processes: defining and
refining objectives and selecting the best
approach.
Controlling
Processes
Executing
Processes
Executing processes: Carrying out the
plan.
Controlling processes: Monitoring and
measuring progress and taking corrective
action to ensure project objectives are
met.
Closing
Processes
Closing processes: Formalizing
acceptance of the project or phase.
© 2002 Clark Sheakley
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Application of the PMBOK® Guide to the CMMI Process
Management Process Areas
OPD
Create Organizational Definition
Make Org Process Assets Available
Process Area
OPF
Practices
OPP
OID
© 2002 Clark Sheakley
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Knowledge Area Definitions
Chapter
Number
4.
Project Integration Management – the processes required to ensure that the
various elements of the project are properly coordinated.
5.
Project Scope Management – the processes required to ensure that the
project includes all the work required, and only the work required, to
complete the project successfully.
6.
Project Time Management – the processes required to ensure timely
completion of the project
7.
Project Cost Management – the processes required to ensure that the project
is completed within the approved budget.
8.
Project Quality Management – the processes required to ensure that the
project will satisfy the needs for which it was undertaken.
9.
Project Human Resources Management – the processes required to make
the most effective use of the people involved with the project
© 2002 Clark Sheakley
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Knowledge Area Definitions (cont.)
Chapter
Number
10. Project communications Management – the processes required to ensure
timely and appropriate generation, collection, dissemination, storage, and
ultimate disposition of project information.
11. Project Risk Management – the processes concerned with identifying,
analyzing, and responding to project risk.
12. Project Procurement Management – the processes required to acquire
goods and services from outside the performing organization.
© 2002 Clark Sheakley
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Mapping Processes to Process Groups and Knowledge Areas
Process Groups /
Knowledge Area
Initiating
4. Project Integration
Management
© 2002 Clark Sheakley
5. Project Scope
Management
Planning
4.1 Project Plan Development
5.1
Initiation
Executing
4.2 Project Plan
Execution
Controlling
Closing
4.3 Integrated Change
Control
5.2 Scope Planning
5.3 Scope Definition
5.4 Scope Verification
5.5 Scope Change
Control
6. Project Time
Management
6.1 Activity Definition
6.2 Activity Sequencing
6.3 Activity Duration Estimating
6.4 Schedule Development
6.5 Schedule Control
7. Project Cost
Management
7.1 Resource Planning
7.2 Cost Estimating
7.3 Cost Budgeting
7.4 Cost Control
8. Project Quality
Management
8.1 Quality Planning
8.2 Quality Assurance
9. Project Human
Resource Management
9.1 Organizational Planning
9.2 Staff Acquisition
9.3 Team Development
10. Project
Communications
Management
10.1 Communications Planning
10.2 Information
Distribution
11. Project Risk
Management
11.1 Risk Mgt Planning
11.2 Risk Identification
11.3 Qualitative Risk Analysis
11.4 Quantitative Risk Analysis
11.5 Risk Response Planning
12. Project
Procurement
Management
12.1 Procurement Planning
12.2 Solicitation Planning
8.3 Quality Control
10.3 Performance
Reporting
10.4
Administrative
Closeout
11.6 Risk Monitoring
and Control
12.3 Solicitation
12.4 Source Selection
12.5 Contract Admin
12.6 Contract
Closeout
Planning Processes
Executing Processes
Scope
Time
6.1 Activity
Definition
Core Processes
5.1 Initiation
Scope
5.3 Scope
Definition
Cost
7.1 Resource
Planning
Time
6.2 Activity
Sequencing
Time
6.4 Schedule
Development
Time
6.3 Activity
Duration Estimating
Cost
7.2 Cost
Estimating
Cost
7.3 Cost
Budgeting
Procure
12.3
Solicitation
Integration
4.1 Project Plan
Development
HR
9.1 Org
Planning
Comm.
10.1 Comm.
Planning
HR
9.2 Staff
Acquisition
Risk
11.2 Risk
ID
Risk
11.3 Qual.
Analysis
Controlling
Processes
© 2002 Clark Sheakley
Facilitating
Core
Comm.
Risk
11.4 Quant.
Analysis
Risk
11.5 Resp.
Planning
HR
9.3 Team
Devel.
Procure
12.4 Source
Selection
Comm.
10.2 Info.
Distrib.
Procure
12.5 Contract
Admin.
4.3 Int. Chg
Control
Scope
Scope
5.4 Scope
Verification
5.5 Scope
Chg Control
7.4 Cost
Control
Procure
12.2 Solicit.
Planning
Quality
8.2 Quality
Assurance
Integration
10.3 Perf.
Reporting
Cost
Procure
12.1 Procure
Planning
Quality
8.3 Quality
Control
Time
6.5 Schedule
Control
Risk
11.6 Risk Monitoring
& Control
Closing Process
Core
Facilitating Processes
Risk
11.1 Risk Mgt
Planning
Quality
8.1 Quality
Planning
Integration
4.2 Project Plan
Execution
Core
Scope
5.2 Scope
Planning
Facilitating
Initiating
Processes
Procurement
12.6 Contract
Closeout
Comm.
10.4 Admin.
Closeout
Project Scope Management
Scope
5.1 Initiation
Inputs
•Product description
•Strategic plan
•Project selection criteria
•Historical information
Authorizing the start of a project or for it to continue to the next phase.
Tool & Techniques
•Project selection
methods
•Expert judgment
Outputs
•Project charter
•Project manager
•Constraints
•Assumptions
Planning
• Project selection methods: Benefit measurement methods and Decision Models
• Project charter: Formally authorizes the project to proceed. Contains the business need and
product description.
© 2002 Clark Sheakley
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Project Scope Management
Scope
5.2 Scope Planning
Inputs
•Product description
•Project charter
•Constraints
•Assumptions
Progressive elaboration and documenting project work..
Tool & Techniques
•Product Analysis
•Benefit/cost analysis
•Alternatives identification
•Expert judgment
Outputs
•Scope statement
•Supporting detail
•Scope management plan
Planning
• Scope statement: Used for making future project decisions. Includes justification, product
summary, and objectives.
• Scope management plan: Describes how scope will be identified, classified, and managed, and
how scope changes will be integrated into the project.
© 2002 Clark Sheakley
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Project Scope Management
Scope
5.3 Scope Definition
Inputs
•Scope statement
•Constraints
•Assumptions
•Other planning outputs
•Historical information
Subdividing the major project deliverables into smaller components.
Define a baseline for performance measurement and control.
Tool & Techniques
•Work breakdown structure
templates
•Decomposition
Outputs
•Work breakdown
structure
•Scope statement updates
Planning
• Decomposition: Subdividing project deliverables, deciding if adequate cost and schedule detail
can be determined at that level, and identifying constituent components for performance
measurement (progress reporting), and verifying correctness of components.
• WBS: A deliverable-oriented grouping of project components that defines the total scope of the
project.
© 2002 Clark Sheakley
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Project Scope Management
Scope
Obtaining formal acceptance of project scope by
stakeholders.
5.4 Scope Verification
Inputs
•Work results
•Product documentation
•WBS
•Scope statement
•Project plan
Tool & Techniques
•Inspection
Outputs
•Formal acceptance
Controlling
• Inspection: Measuring, examining, and testing project deliverables against requirements.
• Formal acceptance: Documentation that the stakeholder has accepted the product to close the
project or move on to the next phase.
© 2002 Clark Sheakley
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Project Scope Management
Scope
5.5 Scope Change Control
Inputs
•WBS
•Performance reports
•Change requests
•Scope management plan
Influencing change, determining a change, and
managing the actual change.
Tool & Techniques
•Scope change control
•Performance measurement
•Additional planning
Outputs
•Scope changes
•Corrective action
•Lessons learned
•Adjusted baseline
Controlling
• Performance reports: Shows which deliverables have been completed and provides some
historical data to assess the impact of a change.
• Scope change control: Defines procedures for changing project scope. Should be integrated
with Integrated Change Control, e.g., schedule, risk, cost, and product scope.
• Performance measurement: Helps assess the magnitude of variance relative to the baseline
and if corrective actions are necessary.
© 2002 Clark Sheakley
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Project Integration Management
Integration
4.1 Project Plan Development
Inputs
•Other planning outputs
•Historical information
•Organizational policies
•Constraints
•Assumptions
Integrating and coordinating all project plans to
create a consistent, coherent document.
Tool & Techniques
•Project planning method
•Stakeholder skills
•PM info system
•Earned value mgt
Outputs
•Project plan
•Supporting detail
Planning
• Other planning outputs: All the outputs from the planning process in the Knowledge Areas.
• Project planning method: A structured approach for integrating all project plans into a
consistent, coherent document for project execution and project control.
• Earned Value Management: Integrates project scope, schedule, and resources to report project
performance .
© 2002 Clark Sheakley
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Project Integration Management
Integration
Carrying out the activities of defined in the
project plan.
4.2 Project Plan Execution
Inputs
•Project plan
•Supporting detail
•Organizational policies
•Preventive action
•Corrective action
Tool & Techniques
•General mgt skills
•Product skills
•Work authorization sys
•Status review meetings
•PM IS
•Organizational procedures
Outputs
•Work results
•Change requests
Executing
• Corrective action: Anything done to bring future project performance in line with the baseline.
Output from the various Control Processes..
• Work authorization system: A formal procedure that ensures work is done at the right time and
in the proper sequence. .
© 2002 Clark Sheakley
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Project Integration Management
Integration
Coordinating changes across the project.
4.3 Integrated Change Control
Inputs
•Project plan
•Performance reports
•Change requests
Tool & Techniques
•Change control syst
•Configuration management
•Performance measurement
•Additional planning
•PM IS
Outputs
•Project plan updates
•Corrective action
•Lessons learned
Controlling
• Project Plan: Provides the baseline in which are controlled.
• Change control system: Defines how project performance will be monitored and evaluated.
Includes the steps on how project documents are changed.
• Configuration Management: Identifies characteristics to track, control changes, record and
report changes, and audit the items and CM system to verify conformance to project
requirements.
© 2002 Clark Sheakley
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How can I use the PMBOK® Guide to
improve my software engineering processes?
Establish
Lifecycle
Models
Organizational
Process Definition:
Organizational Process Assets
are created
Establish
Standard
Processes
Establish
Tailoring
Guidelines
© 2002 Clark Sheakley
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How can I use the PMBOK® Guide to
improve my software engineering processes?
Process Improvement Opportunities are Identified
Establish
Assess
Org Process
Organization’s
Needs
Processes
Organizational
Process Focus
Identify
Organization’s
Process
Improvements
Process improvements are planned and deployed
Incorporate
Process-Related
Experiences
© 2002 Clark Sheakley
Deploy
Process
Assets
Implement
Process
Action Plans
Establish
Process
Action Plans
25
What is in the PMBOK® Guide that can
support the CMMI – SW/SE practices?
Project Planning
SG 1: Estimates of project planning parameters are established and
maintained
CMMI Specific Practice
PMBOK® Guide Processes
SP 1.1-1: Establish WBS to estimate scope
5.1 Initiation; 5.2 Scope Planning; 5.3 Scope Definition
SP 1.4-1: Estimate the project effort and cost
based on estimation rationale
6.1 Activity Definition; 6.3 Activity Duration Estimating; 7.1
Resource Planning; 7.2 Cost Estimating
© 2002 Clark Sheakley
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What is in the PMBOK® Guide that can
support the CMMI – SW/SE practices?
Project Planning
SG 2: A project plan is established
CMMI Specific Practice
PMBOK® Guide Processes
SP 2.1-1: Establish and maintain the budget &
schedule
11.1 Risk Management Planning; 7.3 Cost Budgeting; 6.4
Schedule Development
SP 2.2-1: Identify and analyze risks
11.1 Risk Management Planning; 11.2 Risk Identification; 11.3
Qualitative Risk Analysis; 11.4 Quantitative Risk Analysis; 11.5
Risk Response Planning
SP 2.3-1: Plan for the management of project data
None; 4.2 Project Plan Execution; 4.3 Integrated Change Control
SP 2.4-1: Plan for resources
7.1 Resource Planning
SP 2.5-1: Plan for knowledge and skills needed to
perform the project
7.1 Resource Planning; 9.1 Organizational Planning
SP 2.6-1: Plan the involvement of the stakeholders
10.1 Communications Planning
SP 2.7-1: Establish and maintain project plans
4.1 Project Plan Development
© 2002 Clark Sheakley
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What is in the PMBOK® Guide that can
support the CMMI – SW/SE practices?
Project Planning
SG 3: Commitments to the project plan are established and
maintained
CMMI Specific Practice
PMBOK® Guide Processes
SP 3.3-1: Obtain commitment from stakeholders
10.1 Communications Planning; 4.1 Project Plan
Development
© 2002 Clark Sheakley
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What is in the PMBOK® Guide that can
support the CMMI – SW/SE practices?
GC 2: Generic Practices
• GP 2.3: Provide adequate resources…
• GP 2.4: Assign responsibility and authority for performing the process…
• GP 2.6: Place designated work products of the process under appropriate
levels of configuration management
• GP 2.7: Identify and involve relevant stakeholders…
• GP 2.8: Monitor and control the process…
• GP 2.9: Objectively evaluate adherence of the process… to the
requirements… and address noncompliance.
• GP 2.10: Review the activities, status, and results of the process with
higher-level management…
© 2002 Clark Sheakley
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PMBOK® Guide and CMMI
Comparison Chart
Trait
PMBOK® Guide
CMMI - SE/SW
Extent
Single project level
Project & organizational levels
Structure
Body of Knowledge: Framework of
integrated processes
Maturity Model: Required, Expected,
Informative
Standard
Yes, Guide
Yes, Specification
Orientation
Project
Product & Project
Intent
Process definitions
Preventative Definitions
Discipline
All (const, pyramids, DoD, cars, etc.)
SW/SE
© 2002 Clark Sheakley
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Summary
• Provides a system of processes linked together by
inputs, techniques, and outputs.
• DOES NOT REPLACE THE CMMI. It is a matter
of buoyancy not equivalency.
• Is a Body of Knowledge and therefore requires
tailoring to the business needs of the organization
© 2002 Clark Sheakley
31
???
© 2002 Clark Sheakley
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