3

PLANNING PROCESS GROUP

The Planning Process Group consists of those processes that establish the total scope of the effort, define and refine the objectives, and develop the course of action required to attain those objectives. The processes in the Planning Process Group develop the components of the project management plan and the project documents used to carry out the project. The nature of a project may require the use of repeated feedback loops for additional analysis. As more project information or characteristics are gathered and understood, additional planning will likely be required. Significant changes that occur throughout the project life cycle may initiate a need to revisit one or more of the planning processes and, possibly, one or both of the Initiating processes. This ongoing refinement of the project management plan is called progressive elaboration, indicating that planning and documentation are iterative or ongoing activities. The key benefit of this Process Group is to define the course of action to successfully complete the project or phase.

The project management team seeks input and encourages involvement from relevant stakeholders while planning the project and developing the project management plan and project documents. When the initial planning effort is completed, the approved version of the project management plan is considered a baseline. Throughout the project, the Monitoring and Controlling processes compare the project performance to the baselines.

The Planning Process Group (Figure 3-1) includes the project management processes identified in Sections 3.1 to 3.24.

3.1 DEVELOP PROJECT MANAGEMENT PLAN

Develop Project Management Plan is the process of defining, preparing, and coordinating all plan components and consolidating them into an integrated project management plan. The key benefit of this process is the production of a comprehensive document that defines the basis of all project work and how the work will be performed. This process is performed once or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-2.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.2 PLAN SCOPE MANAGEMENT

Plan Scope Management is the process of creating a scope management plan that documents how the project and product scope will be defined, validated, and controlled. The key benefit of this process is that it provides guidance and direction on how scope will be managed throughout the project. This process is performed once or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-3.

The needs of the project determine which components of the project management plan are necessary.

3.2.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Quality management plan,
• Project life cycle description, and
• Development approach.

3.3 COLLECT REQUIREMENTS

Collect Requirements is the process of determining, documenting, and managing stakeholder needs and requirements to meet objectives. The key benefit of this process is that it provides the basis for defining the product scope and project scope. This process is performed once or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-4.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.3.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Scope management plan,
• Requirements management plan, and
• Stakeholder engagement plan.

3.3.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Lessons learned register, and
• Stakeholder register.

3.4 DEFINE SCOPE

Define Scope is the process of developing a detailed description of the project and product. The key benefit of this process is that it describes the product, service, or result boundaries and acceptance criteria. This process is performed once or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-5.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.4.1 PROJECT MANAGEMENT PLAN COMPONENTS

An example of a project management plan component that may be an input for this process includes but is not limited to the scope management plan.

3.4.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Requirements documentation, and
• Risk register.

3.4.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Requirements documentation,
• Requirements traceability matrix, and
• Stakeholder register.

3.5 CREATE WBS

Create Work Breakdown Structure (WBS) is the process of subdividing project deliverables and project work into smaller, more manageable components. The key benefit of this process is that it provides a framework of what has to be delivered. This process is performed once or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-6.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.5.1 PROJECT MANAGEMENT PLAN COMPONENTS

An example of a project management plan component that may be an input for this process includes but is not limited to the scope management plan.

3.5.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Project scope statement, and
• Requirements documentation.

3.5.3 PROJECT DOCUMENTS UPDATES

Project document that may be updated as a result of this process include but is not limited to:

• Assumption log, and
• Requirements documentation.

3.6 PLAN SCHEDULE MANAGEMENT

Plan Schedule Management is the process of establishing the policies, procedures, and documentation for planning, developing, managing, executing, and controlling the project schedule. The key benefit of this process is that it provides guidance and direction on how the project schedule will be managed throughout the project. This process is performed once or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-7.

The needs of the project determine which components of the project management plan are necessary.

3.6.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Scope management plan, and
• Development approach.

3.7 DEFINE ACTIVITIES

Define Activities is the process of identifying and documenting the specific actions to be performed to produce the project deliverables. The key benefit of this process is that it decomposes work packages into schedule activities that provide a basis for estimating, scheduling, executing, monitoring, and controlling the project work. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 3-8.

The needs of the project determine which components of the project management plan are necessary.

3.7.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Schedule management plan, and
• Scope baseline.

3.7.2 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Schedule baseline, and
• Cost baseline.

3.8 SEQUENCE ACTIVITIES

Sequence Activities is the process of identifying and documenting relationships among the project activities. The key benefit of this process is that it defines the logical sequence of work to obtain the greatest efficiency given all project constraints. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 3-9.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.8.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Schedule management plan, and
• Scope baseline.

3.8.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Activity attributes,
• Activity list,
• Assumption log, and
• Milestone list.

3.8.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Activity attributes,
• Activity list,
• Assumption log, and
• Milestone list.

3.9 ESTIMATE ACTIVITY DURATIONS

Estimate Activity Durations is the process of estimating the number of work periods needed to complete individual activities with estimated resources. The key benefit of this process is that it provides the amount of time each activity will take to complete. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 3-10.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.9.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Schedule management plan, and
• Scope baseline.

3.9.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Activity attributes,
• Activity list,
• Assumption log,
• Lessons learned register,
• Milestone list,
• Project team assignments,
• Resource breakdown structure,
• Resource calendars,
• Resource requirements, and
• Risk register.

3.9.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Activity attributes,
• Assumption log,
• Lessons learned register.

3.10 DEVELOP SCHEDULE

Develop Schedule is the process of analyzing activity sequences, durations, resource requirements, and schedule constraints to create a schedule model for project execution and monitoring and controlling. The key benefit of this process is that it generates a schedule model with planned dates for completing project activities. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 3-11.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.10.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Schedule management plan, and
• Scope baseline.

3.10.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Activity attributes,
• Activity list,
• Assumption log,
• Basis of estimates,
• Duration estimates,
• Lessons learned register,
• Milestone list,
• Project schedule network diagram,
• Project team assignments,
• Resource calendars,
• Resource requirements, and
• Risk register.

3.10.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Schedule management plan, and
• Cost baseline.

3.10.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Activity attributes,
• Assumption log,
• Duration estimates,
• Lessons learned register,
• Resource requirements, and
• Risk register.

3.11 PLAN COST MANAGEMENT

Plan Cost Management is the process of defining how the project costs will be estimated, budgeted, managed, monitored, and controlled. The key benefit of this process is that it provides guidance and direction on how the project costs will be managed throughout the project. This process is performed once, or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-12.

The needs of the project determine which components of the project management plan are necessary.

3.11.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Schedule management plan, and
• Risk management plan.

3.12 ESTIMATE COSTS

Estimate Costs is the process of developing an approximation of the monetary resources needed to complete project work. The key benefit of this process is that it determines the monetary resources required for the project. This process is performed periodically throughout the project as needed. The inputs and outputs of this process are depicted in Figure 3-13.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.12.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Cost management plan,
• Quality management plan, and
• Scope baseline.

3.12.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Lessons learned register,
• Project schedule,
• Resource requirements, and
• Risk register.

3.12.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Lessons learned register, and
• Risk register.

3.13 DETERMINE BUDGET

Determine Budget is the process of aggregating the estimated costs of individual activities or work packages to establish an authorized cost baseline. The key benefit of this process is that it determines the cost baseline against which project performance can be monitored and controlled. This process is performed once or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-14.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.13.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Cost management plan,
• Resource management plan, and
• Scope baseline.

3.13.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Basis of estimates,
• Cost estimates,
• Project schedule, and
• Risk register.

3.13.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Cost estimates,
• Project schedule, and
• Risk register.

3.14 PLAN QUALITY MANAGEMENT

Plan Quality Management is the process of identifying quality requirements and/or standards for the project and its deliverables, and documenting how the project will demonstrate compliance with quality requirements and/or standards. The key benefit of this process is that it provides guidance and direction on how quality will be managed and verified throughout the project. This process is performed once or at predefined points in the project. The inputs and outputs of this process are shown in Figure 3-15.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.14.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Requirements management plan,
• Risk management plan,
• Stakeholder engagement plan, and
• Scope baseline.

3.14.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Requirements documentation,
• Requirements traceability matrix,
• Risk register, and
• Stakeholder register.

3.14.3 PROJECT MANAGEMENT PLAN UPDATES

Examples of project management plan components that may be updated as a result of this process include but are not limited to:

• Risk management plan, and
• Scope baseline.

3.14.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Lessons learned register,
• Requirements traceability matrix,
• Risk register, and
• Stakeholder register.

3.15 PLAN RESOURCE MANAGEMENT

Plan Resource Management is the process of defining how to estimate, acquire, manage, and utilize physical and team resources. The key benefit of this process is that it establishes the approach and level of management effort needed for managing project resources based on the type and complexity of the project. This process is performed once or at predefined points in the project. The inputs and outputs of this process are shown in Figure 3-16.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.15.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Quality management plan, and
• Scope baseline.

3.15.2 PROJECT DOCUMENTS

Examples of project documents that may be inputs for this process include but are not limited to:

• Project schedule,
• Requirements documentation,
• Risk register, and
• Stakeholder register.

3.15.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log, and
• Risk register.

3.16 ESTIMATE ACTIVITY RESOURCES

Estimate Activity Resources is the process of estimating team resources and the type and quantities of materials, equipment, and supplies necessary to perform project work. The key benefit of this process is that it identifies the type, quantity, and characteristics of resources required to complete the project. This process is performed periodically throughout the project as needed. The inputs and outputs of this process are depicted in Figure 3-17.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.16.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Resource management plan, and
• Scope baseline.

3.16.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Activity attributes,
• Activity list,
• Assumption log,
• Cost estimates,
• Resource calendars, and
• Risk register.

3.16.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Activity attributes,
• Assumption log,
• Lessons learned register.

3.17 PLAN COMMUNICATIONS MANAGEMENT

Plan Communications Management is the process of developing an appropriate approach and plan for project communication activities based on the information needs of each stakeholder or group, available organizational assets, and the needs of the project. The key benefit of this process is a documented approach to effectively and efficiently engage stakeholders by presenting relevant information in a timely manner. This process is performed periodically throughout the project as needed. The inputs and outputs of this process are depicted in Figure 3-18.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.17.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Resource management plan, and
• Stakeholder engagement plan.

3.17.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Requirements documentation, and
• Stakeholder register.

3.17.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to the stakeholder engagement plan.

3.17.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Project schedule, and
• Stakeholder register.

3.18 PLAN RISK MANAGEMENT

Plan Risk Management is the process of defining how to conduct risk management activities for a project. The key benefit of this process is that it ensures that the degree, type, and visibility of risk management are proportionate to both the risks and the importance of the project to the organization and other stakeholders. This process is performed once or at predefined points in the project. The inputs and output of this process are depicted in Figure 3-19.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.18.1 PROJECT MANAGEMENT PLAN COMPONENTS

In planning Project Risk Management, all available components of the project management plan should be taken into consideration in order to ensure risk management is consistent with the needs of the project.

3.18.2 PROJECT DOCUMENTS EXAMPLES

An example of a project document that may be an input for this process includes but is not limited to the stakeholder register.

3.19 IDENTIFY RISKS

Identify Risks is the process of identifying individual project risks as well as sources of overall project risk, and documenting their characteristics. The key benefit of this process is the documentation of the existing individual project risks and the sources of overall project risk. It also brings together information so the project team can to respond appropriately to the identified risks. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 3-20.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.19.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Requirements management plan,
• Schedule management plan,
• Cost management plan,
• Quality management plan,
• Resource management plan,
• Risk management plan,
• Scope baseline,
• Schedule baseline, and
• Cost baseline.

3.19.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Cost estimates,
• Duration estimates,
• Issue log,
• Lessons learned register,
• Requirements documentation,
• Resource requirements, and
• Stakeholder register.

3.19.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Issue log, and
• Lessons learned register.

3.20 PERFORM QUALITATIVE RISK ANALYSIS

Perform Qualitative Risk Analysis is the process of prioritizing individual project risks for further analysis or action by assessing their probability of occurrence and impact as well as other characteristics. The key benefit of this process is that it focuses efforts on high-priority risks. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 3-21.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.20.1 PROJECT MANAGEMENT PLAN COMPONENTS

An example of a project management plan component that may be an input for this process includes but is not limited to the risk management plan.

3.20.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Risk register, and
• Stakeholder register.

3.20.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Issue log,
• Risk register, and
• Risk report.

3.21 PERFORM QUANTITATIVE RISK ANALYSIS

Perform Quantitative Risk Analysis is the process of numerically analyzing the combined effect of identified individual project risks and other sources of uncertainty on overall project objectives. The key benefit of this process is that it quantifies overall project risk exposure and can also provide additional quantitative risk information to support risk response planning. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 3-22.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.21.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Risk management plan,
• Scope baseline,
• Schedule baseline, and
• Cost baseline.

3.21.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Basis of estimates,
• Cost estimates,
• Cost forecasts,
• Duration estimates,
• Milestone list,
• Resource requirements,
• Risk register,
• Risk report, and
• Schedule forecasts.

3.21.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to the risk report.

3.22 PLAN RISK RESPONSES

Plan Risk Responses is the process of developing options, selecting strategies, and agreeing on actions to address overall project risk exposure as well as to treat individual project risks. The key benefit of this process is that it identifies appropriate ways to address overall project risk and individual project risks. This process also allocates resources and inserts activities into project documents and the project management plan as needed. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 3-23.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.22.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Resource management plan,
• Risk management plan, and
• Cost baseline.

3.22.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Lessons learned register,
• Project schedule,
• Project team assignments,
• Resource calendars,
• Risk register,
• Risk report, and
• Stakeholder register.

3.22.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Schedule management plan,
• Cost management plan,
• Quality management plan,
• Resource management plan,
• Procurement management plan,
• Scope baseline,
• Schedule baseline, and
• Cost baseline.

3.22.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Cost forecasts,
• Lessons learned register,
• Project schedule,
• Project team assignments,
• Risk register, and
• Risk report.

3.23 PLAN PROCUREMENT MANAGEMENT

Plan Procurement Management is the process of documenting project procurement decisions, specifying the approach, and identifying potential sellers. The key benefit of this process is that it determines whether to acquire goods and services from outside the project and, if so, what to acquire as well as how and when to acquire it. Goods and services may be procured from other parts of the performing organization or from external sources. This process is performed once or at predefined points in the project. The inputs and outputs of this process are depicted in Figure 3-24.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.23.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Scope management plan,
• Quality management plan,
• Resource management plan, and
• Scope baseline.

3.23.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Milestone list,
• Project team assignments,
• Requirements documentation,
• Requirements traceability matrix,
• Resource requirements,
• Risk register, and
• Stakeholder register.

3.23.3 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Lessons learned register,
• Milestone list,
• Requirements documentation,
• Requirements traceability matrix,
• Risk register, and
• Stakeholder register.

3.24 PLAN STAKEHOLDER ENGAGEMENT

Plan Stakeholder Engagement is the process of developing approaches to involve project stakeholders based on their needs, expectations, interests, and potential impact on the project. The key benefit is that it provides an actionable plan to interact with stakeholders effectively. This process is performed periodically throughout the project as needed. The inputs and outputs of this process are depicted in Figure 3-25.

The needs of the project determine which components of the project management plan and which project documents are necessary.

3.24.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Resource management plan,
• Communications management plan, and
• Risk management plan.

3.24.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Change log,
• Issue log,
• Project schedule,
• Risk register, and
• Stakeholder register.