| Learning Resources » Articles » Combining the ISO 10006 and PMBOK To Ensure Successful Projects |
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Combining the ISO 10006 and PMBOK To Ensure Successful Projects |
| by Michael
Stanleigh |
|
The International Organization for Standardization released a
new standard in the autumn of 2003. Referred to as the, “ISO
10006:2003, Guidelines for Quality Management in Projects”,
it is creating the next wave in our understanding of the management
of projects and is of benefit to consider when planning projects.
This article intends to compare the two guidelines as follows and
provide an interpretation for successful planning of projects. It
will look at:
- How does the content of the ISO 10006 guideline compare to the
Project Management Institute’s (PMI) Project Management
Body of Knowledge (PMBOK)?
- What is the importance of both guidelines to the on-going management
of projects?
- What are the implications of these two guidelines on the management
of all projects?
- What are the strategies required to implement the ISO 10006
and how is the ISO 10006 being applied in organizations?
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| Overview of the ISO 10006:2003 Standard |
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The IS0 10006 guideline outlines quality management principles and
practices as they relate to the management of projects. It provides
the guidance on quality issues that impact projects. It is applicable
to projects of varying complexity, size and length. The guidelines
can be applied to projects managed by an
individual or by a team or for a program (large project comprised
of smaller but interrelated projects) or for a portfolio of projects. |
|
Since the ISO 10006 is a guidance document, its intention is not
for use in certification or registration purposes. Its overall purpose
is to create and maintain quality in projects through a systematic
process that ensures:
- Stated and implied needs of customers are understood and met.
- Interested stakeholders needs are understood and evaluated.
- The organization’s quality policy is incorporated into
the management of projects.
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| What is the Project Management Institute (PMI)? |
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| The Project Management Institute, or PMI as it is known, is the
world’s leading not-for-profit professional association for
project management dedicated to the advancement of the profession
of project management. |
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| What is the PMBOK? |
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| PMBOK is PMI’s Project Management Body of Knowledge. It describes
the sum of knowledge generally accepted within the profession of project
management. “Generally accepted” means that the knowledge
and practices described are applicable to most projects, most of the
time, and that there is widespread consensus about their value and
usefulness. The overall purpose of the PMBOK is to provide a common
lexicon within the project management profession and practice for
talking and writing about Project Management. |
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| Comparing the ISO 10006 Standard and the PMBOK |
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| There is much discussion as to whether a project should follow the
PMBOK or the ISO 10006 guidelines or both. Through this comparison
and interpretation of each of the major sections I will provide some
answers to this question. |
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| What is a Project? |
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| The ISO 10006 definition of a project, although correct, is rather
wordy. The definition from PMBOK is more concise and to the point.
“Temporary,” according to PMBOK, means that there must
be a start and finish date to the project. As well, PMBOK includes
the definition that “All projects deliver a product, service
or other measurable end result.” The ISO 10006 focuses on the
process of getting to it. |
|
| ISO 10006
states… |
PMBOK states… |
| What
is a Project? -3.5
Unique process consisting of a set of co-ordinated and controlled
activities with start and finish dates, undertaken to achieve
an objective conforming to specific requirements, including
constraints of time, cost and resources. |
Section
1.2
A temporary endeavour undertaken to create a unique product
or service. |
|
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| Characteristics of a Project |
|
| In comparing the ISO 10006 Standard, Section 4.1 with PMBOK, Section
1.2, PMBOK provides a more succinct definition. All projects are planned,
executed and controlled. Otherwise, how can one know whether or not
they’re on track? Furthermore, people perform projects. How
else will anything get done? All projects are constrained by limited
resources. It is the nature of all projects that they will always
want more time and/or money and/or people. The ISO 10006 defines a
project as including non-repetitive phases. However, this is not always
the case on a project. At times, phases may be repeated. But the end
result may be unique. Again, the PMBOK definition here is better suited
to defining the project. I am concerned that the ISO 10006 suggests
that a project should deliver minimum quality results. Rather, a project
should deliver all expected quality deliverables as defined in the
scope of the project |
|
| ISO 10006 states… |
PMBOK states… |
Characteristics of a Project -4.1
- Unique, non-repetitive phases consisting of processes
and activities.
- Have some degree of risk and uncertainty.
- Expected to deliver specified (minimum) quality results
within pre-determined parameters
- Have planned start and finish dates, within clearly specified
cost and resource constraints
- May be a long duration and subject to changing internal
and external influences over time.
|
Section 1.2
- Performed by people.
- Constrained by limited resources.
- Planned, executed, and controlled.
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|
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| What is a Quality Plan? |
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| The definitions that ISO 10006 AND PMBOK provide for identifying
quality standards, although stated differently, are similar. All projects
must identify the quality policy and standards that are applicable
and how the project management team will implement its quality policy.
These standards are then put into the project plan with a process
that can identify whether or not the team is managing the project
in accordance with the quality policy that has been established. |
|
| ISO 10006 states… |
PMBOK states… |
What is a Quality Plan? -4.2.3
- Document specifying which procedures and associated resources
shall be applied by whom and when, to a specific project,
product, process or contract.
|
Section 8.1
- Identifies which quality standards are relevant to the
project and determines how to satisfy them.
- Describes how the project management team will implement
its quality policy.
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| Quality Management Principles through the Strategic Process |
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| ISO 10006 provides nine (9) major steps to consider for the strategic
process that include: Customer Focus, Leadership, Involvement of People,
Process Approach, System approach to Management, Continual Improvement,
Factual approach to Decision Making and Mutually beneficial Supplier
Relationship. |
|
PMBOK provides detail in the Project Quality Management section including:
Project Stakeholders, Key General Management Skills, Organizational
Structure, Administrative Closure and Project Procurement Management. |
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Management’s Responsibility
The ISO 10006 also includes that senior management have a role to
play in overseeing projects to ensure success. They do this by providing
support, approvals, etc. Their understanding of what they need to
do to ensure project success is important. Unfortunately, the PMBOK
does not touch on this important aspect of project management. |
|
| The ISO 10006 emphasizes the need for projects to be strategically
aligned while the PMBOK does not touch on this important aspect of
project management. Projects that aren’t somehow linked to a
departmental or organizational strategy risk failure. Shifting organizational
priorities will place them at the bottom of the list. Only strategically
aligned projects are kept as high priority. In deciding which projects
should remain and which should be eliminated, sound decision-making
processes are important to have in place. |
|
| ISO 10006 states… |
PMBOK states… |
| Application of quality management principles through
the strategic process –5.2.1
Planning for the establishment, implementation and
maintenance of a quality management system based on the application
of the quality management principles is a strategic, direction-setting
process. |
Project Quality Management -8
Includes processes required to ensure the project will satisfy
the needs for which it was
undertaken. It includes all activities of the overall management
function that determine the quality policy, objectives, and
responsibilities and implements them by means such as quality
planning, quality assurance, quality control and quality improvement
within the quality system. |
|
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| Management Commitment
The PMBOK describes the definitions and suggested tools for the management
of projects, but does not go to the next level of identifying the
importance of management in ensuring a project’s success. In
comparison, the ISO 10006 is very strong in this area and provides
more guidance than PMBOK. Many projects suffer because of the lack
of support of management. Management must act in the role of Project
Sponsor and/or as functional managers who commit resources to the
project team. They have a clear responsibility that must be defined. |
|
| ISO 10006 states… |
PMBOK states… |
| Management Commitment 5.1
Commitment and active involvement of top management
of the originating and project organizations are essential
for developing and maintaining an effective and efficient
quality management system for the project. |
No reference to management committment is included. |
|
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| Customer/Stakeholder Focus
Customer focus on projects is crucial for success according to
the ISO 10006. The ISO 10006 Standard mentions that the project process
is interrelated to other processes within the organization and recognizes
that all work is a process. This aspect of project management is not
included in the PMBOK. |
|
| The PMBOK is excellent in its inclusion of a section on project
quality management that details the need for projects to include quality
standards and to put in place, specific activities that will ensure
that the standards are being met. PMBOK also describes the various
stakeholders, including the customers that must be identified who
are impacted by the project. It discusses Matrix Management, including
the need for management to provide the resources to a project to ensure
its success. And it expands on the procurement process. |
|
| ISO 10006 states… |
PMBOK states… |
| Customer Focus -5.2.2
Organizations depend on their customers and therefore should
understand current and future customer needs, should meet
customer requirements and strive to exceed customer expectations. |
Project Stakeholders –2.2
Stakeholders are individuals and organizations that are actively
involved in the project or whose interests may be positively
or negatively affected as a result of project execution or
project completion. Project Stakeholders must be identified,
their needs must be determined and they must be managed to
ensure a successful project. |
|
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| Leadership/General Management
PMBOK guidelines in the area of quality management are clear and easy
to follow. It tries to ensure that the project is managed in a quality
way, following established quality policy and standards for the organization.
Both the PMBOK and ISO 10006 are clear on the importance of the customer,
although the PMBOK does a better job of describing the need to identify
the customer, determine their requirements and manage these requirements
throughout the project. |
|
| The ISO 10006 includes a discussion on the need for continual improvement
on a project and this is also included in the PMBOK as a part of the
closeout evaluation of the project. Neither discusses or recommends
how this knowledge should be captured and how it can be transferred
to others. |
|
| ISO 10006 states… |
PMBOK states… |
| Leadership -5.2.3
Leaders establish unity of purpose and direction
of the organization. They should create and maintain the internal
environment in which people can become fully involved in achieving
the organization’s objectives. |
Key General Management Skills 2.4
General management skills provide the foundation
for building project management skills. They are often essential
for a project manager. On any given project, skill in any
number of general management areas may be required including
Leading, Communicating, Negotiating, Problem Solving and Influencing
the Organization. |
|
|
| Involvement of People
The ISO 10006 describes the need for a mutually beneficial supplier
relationship but the PMBOK is not as clear in this area. The PMBOK
mentions the need for good contractual agreements but this isn’t
quite the same. A good contract doesn’t always equate to a mutually
beneficial supplier relationship. Current approaches to the management
of projects emphasize a need for the internal organization’s
project plan to be merged with the supplier’s. This ensures
that critical inter-dependencies are identified and managed. |
|
| ISO 10006 states… |
PMBOK states… |
| Leadership -5.2.3
Leaders establish unity of purpose and direction
of the organization. They should create and maintain the internal
environment in which people can become fully involved in achieving
the organization’s objectives. |
Key General Management Skills 2.4
General management skills provide the foundation
for building project management skills. They are often essential
for a project manager. On any given project, skill in any
number of general management areas may be required including
Leading, Communicating, Negotiating, Problem Solving and Influencing
the Organization. |
|
|
| Process & System Approach to Management
ISO 10006 recommends a process and system approach for project planning
while PMBOK provides more specific direction with respect to organizational
structure and focuses on quality improvements. |
|
| ISO 10006 states… |
PMBOK states... |
| Process approach -5.2.5
A desired result is achieved more efficiently when activities
and related resources are managed as a process. |
Organizational Structure –2.3.3
The structure of the organization often constrains the availability
of the resources. In a matrixed organizational structure,
the project manager shares responsibility with the functional
managers for assigning priorities and for directing the work
of individuals assigned to the project. |
| System approach to management -5.2.6
Identifying, understanding and managing interrelated processes
as a system contributes to the organization’s effectiveness
and efficiency in achieving its objectives. |
Key General Management Skills -2.4
As explained above, general management is a broad subject dealing
with every aspect of managing an on-going enterprise. |
| Continual improvement -5.2.7
Continual improvement of the organization’s overall performance
should be a permanent objective of the organization. |
Administrative Closure –10.4
Includes processes for closing projects, retaining lessons learned
and archiving documentation. |
| Factual approach to decision making -5.2.8
Effective decisions are based on the analysis of data and information. |
Key General Management Skills -2.4
Includes need for project managers to have good problem
solving skills. |
| Mutually beneficial supplier relationship -5.2.9
An organization and its suppliers are interdependent and a mutually
beneficial relationship enhances the ability of both to create
value. |
Project Procurement Management –12
Includes the processes required to acquire services from outside
the organization. |
|
|
| Management Reviews/Communication
The ISO 10006 describes the process of regular reporting to management
about the project and the project’s ability to meet its quality
management plan. In comparison, the PMBOK contains information about
the need to establish a quality management plan, but does not include
any specific information regarding the process of communicating this
to management. However, PMBOK discusses the need to communicate to
all stakeholders, including management, about the project’s
progress. One could surmise that this would include the ability of
the project to meet its quality standards. Overall, the ISO 10006
is clearer on the need of management to be involved in the quality
of the project. |
|
| ISO 10006 states… |
PMBOK states… |
| Management Reviews –5.3.1
The project organization’s management should review
the project’s quality management system, at planned
intervals, to ensure its continuing suitability, adequacy,
effectiveness and efficiency. |
Communications Planning –10.1
Determining the information and communication needs of the
stakeholders; who needs what information, when will they need
it and how it will be given to them. |
| Progress Evaluations –5.3.2
These should cover all the project’s processes and provide
an opportunity to assess the achievement of the project objectives.
This will provide significant information on the project’s
performance. |
|
|
Resource Management - Resource-Related Processes
The ISO 10006 outlines the process for identifying and acquiring resources
for the project. It includes a description of how to review the resource
requirements. The PMBOK is similar but emphasizes the contract itself,
rather than the process of acquiring and managing the resources. |
|
| ISO 10006 states… |
PMBOK states… |
| Resource-related processes -6.1
These are the processes to plan and control resources, which help to identify any potential problems.
Resources are defined as equipment, facilities, finance, information, materials, personnel,
services, etc. |
Project Procurement Management –12
Includes the processes required to acquire goods and services
from outside the organization and the managing of the relationship
with the seller. |
|
|
Personnel-Related Processes
Both the ISO 10006 and PMBOK describe the need for a clear project
organizational structure and include points that focus on the need
to acquire, train and manage the project’s staff resources.
As well, both guidelines discuss the need to be clear on the competencies
of personnel and address the requirement for developing the team.
Overall, each guideline identifies that the project manager must enhance
the ability of stakeholders to contribute as well as the ability of
the team to function. |
|
| ISO 10006 states… |
PMBOK states… |
Personnel-related processes -6.2
The quality and success of a project will depend on the participating
personnel. The personnel related processes include:
- The establishment of the project organizational structure.
- The allocation of personnel.
- Team development.
|
Organizational Structure –2.3.3
This includes functional and projectized structures.
Staff Acquisition –9.2
Getting the human resources needed, assigned to and working
on the project.
Team Development –9.3
Enhancing the ability of the team to function, ensuring the
project’s success. |
|
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| Product Realization |
|
Comparing ISO 10006 with PMBOK, I would say that the ISO 10006 is
more process oriented in its description of the processes required
for a project to be successfully managed so that it meets all of the
needs of the original objectives and the stakeholder requirements.
ISO 10006 identifies seven project management process groupings necessary
to produce the project’s product. These relate to the project
process they include in Element 4.1.4, which are: planning, organizing,
monitoring, controlling, reporting and taking corrective actions on
a continual basis. However, the ISO 10006 project management process
groupings do not appear to follow in a logical sequence. While each
process needs to be done at various
times during the course of managing the project from beginning to
end, it is not clear as to the sequence in which the steps are to
be taken. |
|
| The ISO 10006 guideline’s description within each project
management process group is excellent. However, where each one of
these project management process groupings should be included, that
is; in what process within the project itself, is identified within
some of the groupings, but not all of them. For example, ISO 10006
states that Risk Identification should be performed at the initiation
of the project, although Initiation isn’t mentioned in the project
process. In the Communication grouping, it states that there should
be a communication plan, but no mention is made as to where within
the project process this communication plan should be included. |
|
| In my view, each project management process grouping should have
a task list or a work breakdown structure (WBS) incorporated into
one master project plan. This is not articulated very clearly in either
the ISO 10006 or the PMBOK. |
|
| The PMBOK has broken down the process of managing a project into
five (5) processes: Initiating, Planning, Controlling, Executing and
Closing. To locate what has to be done within each process is difficult.
The five processes are not organized in the PMBOK in a process-oriented
manner. While the actual description of each element within each process
is clear as to the tools, templates and techniques to use and the
definitions to follow, no clear process on how to do these is mentioned.
That is, PMBOK does not clarify, what is the process of assessing
risk, managing change, and so on. |
|
| In both the ISO 10006 and the PMBOK it is difficult to know what should
be done for a project that is small versus one that is large. Do you
do everything for both? How does one make this decision? |
|
| ISO 10006 states… |
PMBOK states… |
Seven project management process groupings necessary to
produce the project’s product:
1) Interdependency-related processes – 7..2
2) Scope-related processes – 7.3
3) Time-related processes – 7.4
4) Cost-related processes – 7.5
5) Communication-related processes – 7.6
6) Risk-related processes –7.7
7)Purchasing-related processes -7.8 |
Project management processes (3.2) can be organized into five groups of one or more processes:
1) Initiating processes -3.3.1
2) Planning processes –3.3.2
3) Executing processes –3.3.3
4) Controlling processes -3.3.4
5) Closing processes -3.3.5 |
|
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| Measurement Analysis & Improvement
Both the ISO 10006 and the PMBOK clearly identify the need for projects
to have a process of closure, evaluation and lessons learned documentation.
Furthermore, they each state that a system should be established to
retrieve these lessons learned so that knowledge from one project
to another can be obtained and transferred. But how the knowledge
is actually transferred, is missing from both. |
|
| ISO 10006 states... |
PMBOK states... |
8.1 - Improvement-related processes
Provides guidance on how the organization and project should
learn from projects.
8.2 - Measurement and Analysis
States that the organization needs to ensure that measurement;
collection and validation of data, are effective and efficient
in order to improve the organization's performance and
enhance the satisfaction of customers and other interested
parties.
8.3 - Continual Improvement
States that the organization should define the information
it needs to learn from projects and establish a system for
identifying, collecting, storing, updating and retrieving
information from projects. The organization should design
the project’s information management system to implement
the requirements specified
for learning from the project by the organization. |
10.4 - Administrative Closure
Includes processes for closing projects; collecting project
records; analyzing project success, effectiveness and lessons
learned; and archiving this information for future use. |
|
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| Importance of the ISO 10006 Standard to the On-going
Management of Projects |
|
| The ISO 10006 provides project process guidance.
A project, like all work, is a process. The process of managing a
project is a repeatable process although the content of each project
is unique. Many projects suffer because they have no clear process
on how they will be managed from beginning to end. |
|
| The ISO 10006 provides guidance on a process to close and
evaluate a project in order to retain the knowledge gained for future
project managers and project teams.
Lessons Learned and Knowledge Retention help to create project templates
that are re-usable tools. The ISO 10006 provides guidance on a process
to close and evaluate a project in order to retain the knowledge gained
for future project managers and project teams. This ensures project
templates become re-usable tools. |
|
| The ISO 10006 provides the guidelines to ensure that all
projects are managed by following sound quality management principles.
That is, ISO 10006 recognize that projects are managed as
a process…not as a set of unrelated tasks to be done. All projects
can be audited by following these guidelines. Projects that follow
this guideline have a higher likelihood of success because they will
have quality standards established and followed. These quality standards
will be clearly documented. |
|
| Implications of the ISO 10006 Standard and PMBOK on the
Management of all Projects |
|
| The PMBOK and ISO 10006 Standard present a set of knowledge and
guidelines relating to the management of projects. However, projects
could never be successfully managed by following these guidelines
alone. |
|
| Neither standard identifies the process of managing a project from
beginning to end in a logical sequence. (That is, what is the first
thing to do, second thing to do, etc.). They both identify the global
processes, but not the steps necessary within each one and do not
include what is the process of successfully managing a project from
beginning to end. Nor do they identify how to use the guidelines for
a small versus a large project. |
|
| The stages within the management of a project are clearly identified
both in the PMBOK – the 5 processes of Initiating, Planning,
Controlling, Executing and Closing and in the ISO 10006 – planning,
organizing, monitoring, controlling, reporting and on-going corrective
actions. |
|
| It is the ISO 10006 that explains how to do other processes within
each stage. For example, ISO 10006 explains how to do a risk assessment
or manage a change request, etc. However, it is not always clear about
where each of these processes fit into the overall process of managing
the project. That is, at which stage they are to be done. |
|
| The best guide to the management of all projects is to apply a combination
of the ISO 10006 standards and the PMBOK guidelines. When auditing
a project, the ISO 10006 provides clearer guidelines to follow to
ensure adherence to quality standards. However, auditing a project
using the PMBOK is a challenge. A project may use many of the elements
of the PMBOK but may still not be clear on their process of ensuring
quality and therefore success. |
|
| Strategies For Successful Projects |
|
The management of all projects requires knowledge contained in both
the PMBOK and ISO 10006. There is duplication between them but also
differences. In combination, they support an important body of knowledge.
The best overall strategy to implement the ISO 10006 is:
- Review and understand the PMBOK.
- Review and understand the ISO 10006.
- Develop a clear process or methodology for the management of
projects from beginning to end. Recognize that this is a framework
only. Projects vary in size and scope and this process must be
adaptable to these various needs.
- Develop a process for key elements within the project. That
is, a risk management process, change management process, communication
process, stakeholder management process, etc.
- Develop quality standards. These quality standards identify
what will be done from the beginning to the end of the project
to ensure that all of the original deliverables are met, the stakeholder
requirements are met, and the project resources are well-managed,
thereby ensuring the end result of the project meets all expectations.
- Incorporate all of these processes into one master project
plan so that it is always evident whether or not everything that
needs to be done, according to the established quality standards,
is done.
- Audit your projects to ensure they are being managed as a quality
project. Use the ISO 10006 guidelines for this.
- Ensure that all projects have a clear closeout and evaluation
process and that the lessons learned are captured.
- Transfer the knowledge from the lessons learned to new projects.
|
|
| How is the ISO 10006 Standard being applied in organizations? |
|
Business Improvement Architects uses the ISO 10006 Guidelines to
audit projects in order to ensure compliance to these guidelines.
For example, we will review all project documentation to ensure that
the processes of:
- Managing each project is clear and well documented.
- Creating and maintaining the team is documented.
- Managing change on the project is apparent and documented.
- Managing risk is continuous, is documented and followed.
- Reviewing task completion is documented and followed.
- Reviewing the budget is documented and followed.
- Closing and evaluating the project is documented and followed.
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|
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| About the Author |
|
| As President and CEO of Business Improvement Architects, Michael works with executives and senior managers around the world to help them improve operational effectiveness through strategic planning, leadership development, project management and quality management. He has been instrumental in helping his clients reduce waste and increase efficiencies and profits with his clear processes and quality approach. |
|
| For more information about this article, please contact
bia(TM) at info@bia.ca. |
|
|
| Michael Stanleigh is author of the global report: “From
Crisis to Control: A New Era in Strategic Project Management”.
For more information about this report, please contact
bia(TM) at info@bia.ca. |
|
|
| © Business Improvement Architects |
