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The Role of the Project Life Cycle (Life Span) in Project Management
A literature review by R. Max Wideman
(Updated February, 2004.)
Introduction
If that is true, then it would be valuable to examine just what role the so-called project life cycle plays in
the conduct of project management. And, moreover, has this changed over the years as we improve our
understanding of the complexities of project management.
So, what is the project life cycle? According to the same source
"The sequence of phases through which the project will evolve. It is absolutely
fundamental to the management of projects . . . It will significantly affect how the project
is structured. The basic life cycle follows a common generic sequence: Opportunity,
Design & Development, Production, Hand-over, and Post-Project Evaluation. The exact
wording varies between industries and organizations. There should be evaluation and
approval points between phases often termed 'gates'."2
How does that make it different from normal operational corporate endeavors? For that we must
understand the definition of project. According to Richard E. Westney: "A project can be defined as the
work required to take an opportunity and convert it into an asset."3 In this sense, both the opportunity
and asset are singular, with the implied use being for generating benefit – rather than consumed as a
resource in normal operational activity over a prolonged period.
The Patel and Morris definition refers to "gates" between phases. Another name for "gates" is
milestones, albeit "major milestones". Since scheduling also involves milestones, how is a project life
cycle different from a project schedule? Once again there are various definitions, but essentially a
project schedule is a display of "the planned dates for performing activities and the planned dates for
meeting milestones."4 The two are clearly very similar, but the essence of a project schedule is to
provide specific activity dates while the project life cycle is in the nature of a strategic plan displaying
sequence only.
And, while we are at it, what about that word "cycle"? It is true that cycle implies a period of time for a
series of events, but the essential feature of a cycle is that it is repeated. This is not the case with a
project, except in certain special cases such as linear projects like pipe laying, road building or high-rise
construction, where a sequence of activities may be repeated at the working level during the execution
phase. So the term appears to be inappropriate. Therefore, a better term would be "project life span".
Historical perspective
The concept of a "sequence of phases", or sequential periods of time for an undertaking is not a new one.
More than 2,500 years ago, the famous Chinese philosopher, Confucius, expressed this sentiment. "In all
things, success depends upon previous preparation – and without such preparation there is sure to be
failure." In modern parlance, this elementary observation translates into a simple two-step sequence:
"Plan before doing", or the more popular exhortation "Plan Your Work, Work Your Plan!" So, here we
have the genesis of the project life span.
One of the earliest references to a planned sequence that I can find is from the Institution of Civil
Engineers (ICE) Post War National Development Report published in 1944.5 In this report, the ICE
recognized the need for a systematic approach to planning public works projects by pointing out that:
"In order to carry out work efficiently, it is essential that a scheme of operations be first
decided by those directly responsible for the execution … With such planning the work
can be broken down into a series of operations and an orderly sequence or programme of
execution evolved … Without a Programme the execution can only be haphazard and
disorderly … The drawing up of a Programme at the beginning of the work does not
mean, of course, that it is drawn up once and for all and cannot be changed. The exact
reverse is the case …"
It is true that this might be interpreted as a reference to scheduling, known as programming in the UK.
However, the reference to "scheme of operations" also permits a strategic intent, especially as
scheduling, per se, did not come into its own until some years later.
One of the earliest comprehensive texts on project management is Archibald's book: Managing High-
Technology Programs and Projects (1976). In it, Archibald explains the project life span as follows:
The project life cycle has identifiable start and end points, which can be associated with a
time scale. A project passes through several distinct phases as it matures, as illustrated in
Figure 2.1. The life cycle includes all phases from point of inception to final termination
of the project. The interfaces between phases are rarely clearly separated, except in cases
where proposal acceptance of formal authorization to proceed separates the two phases."7
Figure 2.1 is actually a table, which lists five types of project and shows the typical activities for each in
each of six phases. The six phases are sequentially: 1 - Concept; 2 - Definition; 3 - Design; 4 -
Development; 5 - Application; and 6 - Post Completion.
The Project Management Institute ("PMI"), a US based not-for-profit organization dedicated to project
management was launched in Pennsylvania in 1969. Its first formal textbook was "The Implementation
of Project Management" edited by Dr. Linn Stuckenbruck (1981). In it, Stuckenbruck describes the
project life cycle as follows
"The Project Life Cycle
A project consists of sequential phases as shown in Figure 1-1. These phases are
extremely useful in planning a project since they provide a framework for budgeting,
manpower and resource allocation, and for scheduling project milestones and project
reviews. The method of division of a project into phases may differ somewhat from
industry to industry, and from product to product, but the phases shown in the Figure are
basic." 9
Stuckenbruck's Figure 1-1 is shown in Figure 2.
Stuckenbruck also tabulates what must be done in each phase by both top management and, as the
project matures, by the project manager as shown in Table 1
In this table we see clear signs of the evolutionary nature of a project and the purpose of establishing a
project life span model. Stuckenbruck then establishes a second purpose by observing
"This book is primarily concerned with the actions that take place during implementation
of a project, which is a combination of the concept or initiation phase and the growth or
organization phase. It is often useful to divide the project into phases as shown in Figure
1-2. This scheme of phases fits projects such as construction, and by plotting the phases
versus total effort, a very clear picture can be obtained as to where the money goes."
Stuckenbruck's Figure 1-2 is shown in Figure 3.
Given the different interpretations of "implementation" we may question Stuckenbruck's use of this
word. Is it the "execution phase", or is it the launching of the entire project? The contents of Table 1
suggest the latter. While on the subject of word meanings, program management and project
management were often considered back then to be one and the same, as Stuckenbruck states "For the
purposes of this book, the words project and program are considered to be synonymous."10
PMI followed this publication with a series of monographs or mini handbooks. One, by Cavendish and
Martin, described the relationship between contracting and the project life span, that is, the life span
from a general contractor's perspective. The authors point out that for the contractor, the project starts
with contract award and hence coincides with the implementation phase. This is an important point
because many diehard project people, i.e. those from the contracting fraternity, do not consider that there
is a "real" project to manage until it exists under a contract. Cavendish and Martin's project life span is
For the record, in a text that was little recognized at the time, this author attempted to distinguished
between the corporate business life cycle, the facility/product life cycle and the project life cycle.
Figure 5 shows the graphic that accompanied the descriptive text in PMI's first Project Management
Body of Knowledge publication (1987).12 This is perhaps the first formal recognition that projects
always exist in an encompassing "environment", be it the government, private or non-profit sectors.
However, Webster later picked up this idea in The Handbook of Project Management (1993) as shown
in Figure 6.13
Figure 5: Wideman's corporate business, facility/product and project life spans compared
During the '80s, the documenting of project management as a recognizable discipline proceeded apace
largely inspired by the influence of the US Institute and the Internet (now renamed International Project
Management Association or IPMA) in Europe. For example, Patzak, in Dimensions of Project
Management, an IPMA book published in honor of Roland W. Gutsch, the founder of IPMA upon his
65th birthday, discusses the systems approach to project planning (1990). He wrote
"The starting point for the analysis of the phenomenon PROJECT is to look at a process –
the process of transferring an initial state I [Input, or problem] into a desired final state O
[Output or problem solution]. In state O all more or less intended outcomes of the process
'project execution' are available having been produced during the whole process. These
outputs are concrete (products, organizations, etc.) or abstract (plans, knowledge,
experiences, emotional states, etc.) or both. They may be distinguished into
1. Outputs during the process (e.g. satisfaction of personnel, gain of experience)
2. Outputs at the end of the process (final products, state of knowledge)
So, it is obvious that the total process output is much more than the product that is the
object to be produced in the project under consideration. Management has to be
concerned with all dimensions of process output."
"The problem solving process – the project execution – shows a typical cycle of project
life, which is structured into the following pattern of phases:
1. Objectives Definition Phase (what is to be accomplished?)
2. Design Phase (what/how to do it)
Interestingly, Patzak goes on to observe that in every phase there is both a management function as well
as an execution function and describes the difference in some detail. These observations are important
because they introduce the idea of system processing and an acknowledgement of outputs other than
those stemming directly from the objective of the project, especially those associated with the people
working on the project.
The US influence during this period was reflected in such books as Kerzner's epic 980-page book
Project Management: A Systems Approach to Planning, Scheduling, and Controlling (1989) and
Cleland's book Project Management: Strategic Design and Implementation (1990). Kerzner discusses
systems theory and concepts at some length but along the way draws a clear distinction between the
project life span and the product life span. Figure 7 depicts his product life span resulting from research
and development.15 The distinction between project and product life spans is important because a
number of present-day writers either make no distinction or define the former in terms of the latter.
This confusion appears to extend to the Cleland book's chapter on The Project Management Process,
which discusses the various phases of the project life cycle in some depth. But the reader may be
forgiven for any misunderstanding arising from the apparent ambivalence displayed in the text. The
section on project life cycles quotes a number of sources, starting out with one that consists of twelve
phases beginning with 'Concept' and ending with 'Production/Maintenance'.16 The project/product life
cycle issue aside, this sequential list reads more like an outline for a Gantt (bar) chart schedule.
However, another "Generic project life cycle" quoted encompasses the phases "Conceptual; Definition;
Production; Operational; and Divestment". 17 True, the author notes that different industries use different
terminology, and a closer reading of the text makes it clear that the term "Divestment" does not mean
disposal of the product at the end of its useful life but rather the transfer of the product at the end of the
project's useful life! Still, there can be no doubt that Belanger is confusing product with project life
cycle as late as 1997 when he describes the life cycle phases of a construction project as "General
Concept; Definition; Detailed Planning; Development and Construction; Implementation and Operation;
Closeout or Retirement"18 (emphasis added.)
About his generic project life cycle, Cleland makes an important point
"Between the various phases are decision points, at which an explicit decision is made
concerning whether the next phase should be undertaken, its timing, etc."19
This idea is reinforced by Youker in a keynote paper presented at INTERNET 88. In the address he
stated in part:
"The development cycle for World Bank projects . . . defines six sequential steps:
identification, preparation, appraisal, negotiations, implementation and supervision and
expost evaluation. Other organizations use slightly different terms but most think of the
process as a cycle. In reality, even though one can learn from experience, one can never
return to the past. So the cycle is really a spiral, circling through the required steps but
always moving on to new projects. The cycle consists of a series of steps separated by
decision points. The process moves toward implementation and start-up of operations.
Evaluation is an ex-post look to seek if the objectives were accomplished and if they
were the right objectives."20
In passing, a number of people had difficulty in relating the "generic" project life span with a "practical"
life span such as construction. The author's Figure 8, (circa 1987) not only showed the connection but
also indicated the general proportionate time of each phase as a percentage of the construction time,
based on building project data collected in the 1970s.21
Figure 8: Wideman's construction bar chart related to the generic project life span
The question of responsibility was also an issue. Figure 9 shows the project delivery system developed
by Public Works Canada (1989). 22
This diagram emphasizes the deliverables expected from each phase, but the text accompanying the
diagram high lights both focused responsibility and an expectation that this responsibility will change
from one individual to another during the course of the project.
"During the first, third and fifth phases, a single key player has direct responsibility.
During the other phases, this responsibility shifts to the key player responsibility for the
next phase. The second, fourth and sixth phases do not usually exist independently but
form part of the adjoining phases. They are shown separately to emphasize the
overlapping responsibilities of the key players during transition from one phase to
another. A smooth transition between phases allows orderly project delivery."
In late 1991, Warren Allen consolidated the general view of the project life span in a paper titled "The
Universe of Project Management: A Comprehensive Project Management Classification Structure
(PCMS) to Update and Expand the Dimensions of PMI's PMBOK". The paper arose out of a discussion
amongst a group of interested PMI members prior to the annual seminar/symposium. Allen's PCMS
model related the nine or more "Level 1" project management functions with the generic project life
cycle. As Allen describes it
"[The] project life-cycle (Time) dimension defines the principle 'Major Management
Phases' of virtually any type of project and acknowledges that project management
functions and their application often change as the project moves through the various
phases of its life-cycle." 23
Unfortunately, the Project Management Institute subsequently declined the paper for publication, failing
to see its value, and it appears that the author lost interest. Allen's project life span is shown in
Figure 10.
One might be forgiven for thinking that by this time just about everything that could be said about
project life spans had already been said about them. That might have been true but for two major events
in the '90s. The first was the rapid rise of the idea of managing by projects in the emerging high-project
volume software development industry. Software development, like R&D, is not so amenable to the
deterministic planning flowing from the idea of a well-established generic project life span. On the
contrary, the production people (i.e. programmers) in this industry seemed to have strongly eschewed
any suggestion of the control that an established life cycle implies. That is, until the arrival of the "Year
2000" (Y2K) legacy software upgrade panic.
The second event seems to be the publication in 1996 of the Project Management Institute's Guide to the
Project Management Body of Knowledge ("PMBOK"). This publication was a complete rewrite of the
1987 version, which had attempted to identify those areas of knowledge within the purview of a project
management discipline, or profession, as some prefer to call it. The Guide, on the other hand, set out to
describe only the subset of the PMBOK that is generally accepted.24 As a part of this rewrite, a section
was devoted to project phases and the project life cycle with a number of examples displayed.
Disappointingly, the sample generic life cycle offered was denuded to the point of illustrating only the
beginning and end of a project. It appears that the author(s) of this section had not done their homework
in reviewing even PMI's own official publications. Worse yet, the same illustration was repeated in the
2000 Edition update, see Figure 11.25
Figure 11: PMI Standard Committee's sample generic project life span
Perhaps the PMI Standards Committee was influenced by a presentation made to an information systems
group by Kapur (1995). The paper was titled "The Seven Deadly Sins of Project Management" and Sin
Number 5 pointed to the lack of a robust project management process. Kapur proposed a set of six
stages in a "Scalable Model" of 33 steps. His illustration is shown in Figure 11a. 26 The red triangles
between each stage represent the specific deliverables shown in the boxes immediately below. However,
closer study of the Figure shows that the second stage is "Pre-Launch" suggesting that only the third,
fourth and fifth stages shown are a part of the formal project life span.
Instead of this limited view, others were expanding their vision of project management. For example,
Morris wrote (1998):
"Too many people see project management as beginning when the project is set up. Yet
all the lessons of modern management – and indeed all the lessons of project
management history – show that time spent up front in defining needs, exploring options,
modeling, testing, and looking at different business benefits is central to producing a
successful project. The decisions made at the early definition stages set the strategic
framework within which the project will subsequently develop. Get it wrong here, and
the project will be wrong for a long time – perhaps forever. Get it right, and you are half
way there. (Defining the problem is half the solution; 90 percent of the outcome is
defined in the first 10 percent of the project.) This is one of the most crucial areas of
project management professional input."27
Morris includes a graphic of his project life cycle as shown in Figure 12.
In fact, Morris's graphic looks more like a flow diagram with inputs and outputs rather than a time based
life span display.
The Morris and Frame views are probably reflections of actual steps taken by some companies, such as
Dupont and Abitibi, to be more thorough with "front-end" work, especially if their market position
depends on capital-intensive projects. Figure 13 shows the introductory graphic to a presentation
promoting the idea of "front-end loading" of the project development phases (1996).29
Thoms describes three stages of the project life span in terms of motivation, which brings in the
"people" (or human resources) aspect. She says (1998)
"Getting started
The goal of the first stage is to get the team and each individual member moving and
motivated. Part of the process of motivating the project team is explaining the project, yet
many managers fail to tell their team why the project is important.
...
Project Development
In the next stage, the day-to-day work on the project proceeds, and the project develops.
A project manager who provides an exciting launch for a project needs to keep energy
flowing when the team gets bogged down in details and runs into problems.
...
Wrapping Up the Project
The final stage of a project can sometimes be the most difficult. Often teams are tired of
the work, bored with the technical details, and anxious about the next project. This stage
varies with the length of the project and the attention span of each individual."30
This author went further and associated different phases of the generic project life span with different
project manager personality types as best suited to the management of that particular phase. He wrote
(1998)
"The 'Concept' phase of the four phase high-level project life cycle should start out with
the 'Explorer' type; then proceed with a 'Coordinator' type in the 'Development'
(definition or planning) phase; move to an assertive 'Driver' type in the 'Execution' phase;
and conclude with the 'Administrator' type in the cleanup 'Finishing' phase."31
Meantime, the software development industry appeared to be going its own way. The so-called
"waterfall" model of the "conventional" software engineering process or workflow, shown in Figure 14,
was touted by many but decried by others. This model is technology specific, but its essential difference
is that the major activities overlap significantly. However, the real difficulty with this model is software
development's essential need to progress iteratively.
An early attempt to reflect an iterative strategy was offered by Boehm (1988) in a "spiral" model as
shown in Figure 15.32
However, Royce brought some semblance of order by suggesting the relationship between the spiral
model and the project life span as shown in Figure 16 (1998).33
Given the explosion of small to medium sized information systems/technology projects, Mochal has
developed one of the first discrete project management methodologies dedicated to this market. It is
based on Mochal's view of the project life span for software development projects in a process he calls
the Project Lifecycle Process™. His five-phase framework is shown in Figure 16a.34 The accompanying
manual details all the project and technical management activities to be considered in an essentially
linear process.
In recent years, the accelerating pace of technological development has led to the need to administer and
manage multiple projects to maintain competitive advantage. Whether this is a consequence of, or driver
for, even greater focus on the front-end of project life spans is difficult to say. Either way, the focus of
project management has moved "upstream" into program management and project portfolio
management. This requires senior management's attention not just on one project but multiple projects
competing for resources, cash flow and contribution to corporate strategic objectives. This in turn
requires closer attention to screening or filtering out potential projects that do not make the grade during
the course of the portfolio-program-project life span.
Therefore, Forsberg, Mooz and Cotterman suggest that the project life span has three aspects: Business,
Budget and Technical (2000). As they say
"The business aspect contains the necessary business events related to customer
management, justifying the project, the overall business management events, and
associated contractor and subcontractor management.
...
The budget aspect depicts the activities and events necessary to fuel the project with
funds throughout its project life cycle.
...
The budget activities and business management activities are combined with the
technical aspects to yield the complete project cycle. The technical events are often the
most significant force driving the project length and cost, and they're often the most
difficult to manage."35
But as Archibald observes on the importance of designing and documenting project life-cycle processes
"Designing and documenting project life-cycle processes will:
• Enable all concerned with creating, planning, and executing projects to
understand the process to be followed during the life of the project.
• Capture the best experience within the organization so that the life-cycle process
can be improved continually and duplicated on future projects.
• Enable all the project roles and responsibilities and the project planning,
estimating, scheduling, monitoring, and control methods and tools to be
appropriately related to the overall project life-cycle management process.
Unless a well-documented, understandable picture of the life-cycle process for each
project category exists, it will be impossible to achieve the full benefits of modern,
systematic project management."36
Archibald also clarifies the generic project life span with these words
"There is general agreement that these [i.e. the following] broad, generic project phases
are
• Concept (initiation, identification, selection)*
• Definition (feasibility, development, demonstration, design prototype,
quantification)
• Execution (implementation, production, and deployment,
design/construct/commission, install and test)
• Closeout (termination and post completion evaluation)
However, these phases are so broad and the titles so generic that they are of little value in
documenting the life-cycle process so that it can be widely understood, reproduced, and
continually improved."38
[* Common alternative terms shown in parenthesis]
Archibald suggests that these phases are so broad and the titles so generic that they are of little value in
documenting the life cycle process so that it can be widely understood. He goes on to say that what is
needed is the definition of perhaps five to ten basic phases for each project category. Fish, in a
thoughtful paper "An Improved Project Lifecycle Model"39 agrees (See
http://www.maxwideman.com/guests/plc/intro.htm). Fish takes an in-depth and practical look at the
project life span from the perspective of the chemical process industry. He provides a rationale for a
"more robust" second or third level model by subdividing each of the "four" generic phases each into
two more for a total of eight. Or ten if you include "sanction" and "audit" stages that are beyond the
control of the project manager. He also arranges the model into a "Vee" display as shown Figure 18, an
arrangement strongly espoused by Forseberg, et al. 40
In reviewing the last three decades, it seems clear that the scope of project management and the
underlying concepts of the project life span have evolved considerably. Whether this evolution is the
result of a deliberate progression, or due to a gradually improved understanding of the project
management phenomenon itself may be open to question. Certainly, today there is a better
understanding of the integrative role played by a properly constructed project life span, even if project
management associations have failed to fully explain and underscore the importance of this role.
It appears that Patel and Morris's 1999 description of the project life cycle (span) is an accurate one,
namely
"The sequence of phases through which the project will evolve [and] will significantly
affect how the project is structured . . . There should be evaluation and approval points
between phases often termed 'gates'."41
Thus a structured project life span plays a key role in the control strategy for the evolution of a project.
Unlike schedule bar charts and flow diagrams, the project life span phases represent significant changes
as the project progresses through succeeding levels of maturity. These include changes in: progressive
levels of detail in management decision-making, required management style, and required management
skill sets. Control points, constituting major milestones at which specific deliverables are expected,
segregate these high-level strategic phases. Moreover, these points in time are treated as "gates". The
idea of gates implies that the project does not proceed beyond them unless and until the required phase
deliverable has been carefully reviewed and found satisfactory.
One might liken this progression as somewhat akin to the young student passing a succession of final
exams as he or she climbs up the educational ladder to full-grown capability. Each subsequent step in
the educational program requires passing the criteria for competence in the previous level.
What also seems to be clear, however, is that there has been considerable controversy over when a
project actually starts and, surprisingly, when it finishes. Moreover, this is a controversy, or lack of
understanding, that continues to this day. This misunderstanding seems partly due to some people
viewing a project as a "process" while others use the word as a substitute for the word "product".
The labels sound good, but I am not convinced that there is general agreement on their meaning. Indeed,
I believe that "deployment, design/construct/commission, install and test" are sufficiently different from
the product production work that it constitutes a different and final phase to the project. Along with
"Closeout" I prefer to think of the fourth phase in terms of "Transfer of care, custody and control" of the
product to the eventual owners/users.
Archibald suggested that these phases are so broad and the titles so generic that they are of little value in
documenting the life cycle process so that it can be widely understood. He went on to say that what is
needed is the definition of perhaps five to ten basic phases for each project category. That may well be
so, but then those project life spans are no longer "generic", there is as yet no "general agreement" on
project categorization or a project classification scheme and, I suggest, if we cannot understand the basic
generic project life span, how can we expect to reach a general understanding of anything more
detailed? Indeed, the Strategy Principle, Principle #4 in my paper First Principles of Project
Management (see http://www.maxwideman.com/papers/principles/principles.htm) attempted a simple
explanation of such a simple concept.
However, writing from the perspective of the chemical process industry, Fish agrees with Archibald that
a more detailed and "robust" model would be more useful, one having eight phases at the next level of
detail. Clearly, there is more work still to be done and no doubt the larger and more complex the project,
the more gated phases that are desirable. Nevertheless, what does appear to be evident is that four
phases, as listed for the generic model, are a minimum for any project to be fully successful.
On the positive side, much improved recognition is now given to the importance of project justification
long before execution of actual product production work. Recognition is also being given to the
importance of the transfer of the "product" into the care, custody and control of the users. This latter area
of the project life span still requires more attention, but it is a reflection of the reality that all projects
exist in an "environment", whether public, private or non-profit, and a realization that this environment
also needs to be managed. That is to say, the management of a project needs to extend beyond the
internal processes to what is happening outside the project.
A further development over the decades is the change in the nature of projects encompassed. This has
moved the focus of project management literature from managing large relatively limited capital
construction or technology projects to managing portfolios of short-run system and service-oriented
projects. This is often accompanied by an increase in the number of stakeholders involved. It is evident
from all of this that one size does not fit all but rather requires a degree of flexibility. However, just how
much is still a matter of on-going debate.
The issue, as always, is one of strategy: "How much control? Who should have it? and When?"
1
Patel, M. B. & Prof. P.G. W. Morris, Guide to the Project Management Body of Knowledge, Centre for Research
in the Management of Projects, University of Manchester, UK, 1999, p52.
2
Ibid.
3
Westney, R. E., Risk Management: Maximizing the Probability of Success, Chapter 8 in Project Management for
Business Professionals, edited by Joan Knutson, Wiley, NY, 2001, p128.
4
Guide to the Project Management Body of Knowledge, 2000 Edition, Glossary section, Project Management
Institute, PA, p206.
5
Post War National Development Report approved for publication by the Institution of Civil Engineers, Great
Britain, 1944.
6
Wilemon, D. L., in Foreword to Managing High-Technology Programs and Projects, R. D. Archibald, Wiley, NY,
1976, piii.
7
Archibald, R. D., Managing High-Technology Programs and Projects, R. D. Archibald, Wiley, NY, 1976, p19.
This book is now in its Third Edition, 2003.
8
Ibid, p22.
9
Stuckenbruck, Dr. L. C., Editor, The Implementation of Project Management, Project Management Institute, PA,
Wiley, 1981, pp2-3.
10
Ibid, p2.
11
Cavendish, P., & Dr. M. D. Martin, Negotiating & Contracting for Project Management, Project Management
Institute, PA, 1982, p14.
12
Wideman, R. M., Chairman, PMBOK Standards Board, The Framework Part 1 The Rationale, Project
Management Body of Knowledge (PMBOK), Project Management Institute, PA, 1987, p1-1.
13
Webster, Dr. F. M., What Project Management Is All About, chapter 1 of The Handbook of Project
Management edited by Paul C. Dinsmore, Amacom, NY, 1993, p8.
14
Patzak, G., Project Management Paradigm: A System Oriented Model of Project Planning, in Dimensions of
Project Management, edited by H. Reschke& H. Schelle, Springer-Verlag, Berlin, 1990, pp26-27.
15
Kerzner, Dr. H., Project management: A Systems Approach to Planning, Scheduling, and Controlling, Third
Edition, Van Nostrand Reinhold, NY, 1989, p84.
16
Cleland, Dr. D. I., Project Management: Strategic Design and Implementation, TAB Books, PA, 1990, p23.
17
Ibid, p27.
18
Belanger, T. C. Choosing a Project Life Cycle, chapter 6 of Field Guide to Project Management, edited by D. I.
Cleland, Van Nostrand Reinhold, NY, 1997, p62.
19
Cleland, Dr. D. I., Project Management: Strategic Design and Implementation, TAB Books, PA, 1990, p25.
20
Youker, R., Managing the project cycle for time, cost and quality: lessons from World Bank experience,
Keynote paper, INTERNET 88, Glasgow, 1988, Vol 7 No 1 February 1989 p54.
21
Wideman, R. M., Project Management Framework lecture overhead slide circa 1987.
22
Project Delivery System, Public Works Canada, Government of Canada, 1989, p5.
23
Allen, W.E., P.Eng., CMC, PMP, Panalta Management Associates Inc., Calgary, Alberta, 1991.
24
A Guide to the Project Management Body of Knowledge, Standards Committee, Project Management Institute
PA, 1996, p3.
25
A Guide to the Project Management Body of Knowledge, Standards Committee, Project Management Institute
PA, 2000, p13.
26
Kapur, G. K., PowerPoint presentation: The Seven Deadly Sins of Project Management, PMI-ISSIG Webinar,
Center for Project Management, CA, 1995, slide #23.
27
Morris, Dr. P. W. G., Key Issues in Project Management, chapter 1 of Project Management Handbook edited
by J. K. Pinto, Jossey-Bass, 1998, p5.
28
Frame, Dr. J.D., Closing Out the Project, chapter 14 of Project Management Handbook edited by J. K. Pinto,
Jossey-Bass, 1998, p238.
29
Abitibi presentation recommending Front-end Loading Project Development, Toronto, 1996, Appendix B-1.
30
Thoms, P., Project Team Motivation, chapter 20 of Project Management Handbook edited by J. K. Pinto,
Jossey-Bass, 1998, p324-326.
31
Wideman, R. M., Dominant Personality Traits Suited to Running Projects Successfully (And What Type are
You?), Project Management Institute, Annual Seminar/Symposium "Tides of Change", Long Beach, California,
USA, 1998.
32
Source unknown.
33
Royce, W., Software Project Management: A Unified Framework, Addison-Wesley, Inc., 1998, p75.
34
Mochal, T., Project Life Cycle Process™, http://www.lifecyclestep.com/0.0.0LifecycleStepHomepage.htm,
2003.
35
Forsberg, Dr. K., H. Mooz, & H. Cotterman, Visualizing Project Management, Second Edition, Wiley, 2000,
p89.
36
Archibald, R. D., Managing High-Technology Programs and Projects, third Edition, Wiley, 2003, p41.
37
Cooper, R. G., S. J. Edgbert, & E. K. Kleinschmidt, Portfolio Management for New Products, Cambridge, MA,
2001, p272.
38
Archibald, R. D., Managing High-Technology Programs and Projects, third Edition, Wiley, 2003, p44.
39
Fish, E., An Improved Project Lifecycle Model, Pandora Consulting,
http://www.maxwideman.com/guests/plc/intro.htm (Guest Department), 2002, updated 2003.
40
Forsberg, Dr. K., H. Mooz, & H. Cotterman, Visualizing Project Management, Second Edition, Wiley, 2000,
p34.
41
Patel, M. B. & Prof. P.G. W. Morris, Guide to the Project Management Body of Knowledge, Centre for
Research in the Management of Projects, University of Manchester, UK, 1999, p52.
Project Management
Lifecycle
I
SECTION I: PROJECT MANAGEMENT LIFECYCLE
TABLE OF CONTENTS
3
4 Section I Project Management Lifecycle
NYS Project Management Guidebook
next phase. The Project Plan also includes plans for involving and com-
municating with all the parties that are affected by the project, as well as
identification of an initial set of foreseeable risks that can threaten the
project. At the conclusion of Project Initiation, based on the initial plan-
ning documents, the Business Case is revised and re-evaluated and a
decision is made to either halt the project, or proceed to Project Planning.
5. In Project Closeout, the Project Team assesses the outcome of the proj-
ect, as well as the performance of the Project Team and the Performing
Organization. This is accomplished primarily through soliciting and eval-
uating feedback from Customers, Project Team members, Consumers and
other stakeholders. The primary purpose of this assessment is to docu-
ment best practices and lessons learned for use on future projects. Key
project metrics are also captured to enable the Performing Organization
to compare and evaluate performance measurements across projects.
The following diagram illustrates every phase, process and task in the
project lifecycle.
Figure 0-1 NYS Project Management Guidebook The Project Management Lifecycle
Project Origination Project Initiation Project Planning Project Execution and Control Project Closeout
5
Notice Approval Form Project Management Office
6 Section I Project Management Lifecycle
NYS Project Management Guidebook
Consumers include all the people that will use the product or
service that the project is developing. Consumers internal to
the Performing Organizations may also be Customers.
Project Sponsor
Deputy Commissioner
Customers
Project Manager
ERT Manager
Customer
Representatives
Team Members:
Content Author (4) Program Technology Analysts (3), OFT
Administrative Analyst Trainee (1), OFT
Team Members:
Content Author (3) Consultant (Experienced professional Project Managers)
Team Member:
Technical Writer (1) Consultant (Experienced professional Technical Writer)
Subject Matter Experts OFT Strategic Assessment and Acquisition Team, OGS
Procurement Group, OFT Counsel’s Office, OFT Contract
Management Office.
Project Sponsor
OFT Director of PMO
Customers
Project Manager
Guidebook PM Consultant
Advisory
Committee
Content Author Content Author Content Author Technical Writer Content Author
OFT PMO Staff OFT PMO Staff OFT PMO Staff Consultant OFT PMO Staff
Teams
There were many different teams at various points in the project lifecycle. Asterisks
mark team members that were dedicated to the project for the duration of their involve-
ment.
14 Section I Project Management Lifecycle
NYS Project Management Guidebook
Chairman
Worker’s Compensation Board
Executive Director
Project Sponsors
Project Manager
Information
Reengineering Management
Process/ Technical Implementation Services Division
Facilities Team Imaging Team Procedures Infrastructure Leadership
Development Team Teams
Team
Imaging
Re-engineering Outsourcing Imaging
Procurement Re-engineering Application Conversion Training
Procurement Study Team Developmment Team
Team Team Team
Imaging
Application Contractor
Conversion
Guidance Team Team
Design Team
Executive
Steering
Committee
Development
Team
18 Section I Project Management Lifecycle
NYS Project Management Guidebook
All Phases Project Status Report Written by the Project Manager, this 95 39
report summarizes project activity and
is issued at pre-determined intervals
(weekly) throughout the project.
All Phases Project Deliverable Indicates Project Sponsor acceptance of 110 53
Approval Form deliverables attached and approval
to proceed.
Project Origination Business Case Defines the business need for the 26 17
project and supports the Project
Proposal with objective analysis of
the costs and benefits of doing the
proposed project.
Project Origination Project Proposed Defines the technical solution for how 29 19
Solution the project’s product will support the
organization’s business need and
strategic plan.
Project Origination Proposal Decision Identifies the decision of the Project 40 21
Notice Selection Committee and communicates
that decision to the Project Sponsor and
other Stakeholders.
Project Initiation Project Charter Provides authority to establish the project. 61 23
It is the contract between the Project
Team and the Project Sponsor.
Project Initiation Project Initiation Kick- Outlines a meeting agenda for an effective 65 27
off Meeting Agenda kick-off meeting.
Project Initiation Project Scope Documents the deliverables of the project, 72 29
Statement its results and/or quantifiable objectives.
Project Initiation Project Schedule A preliminary high-level schedule of the 77 31
Worksheet entire project.
Project Initiation Project Quality Identifies and documents standards for 81 33
Management Plan each project deliverable.
Project Initiation Preliminary Budget Documents a preliminary estimate of the 87 37
Estimate cost to complete the project.
Project Initiation Project Defines how often information will be 99 45
Communications Plan disseminated, including the format and
media to be used to reach the desired
audience.
Project Initiation Project Plan The compilation of Project Initiation 104 49
deliverables that ultimately guides
the execution and control of the project.
Project Planning Project Planning Kick- Outlines a meeting agenda for an effective 135 57
off Meeting Agenda kick-off meeting.
Section I Project Management Lifecycle 19
NYS Project Management Guidebook
Project Planning Project Budget Refines cost estimates based on increased 146 59
detail in Project Scope and Schedule.
Project Planning Project Risk Ranks risks based on the likelihood and 150 61
Management impact of risk occurrence, and details
Worksheet risk mitigation plans.
Project Planning Project Change Request Documents and defines requested 158 63
changes.
Project Planning Organizational Change Defines and documents a plan to manage 168 67
Management the changes that could occur in an
organization as a result of implementing
the product of the project.
Project Planning Project Team Training Describes the skills required for team 174 71
Plan members and training target dates.
Project Planning Project Implementation Describes implementation activities, their 179 73
and Transition Plan timeframes, and the transition of
responsibility to the Performing
Organization.
Project Execution Project Execution and Outlines a meeting agenda for an effective 207 77
and Control Control Kick-off kick-off meeting.
Meeting Agenda
Project Execution Progress Report Produced by each Project Team 213 79
and Control member, this report documents time
spent on tasks and provides estimates
of time needed to complete tasks.
Project Execution Project Acceptance Indicates Project Sponsor acceptance 250 81
and Control Form of the project deliverables and approval
to proceed to the next phase.
Project Closeout Post-Implementation Tool for soliciting feedback on the project. 270 83
Survey
Project Closeout Post-Implementation Summarizes feedback on project 280 91
Report effectiveness, lessons learned, best
practices and key project metrics.
Project Closeout Project Respository A suggested list of project-related 288 97
Table of Contents materials to be maintained.
Section I:1 Project Origination 21
NYS Project Management Guidebook
1 PROJECT ORIGINATION
Purpose
List of Processes
Figure 1-1
Project Origination Project Initiation
Define CSSQ
Define Project Scope
Develop High-Level Schedule
Evaluation Identify Quality Standards
Criteria
Establish Project Budget
Select Projects
Prioritize Project Proposals Confirm Approval to Proceed
Review/Refine Business Case
Choose Projects
Proposal Prepare for Acceptance
Notify Project Sponsor Decision Gain Approval Signature
Notice
Section I:1 Project Origination 23
NYS Project Management Guidebook
List of Roles
List of Deliverables
Figure 1-2 lists all Project Origination tasks and their deliver-
ables (or outcomes).
Figure 1-2
Processes Tasks Task Deliverables
(Outcomes)
Purpose
Since information from the Business Case is included in the Proposed Solution – and
vice versa – the tasks to develop those documents should be performed not consec-
utively, but concurrently, with one document informing and influencing the other.
Tasks
The Business Case must provide a compelling case for the proj-
ect. A careful study should be made of expected benefits to the
organization implementing the project. An analysis of the costs,
benefits and risks associated with the proposed approach can
be made, and the justification necessary to obtain the proper
level of commitment from the decision-maker(s) can be formu-
lated. Once an original cost estimate for the project is derived
during Develop Proposed Solution. The Business Case can also
identify special funding sources available for the proposed ini-
tiative, and should align the project’s costs with the agency
budget cycle. If the project is going to span multiple budget
cycles, a multi-year strategy for project funding should be dis-
cussed with the agency fiscal officer, who may find it useful to
review the Business Case with another constituency – the
Division of the Budget (DoB).
PROJECT IDENTIFICATION
Business Need/Problem:
Briefly describe the product of the project that would resolve the Business Need or Problem,
and the Solution proposed to create it
Describe how the project is consistent with the mission or provide rationale if it is not .
Section I:1 Project Origination 27
NYS Project Management Guidebook
List all Anticipated Benefits resulting directly from the project. Specify the ways there will be
measurable improvement of new capabilities. Consider the implications of NOT doing the proj-
ect – what benefits would be missed?
Cost/Benefit Analysis:
Briefly justify the Costs for the identified Benefits. Include quantitative analysis, e.g.,
calculations of anticipated savings, costs avoided, Return On Investment, etc.
List and describe any Sources for project funding. Are there grants that will be applied for?
Are federal funds available? Is a charge-back to the Customers planned?
28 Section I:1 Project Origination
NYS Project Management Guidebook
It is highly advisable to have an independent party verify the Proposed Solution and
associated estimates.
PROJECT IDENTIFICATION
Summary of Business Need for the Project (from the Business Case):
Briefly summarize the Business Case. This section should include identification of the
Customers and anticipated Consumers of the project’s product and a description of the
particular business problem or need the project will address.
This section should include a description of the Solution being proposed and others that have
been considered. Describe why this solution was selected instead of the others, and why the
others were not. The decision should summarize the strategy that will be used to deliver the
project and identify high-level milestones and dates. It is possible that a single solution cannot
yet be recommended; in that case, indicate when – and how – the decision is likely to be
made.
30 Section I:1 Project Origination
NYS Project Management Guidebook
Project Objectives:
Describe how this project and its objectives specifically support the organization-wide Strategic
Plan?
BUDGET/RESOURCES:
Estimated Costs:
Type of Outlay Initial Annual Remarks
(Development) (Recurring)
Hardware
Software
Supplies
User Training
Consultant Services
Other:
TOTAL
Estimated Resources/Personnel:
Program Areas hours hours
hours hours
hours hours
Information Services hours hours
Consultant Services hours hours
hours hours
Enter the Estimated Costs for each of the items listed, both Initial, during project
development, and Recurring. Add any important relevant information under Remarks.
Enter the Resources/Personnel estimated for the project and the number of hours required
of each resource during the Initial project period, and then Annually.
Section I:1 Project Origination 31
NYS Project Management Guidebook
Risks:
List and briefly describe Risks to the project that you have identified.
Organizational Impact:
Briefly describe the Impact the project will have on the organization.
Additional Comments:
Deliverable
1
2
3
*Each of these categories would have a separate matrix or worksheet as supporting documentation,
which would typically roll up to a single rating within each category. These worksheets should be
standard across projects to provide comparative rankings.
STRATEGIC ALIGNMENT
Mandatory Requirement:
0 Initiative not mandatory
1 Initiative inferred by or strongly suggested in law,
regulation
2 Initiative specifically required by law, regulation
Process Improvement:
-1 Initiative does not assist or generate process improve-
ments.
0 There is documented evidence that the initiative will assist
or generate process improvements within a workgroup.
1 There is documented evidence that the initiative will assist
or generate process improvements across a division.
2 There is documented evidence that the initiative will assist
or generate process improvements across the agency.
RISK
-1 The initiative’s impact depends on another initiative not
yet completed – AND – scheduled risk mitigation actions
have not been identified.
0 There are no predicted or foreseen adverse impacts on the
initiative’s schedule – OR – the initiative’s impact does
not depend significantly on any other initiative yet to be
completed.
1 There are no predicted or foreseen adverse impacts on the
initiative’s schedule – AND – there are no major interfaces
with other initiatives or systems.
COST/BENEFIT
-1 The cost estimate is highly dependent upon uncontrolled
variables (e.g., availability of external funding sources,
changes in component pricing or maintenance contracts)
and is therefore subject to significant change (> 10%).
0 Situation may arise which may cause this year’s costs to
vary by no more than 10% of estimates.
1 Measures to identify in a timely manner and reduce vari-
ances between the actual cost of work performed and the
budgeted cost of work performed are clearly documented.
2 Measures to identify in a timely manner and reduce vari-
ances between the actual cost of work performed and the
budgeted cost of work performed are clearly documented
– AND – cost estimates are not significantly dependent
upon identifiable uncontrolled variables.
36 Section I:1 Project Origination
NYS Project Management Guidebook
Final Ranking:
Priority Project
4 E has the highest value
3 A
2 C
1 B
0 D has the lowest value
Deliverable
In all three cases, the same Proposal Decision Notice can be used
to document and communicate the decision (see Figure 1-7).
40 Section I:1 Project Origination
NYS Project Management Guidebook
PROJECT IDENTIFICATION
Proposal Decision
Put a check-mark in the Indicator box next to the decision made. Enter Date of decision.
Make sure to fill out corresponding section below and forward back to Project Sponsor.
Enter Project Selection Committee member names in the first column; members sign and
date the form in the corresponding boxes.
Section I:1 Project Origination 41
NYS Project Management Guidebook
Other comments:
Provide guidance to the Project Sponsor on specific information required for an informed
decision, along with guidelines for re-submitting the proposal again in the next
evaluation/selection cycle.
Explanation of decision:
Screening results:
Evaluation results:
Prioritization/Selection results:
Provide a detailed explanation for the decision to decline the Project Proposal. Outline where
the proposal came up short in the Screening, Evaluation, Prioritization and/or Selection.
Deliverable
Project Origination
End-of-Phase Checklist
How To Use
Use this checklist throughout Project Origination to help ensure
that all requirements of the phase are met. As each item is
completed, indicate its completion date. Use the Comments col-
umn to add information that may be helpful to you as you pro-
ceed through the project. If you elect NOT to complete an item
on the checklist, indicate the reason and describe how the
objectives of that item are otherwise being met.
Figure 1-8
Item Description Page Completion Comments Reason for NOT
Date Completing
Select Projects: 37
Identify and/or utilize proposal 37
prioritization criteria
Evaluate projects’ requirements 37
vs. organizational capacity
Recommend projects for 37
selection
Choose projects for initiation 38
Notify Project Sponsor of 39
unfavorable screening
outcome
Document decision process 39
and outcome for each proposal
Complete Proposal Decision 40
Notice forms
Get signatures from Project 40
Selection Committee members
Notify Project Sponsor(s) 41
Measurements of Success
Figure 1-9
Develop Project Proposal Have the anticipated benefits been reviewed and
accepted by the Customer?
Does the expected outcome of the project support
the organization’s mission?
Does the Proposed Solution address only the
agenda described by the business problem?
Has an independent party assessed the estimated
costs and resources?
Does the Project Proposal make clear how various
approaches/solutions were considered and evaluated,
and why a particular solution is being proposed?
Evaluate Project Proposals Was the project rated on all of the following:
◆ Strategic alignment?
◆ Risk?
◆ Proposed Solution?
◆ Cost?
◆ Benefit?
◆ Funding?
Were the evaluation criteria applied equally to all
projects under consideration?
Select Projects Does the Project Proposal Team understand the
reasons for the project’s approval or declination, or
for additional information that is required?
Is there a consensus among the Performing
Organization Management that the selection process
was objective and fair?
Section I:1 Project Origination 45
NYS Project Management Guidebook
Figure 1-10
Process Task Why is it important?
Develop Project Develop Business Case This document is the basis of the project’s
Proposal acceptance or rejection not only in this
phase, but throughout the rest of the project
lifecycle.
Develop Proposed Solution Having the proposed solution approved
before launching into project activities
protects the project team, the project, and
the whole organization from anarchy.
Select Projects Choose Projects Selection of the projects with the greatest
value and greatest chance for success is key
to the success of any organization.
46 Section I:1 Project Origination
NYS Project Management Guidebook
Your proposal must clearly show that you have at least consid-
ered the cons as well as the pros. It must show that you have
examined the costs as well as the benefits. It must exhibit that
you’ve considered the long-term ramifications as well as the
short-term gains.
For example, if you have one staff person doing a task in two
different cities that requires three days each, she can get both
tasks done in 10 days if she spends three consecutive days in city
A and three consecutive days in city B. However, if you make
her do both by spending one day at a time in each city, you add
travel days and weekends for a total of seven additional days.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
Scenario 1:
A X X X
Travel X X X X
B X X X
Scenario 2:
A X X X
Travel X X X X X X X X X
B X X X
Often, by the time the project actually gets going, original play-
ers have either gone to bigger and better things, or have for-
gotten all about your puny little project, and the only thing that
stands between your success and oblivion is good documenta-
tion. Dust off that old Business Case; dig out that forgotten
Proposed Solution; and shake that Proposal Decision Notice
into any face that dares to challenge your authority to proceed.
Sequence of Activities
by accounting officers of national and
provincial departments and accounting
authorities of schedule 3 public entities
NATIONAL TREASURY
• Decision to explore PPP solution
• Inform PPP Unit of decision, and of expertise available
• Include project in the budget process
NATIONAL
NATIONALTREASURY
• Describes the institutional function to be performed
by the private party
Approval 1
• Sets out results of a sector needs and options analysis Demonstrating
• Demonstrates affordability affordability.
• Shows how risk will be transferred to private party Treasury must approve
• Gives an initial indication of how value for money will the feasibility study before
procurement
be achieved
• Describes institutional arrangements for monitoring
1
UNIT TECHNICAL
the PPP
TREASURY APPROVALS
Treasury
• Possible expression of interest phase
• Prepare and disseminate a request for qualification Approved 11
(RFQ) document. Demonstrating value
for money.
• Prepare a request for proposals (RFP) document and 11 (a) Treasury must
a draft contract. approve the draft RFP and
• Ensure fair, transparent, competitive process draft contract.
11 (b) Treasury must
approve a value for money
PPP UNIT
APPROVALS
report
• Structured engagement with bidders for clarification 11
• Receive bids
• Evaluate
• Compare with feasibility study Treasury
• Select preferred bidder, based on best value for money Approval 111
PPP
Financial Closure.
• Negotiate contract with preferred bidder • Treasury must approve
• Set up contract management system the negotiated contract
• Sign contract
111 • Treasury must approve
the contract management
• Conclude close-out report plan
Transfer responsibility for the operation of the project and/or begin construction