Principles, Processes, and Practices of Project Success
Glen Alleman MSSM
Applying Systems Engineering Principles, Processes & Practices to Increase Probability of Program Success for Complex System of Systems, in Aerospace & Defense, Enterprise IT, and Process and Safety Industries
Introduction To The 5 Immutable Principles of Project Success
The Five Principles for increasing the probability of success for any project are:
1. What does Done look like?
Successful projects deliver business or technical capabilities to solve problems, accomplish a mission, and provide a service. Those paying for the project bought this Capability, not the work effort, cost expenditures, documentation, test results, or processes that delivered the Capabilities. These are all needed, but they are not the Value of the project.?For success, the project must deliver tangible beneficial outcomes, assessed in units of measure meaningful to the decision makers.
2. How Do We Reach Done as Planned?
First, we need a Plan. Plans are strategies for success. Strategies are hypotheses. Hypotheses require tests to confirm their validity. These tests are the outcomes of the work ? in the Schedule ? measured against the needed Capabilities of the buyer. The Plan has to state these upfront. Otherwise, we’ll never recognize Done.
3. Do we have enough time, money, and resources to reach Done?
A resource-loaded schedule is required to ensure our Plan has the proper probability of success.
4. What impediments will be encountered along our way to Done?
For project success, we must apply Tim Lister’s simple concept ? Risk Management is How Adults Manage Projects. All risk comes from uncertainty. Uncertainty comes in two forms ? (1) reducible (epistemic) and (2) irreducible (aleatory).
Reducible risk is addressed with risk buy-down activities, paid for by the customer. Margin – cost, schedule, and technical margin- address irreducible risk.
5. What units of measure are used to confirm our progress to plan toward Done?
Progress in planning for successful projects is measured as the physical percent complete, not by the passage of time or the consumption of money. I am working on products at the planned time, for the planned cost, and compliant with the planned measures of effectiveness and performance measures.
That’s the Five Immutable Principles of project success. I’ll be posting in the coming weeks about the details of each of these Principles and their Processes and Practices. All are needed to increase the Probability of Project Success.
What Does Done Look Like?
With the Five Immutable Principles in hand, let’s start with What Does Done Look Like? To answer this question, we need units of measure to define what this means.
This first principle, when missing, is a primary root cause of project failure. Projects many times start with the notion of requirements gathering without the understanding of how each requirement is traceable to the capabilities needed to accomplish the project mission.
Starting with what Done looks like in units of measure meaningful to the decision-makers lays the foundation for project success. [1] These units of measure start with the Effectiveness and Performance of the project outcome and their ability to accomplish the mission, fulfill the business goal, or solve a problem. As well Technical Performance Measures (TPM) and Key Performance Parameters (KPP) are used to define further what Done looks like.
The document containing these four measures is a Concept of Operations (ConOps), a Statement of Objectives (SOO), or a business or technical strategy document. The ConOps documents the characteristics of a proposed system from the viewpoint of those using the system. It communicates the quantitative and qualitative system characteristics to all stakeholders, including those who will develop the project's deliverables.
These measures are defined as:
These measures are connected in an example of a public safety surveillance system.
Without these measures defined, validated, and confirmed to be feasible, we’re lowering the Probability of Project Success (PoPS) before we even start.
Next week, let’s build the Integrated Master Plan and Integrated Master Schedule to implement the deliverables to fulfill the Capabilities, MOEs, MOPs, TPMs and KPPs.
What’s Our Plan to Reach Done as Needed?
Now that we have the description of Done in units of measure meaningful to the decision makers ? Measures of Mission Effectiveness, Performance, Technical Performance, and Key Performance Parameters, what’s the Plan to show up on time, on budget, having delivered the needed Capabilities for success?
First, let’s clarify some words. A Plan is a set of actions to achieve something in the future. Plans are strategies for accomplishing those achievements. Strategies are hypotheses that need to be tested to confirm that we’re headed in the right direction continually. The Plan defines the direction and the capabilities produced by the project along that direction.
The Schedule defines the work needed to move the project along the path toward Done, the order of that work, the outcomes of the packages of work, and the Technical Performance Measures used to assure the results meet the requirements.
A credible Plan and Schedule means there is a model of cost, schedule, and technical performance of the deliverables that can be assessed to assure there is a probabilistic confidence sufficiently high to assure those funding the project they will get want they are paying for.
Together these form the Performance Measurement Baseline. Constructing the PMB requires knowledge of the business requirements, skill in developing the Work Packages that produce the deliverables for these requirements, and discipline in assembling the cost, schedule, and relationships between the Work Packages. The discipline requires the most focus for the planners and program controls staff. With this discipline, the development of a credible baseline is possible.
There are three elements to the Performance Measurement Baseline.
The Technical Performance Baseline is the requirements flow down and traceability map for each deliverable in the program.
The Schedule Performance Baseline is the sequence of Work Packages and Planning Packages that produce the products or services from the program. This baseline contains the schedule margin needed to protect the delivery date from the reducible and irreducible uncertainties in the project. What these mean, how they’re derived, and how to use them will come in the risk management post. But for now, any project without risk management and schedule margin is late and over budget before it starts.
The Cost Performance Baseline is the “authorized time-phased budget?at?completion used to measure, monitor, and control overall cost performance on the program.” This budget is held in the Control Accounts, the Work Packages, and Planning Packages owned by the Control Account Manager.
With these three PMBs integrated into one, we can now ask what resources are needed to start the execution of the project.
Risk Management
I going to skip the 3rd Principle of resource management for now. Risk management is the next principle. The only premise about risk management comes from Tim Lister.
Risk Manage is How Adults Manage Projects
If risk management is how adults manage projects, here are some principles (sub irreducible principles) of project management.
These five principles are simple and obvious but difficult to implement. The reason they’re difficult is that most people shy away from risk. Managing in the presence of risk does not come naturally.
It is a learned behavior. And once learned it has to be practiced. But before it can be learned and then practiced, “managing in the presence of risk” must become part of the business culture.
Some cultures do this better than others. NASA is better than others. But even NASA has moved a risk-adverse culture in the past decades.
Each of these 5 principles must be addressed by the risk management process.
Continuous Risk Management is based on the underlying principles, concepts, and functions of risk management. It provides guidance on implementing it as a continuous practice in projects and organizations.
Risk management is used to continuously assess what can go wrong in projects (i.e., what the risks are), determine which of these risks are most important, and implement strategies to deal with these risks. These principles are based on proven practices confirmed through research, field testing, and direct work with clients.
Risk identification is an ongoing activity that takes place during the routine program workflow. Project activities such as programmatic and technical meetings, telecons, reviews, and other forms of communication often bring to light program risks. When this occurs, we record and analyze the risk on a Risk Information Sheet. The process outlined below helps the program team identify and cope with program risks throughout the life of the program.
Continuous Risk Management, when performed successfully, provides several benefits:
Measuring Physical Percent Complete
With Done defined in units of Effectiveness (MOE) and Performance (MOP), with a plan for reaching Done at the needed time, for the needed budget, with the needed capabilities. With the risks mitigated or margin in place to increase the probability of success to arriving at Done, we need the means to measure progress toward Done now.
But before we can have a useful measure of progress to plan, we need a target for that performance. This was done in the first and second principles. What does Done look like in units of measure meaningful to the decision makers? We can use these targets to measure our progress by defining them up front.
From our first Principle, the meaningful measures progress to plan to start with the MoEs that tell us what the customer thinks Done looks like in their units.?The MoPs characterize physical or functional attributes relating to the system operation that the customer agrees are critical to the system's success and will be implemented by the provider.?MoPs tell us what the system needs to achieve to meet the MoEs. Certain MoPs are critical enough to program success that they are labeled Key Performance Parameters (KPP).?All performance measures must be translated into the engineer's language to measure progress.?Technical Performance Measures (TPM) represent that translation.
These Technical Performance Measurements take place within a performance measurement system to provide decision-makers with specific performance information on physical progress and budget expenditures compared to the execution plan.
Physical percent complete requires tangible evidence, not the usual tap-dancing assessment of “done-ness” we see many times. Physical percent complete means directly linking cost, schedule, and performance. It is an objective measure with tangible evidence of progress.?We’ve all had the experience of a control account manager (e.g., the lowest practical level of management control) determining the percent complete by eyeballing the work effort.?This assessment often differs from what is actually being performed on the program for the same work.?
This disconnect between the reported measures of progress and the actual measures of “done-ness” is a clear sign that program performance measurement gaps are going to materialize before the Program Manager can take corrective action.
This completes the quick survey of the Five Immutable Principles of Project Success.
The next series of posts will put these principles to work along with the Processes and Practices, so success can start to be achieved. All these moving parts are connected in the following way…
Capabilities-Based Planning
One of the root causes of project failure is the apply the First Principle of the Five Principles of project success …
What does Done look like in units of measure meaningful to the design makers?
With the Five Immutable Principles of Project Success in hand, let’s start applying them through some Practices and Processes that implement those practices. There are 5 Practices needed to implement the Five Principles.
The first Practice is to define the needed Capabilities produced by the project. If we’re looking for the units of measure meaningful to the decision makers, they come from the Concept of Operations (ConOps). The ConOps described the user's operational needs, desires, visions, and expectations without being overly technical or formal.?The CONOPS facilitates a shared understanding of ideas, challenges, and issues on the possible solution strategies to the?problem at hand?without addressing the technical solution or implementation. ConOps is the first step in developing system requirements. Without ConOps, the requirements have no place to live.
The ConOps contains the conceptual view of the system and illustrates the top-level functional threads in the proposed system or situation. The CONOPS defines critical, top-level performance requirements (MOP) and business or operational objectives (MOE) stated qualitatively or quantitatively (including system rationale for these objectives).?
The ConOps is based on Systems Engineering analysis of criteria:
The objective of the ConOps is to:
The tangible value of the ConOps is ...
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5 Processes That Implement the 5 Immutable Principles of Project Success
There are five processes needed to implement the 5 Principles of Project Success. These processes represent a sequence of activities that increase the maturity of a project or program's programmatic and technical aspects. The plans that result from these efforts describe the increasing maturity of the product or services that are the deliverables from the program.
These five processes are:
These five process areas must all be present in some form for success. Skipping any process area or performing the process area out of order Capabilities, Requirements, Baseline, and Execution, with Continuous Risk Management, lays the foundation for a Troubled Project.
Each process area builds on the previous area to increase the fidelity of the actionable information needed by the decision-makers. This method is independent of any specific development of engineering process – iterative, incremental, and linear processes are all equally effective.
These Five Processes are related in the following way
With the Concept of Operations in hand, we need to identify the needed Capabilities needed to achieve the project’s objectives or some end state for a specific scenario in the business. Using ConOps, we need to define the details of who, where, and how these scenarios will be accomplished, employed, or executed.
Here are the Process activities, their outcomes or deliverables, and the tangible benefit to the project that define what Capabilities are needed to fulfill the business or stakeholder's ConOps, Mission, or Vision.
10 Practices That Implement the 5 Processes and 5 Principles
With the 5 Processes, let’s look at the Practices that implement those processes. These Practices are focused on using Earned Value Management processes, Risk Management processes, and general government program management processes. Here’s the summary of these practices, and they are related.
The 10 Practices of Project Success guide the application of the Processes from the last post. These Practices encompass the entire life cycle of a project or program, from inception and the discovery of the business or system capabilities, through requirements elicitation, to the creation of the Performance Measurement Baseline (PMB), to the execution of this baseline.
The Practices provide several feedback loops to ensure that subsequent activities provide measurable information to correct gaps in previous activities. This iterative and incremental approach to program management assures the periods of assessment for corrective actions are appropriately spaced to minimize risk while maximizing the delivered value to the program.
The Principles, Processes, and Practices can be the basis of conventional Lean, and Agile program management methods.
The illustration below is the 10 Practices of Performance–Based Project Management?. Each Practice is developed in detail later in this handbook. For now, understanding the dependencies between the principles is important.
Let’s look at some of the details of each Practice
Now for the Hard Part
With the Principles, Practices, and Processes in place, we need to pull all these together into a coherent program management process. Let’s review the Five Immutable Principles. I’ll use charts here instead of words since a Big Visible Chart is a powerful conveyer of information in ways words can never accomplish ? especially in the project management paradigm. Reports and spreadsheets can be read and then ignored. A large chart appropriately placed on a wall in the work area, showing the projects' current status, the work efforts' performance, and the expected outcomes is hard to ignore.
Let’s start with the Five Principles and answer to what degree of fidelity do I need to answer these questions, depending on the complexity of my project. Let’s have 4 levels ? minimal, minor, major, full up government compliance.
The needed Capabilities can be defined across these 4 levels.
The requirements baseline of the technical and operational requirements that implement the needed Capabilities can be defined in 4 levels.
Putting this work and plans on baseline can take on 4 levels as well.
Executing the planned work in the planned order can have different meanings.
Managing the risks from the project uncertainties can have levels of implementation as well.
Each of these processes supports the five Principles. Each can be tailored to meet the needs of the performing organization and the customer. Determining what level is needed for each process is part of the governance process for the project.
Increasing the Probability of Program Success (PoPS) requires asking and answering the 5 Immutable Principles. This is necessary but not sufficient. Health Factors are needed to calculate the probability of program success for success program. These health factors provide objective and quantifiable measures for comparing and evaluating the likelihood of success for a program.
This evaluation and comparison starts with determining the factors and issues that adversely impact the success of the program execution:
Program requirements
Program resources
Program planning and execution
Managing Risk As an Opportunity
With uncertainty comes opportunity. But if a project manager is consumed with managing the risks, there is little time to manage the opportunities. Good risk management is not about fear of failure but about removing barriers to success. This is when opportunity management emerges.
Although risk management, as defined in PMBOK, is useful, a better paradigm to manage both risk and opportunity is “Managing in the Presence of Uncertainty.” Uncertainty is created when risks appear along the path to success. With uncertainty comes opportunity. If the project manager is busy managing the risks, there is little time to manage opportunities ignoring half the management in the presence of an uncertainty equation.?
Some useful definitions for risk/opportunity management:
What is the Intention of Risk Management?
Actively managing risks can increase the probability that a project or program will have a successful outcome. This motherhood statement makes it clear that risk management is part of successful project management as a strategy. Risk management is not an event performed along the way but a continuous process.
Many books, papers, articles, and professional associations describe how to manage risk. One phrase a project manager uses is risk buy down, that is, the buying of information to reduce risk. The purchasing of this information can be explicit: buy a report comparing three products considered as an off-the-shelf solutions rather than analyze them as part of the project. Or, spend money building a prototype to test the structural integrity before committing to manufacturing. Or, pay for a public survey of constituents before rerouting a bicycle path.
The Umbrella of Program Governance
All of the topics – Principles, Processes, and Practices ? in this post belong under the Governance umbrella.
Governance is about decision rights, and those rights are focused on four processes areas:
Each of these process areas is driven by a larger umbrella of the Management of Change as the basis of all program operations and development:
Change Requests – add, change, delete – are the lifeblood of a firm's product and service offerings
Management of any change is required to maintain the following:
Management of Change is the overarching principle for everything we do.
With this governance model, the Immutable Principles, and their Processes and Practices, you are now ready to Increase the Probability of Program Success.
With this Governance model, the next question is, what’s the Value of Governance for project management and for the customer applying the Five Immutable Principles of Project Management?
Here’s a starting framework to answer that question:
The role of Program Governance is to …
The Frame of operations for these governance models is to …
Governance fills the gaps that naturally form between business and technical domains and between management and strategy. Technology and business are readily visible to senior management in traditional IT operations. The visibility into the “white space” activities between technology and business is missing. Managing these gaps is the role of IT Governance.
This structure of Governance, using the Principles, Processes, and Practices of program management, is now the basis of Increasing the Probability of Program Success.
[1] “Technical Measurement,” INCOSE-TP-2003-020-01
Project Manager
1 年The article -amongst other topics- highlights the importance of properly defining "Done" with thorough explanation of steps so no gaps can arise. It's just perfect! (the level NASA works at.) Would software developers (out of NASA) go to that level of highly structured and controlled effort to define and follow up on the progress of completion of elements of their "Definition of Done?" Only if they want their projects to be a sure success!