PMI Virtual Library

2010 Valentin Kouprine, Michael K. Fontaine, and Tim Cook

Project Management Documentation

for Engineering and Construction
Projects
By Valentin Kouprine, PMP, PhD, P.Eng, Michael K. Fontaine, P.Eng, CMC, and Tim Cook

A
project management system consists of a set of
relevant processes, tools, techniques, methodologies,
Customer Performing Project Third Parties
resources, and procedures used to manage a project. Organization (including agencies ,
governmental bodies ,
This article presents a framework for organizing the Policies Project
contractors and suppliers )

Charter
documents associated with a project management system and Policies
suggests ways of improving these documents. and Project
Charter Policies Policies
All major project stakeholders that are actively involved in
the project (e.g., customer, performing organization, project
manager and project team members, governmental bodies Standards Functional Guides

Project
and agencies, and contractors and suppliers) will influence Standards ,
Guides and
Execution Standards and
Codes
Strategy
the preparation of project management documentation. Strategy

Stakeholder requirements and documentation (policies, Standards

standards, guides, plans, and procedures) must be properly Project Project Project Execution
defined, analyzed, and reflected in the project management Execution
Plan
Execution
Plan
Plan/Project Quality
Plan
documentation. Figure 1 presents the hierarchy of stakeholder
documents associated with the preparation of project Plans,
Procedures
Project Procedure
- multiple
Manual (PPM)
functional
Procedures
management documentation. and Procedures
groups
(SPM) Work Inspection and Test
Instructions Plan
Manuals
In Figure 1, the vertical flow indicates the sequence in Procedures
- single
which documents are prepared. Earlier documents serve as functional
groups

the basis for later documents, but the later documents take
precedence over the earlier documents. The horizontal flow User Manuals Procedures

indicates the input of organizational documents into the

project documents. Organizational documents serve as the Templates
and Forms

basis for project documents, but the project documents take Templates
and Forms
Templates
and Forms
Templates and
Forms
precedence over the organizational documents. Templates and
Forms
An organization has flexibility in the way it chooses
to document its project management system, and each
organization must develop the documentation it needs Figure 1: Preparation of Project Management Documentation.
to effectively execute projects. At a minimum, the project
management documentation should include the following
major documents:
Project execution strategy (PES): a high level execution
frameworkfor the project that takes into account project
policies and objectives; it sets the direction for the co-
ordinated use of resources and:
creates a common understanding and commitment
to project objectives within the project team;
facilitatesearlyrecognitionofmisalignmentandin-
validassumptions;
ensures the consistency of approaches;
provides a sound basis for the development of a
detailed project execution plan (PEP) and project
procedures manual (PPM); and
enhances the integration and trust between the cus-
tomer and project team
Project execution plan (PEP): a detailed description
of how the project will be executed and a collection of
the project-specific information required to execute the
project. A number of subsidiary plans are assembled
to create the PEP. The specific contents of these
subsidiary plans depend on the project delivery method
selected for engineering and construction projects. The
subsidiary project plans include: a scope management
plan, a cost management plan, a quality management
plan, a human resource (HR) management plan, a
communications management plan, a risk management
plan, a procurement management plan, an engineering
management plan, a construction management plan,
a commissioning management plan, and a health and
safety management plan. Other key components of
the PEP includeproject-specific information, such as
the work breakdown structure (WBS), procurement
package list, organization chart, document distribution,
and handover matrices. The PEP describes how project
policies, procedures, and protocols will be applied to
accomplish project objectives in accordance with the
PES.
Project procedures manual (PPM): a compilation of all
the project procedures. Typically, the PPM consists of:
organizational procedures multiple functional
groups;
organizational procedures single functional
group; and
project work instructions
PMI Virtual Library | www.PMI.org | 2010 Valentin Kouprine, Michael K. Fontaine, and Tim Cook
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Organizational procedures multiple functional
groups: standard procedures applicable to all projects
that focus on the relationships among different func-
tional groups. These procedures define the tasks associ-
ated with project processes and the functional group
responsible for each task. The procedures are organized
according to the framework discussed below and as
shown in Figure 2. These standard procedures are not
revised for a given project and are independent of the
specific system or software used for project manage-
ment. If one of these standard procedures requires
modification, it is via notes in the project execution plan
or preparation of a project-specific work instruction. As
a rule, these procedures are organized into a standard
procedures manual (SPM). The SPM is a basic compo-
nent of the PPM.
Organizational procedures single functional group:
procedures applicable to all projects that define how
individual functional groups complete each task from
the multiple functional group procedures discussed
above. These procedures are very detailed and are based
on a specific project management system and software.
They are of interest only to members of the applicable
functional group and belong to that functional group.
Project work instructions (WIs) project-specific
documents that supersede the organizational procedures
described above or provide additional details.
The information defining how to manage and execute a
project is included in the PEP and the PPM. The differences
between these documents must be clearly distinguished.
There are a number of issues frequently encountered
during PEP and PPM preparation; these issues and the
means of addressing these issues are discussed below:
Consistent framework: Due to the lack of the overall
framework and explicitly defined responsibilities, each
functional group often prepares project documents
without taking into account the inter-relationships with
other functional groups.
To avoid this problem and simplify preparation, storage,
retrieval, and understanding, all documents related to the
execution of specific activities within the project should be
organized according to a single overarching framework. A
Guide to the Project Management Body of Knowledge (PMBOK
Guide)Fourth edition, is one such framework that can be
used for the PEP and SPM. One of the biggest advantages of
the PMBOK Guide lies in the fact that it is internationally
recognized.
The PMBOK Guide organizes project management into
five Process Groups of two or more processes each:
Initiating Process Group: recognizing that a project
should begin and committing to do so;
Planning Process Group: devising and maintaining a
workable scheme to accomplish the business need that
the project was undertaken to address;
Executing Process Group: coordinating people and
other resources to carry out the plan;
Monitoring & Controlling Process Group: ensuring
that project objectives are met by monitoring and
measuring progress and taking corrective actions when
necessary; and
Closing Process Group: formalizing acceptance of the
project and bringing it to an orderly end.
These five Process Groups have interdependencies and
are performed on each project. The processes are linked by
the results they producethe result or output of one process
becomes an input to another.
The project management processes for engineering
and construction projects are shown by Process Group and
area of activity in Figure 2. For each process, a standard
organizational procedure covering multiple functional groups
defines the requirements and responsibilities.
The PEP is organized according to the same framework
as the SPM. This leads to the following PEP sections and/or
SPM groups (The individual procedures associated with each
SPM group are also shown. The procedure numbers shown
correspond with the numbers shown in Figure 2):
Introduction/Overview: based on the specific clauses of
the contract between the customer and the performing
organization, including a project description, references
to the contract, project objectives, and execution
strategy;
Project Integration Management:0001 Develop Project
Charter, 0002 Develop Project Execution Plan, 0003
Direct and Manage Project Execution, 0004 Monitor and
Control Project Work, 0005 Perform Integrated Change
Control, and 0006 Close Project or Phase;
Project Scope Management: 0007 Collect
Requirements, 0008 Define Scope, 0009 Create WBS,
0010 Verify Scope, and 0011 Control Scope;
Project Time Management: 0012 Define Activities,
0013 Sequence Activities, 0014 Estimate Activity
PMI Virtual Library | www.PMI.org | 2010 Valentin Kouprine, Michael K. Fontaine, and Tim Cook
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Resources, 0015 Estimate Activity Durations, 0016
Develop Schedule, and 0017 Control Schedule;
Project Cost Management:0018 Estimate Costs, 0019
Determine Budget, and 0020 Control Costs;
Project Quality Management: 0021 Plan Quality, 0022
Perform Quality Assurance, and 0023 Perform Quality
Control;
Project Human Resource Management: 0024 Develop
Human Resource Plan, 0025 Acquire Project Team, 0026
Develop Project Team, and 0027 Manage Project Team;
Project Communication Management: 0028 Identify
Stakeholders, 0029 Plan Communications, 0030
Distribute Information, 0031 Manage Stakeholders
Expectations, and 0032 Report Performance;
Project Risk Management: 0033 Plan Risk
Management, 0034 Identify Risks, 0035 Perform
Qualitative Risk Analysis, 0036 Perform Quantitative
Risk Analysis, 0037 Plan Risk Responses, and 0038
Monitor and Control Risks;
Project Procurement Management: 0039 Plan
Procurement, 0040 Conduct Procurements, 0041
Administer Procurements, and 0042 Close Procurements;
Project Engineering Management: 0043 Generic
Engineering Design Process, 0044 Design Review, 0045
Checking Engineering and Other Documents, and 0046
Progress and Performance Measurement;
Project Construction Management: 0047 Generic
Construction Management Process;
Project Commissioning Management: 0048 Generic
Commissioning Management Process;
Project Health and Safety Management: 0049 Generic
Health and Safety Management Process; and
Glossary: defines all of the terms and acronyms used on
the project.
In the simplest case, the cost management section of the
PEP, for example, will state that cost control on the XYZ
project will be in accordance with standard organizational
procedure 0020 Control Costs. More likely, the cost
management section of the PEP will state that cost control
on the XYZ project will be in accordance with standard
organizational procedure 0020 Control Costs, with the
following exception: exception #1, etc. Finally, if there are
too many exceptions to the standard procedure, the cost
management section of the PEP will state cost control on the
XYZ project will be in accordance with project-specific work
instruction (WI) No. XXX.
 Develop
Develop Project
Project Execution
Charter Plan
0001 0002

Collect
Legend Require-
ments
Define
Scope
Create WBS
0009
0008
0007
Project Integration Management

Project Scope Management

Project Time Management

Project Cost Management

Estimate Estimate
Project Human Resource Define Sequence Develop
Activity Activity
Management Resource Activities Activities Schedule
0012 Durations 0013
Proejct Quality Management 0014 0015 0016
Project Communication
Management
Project Procurement Management

Project Risk Management

Project Engineering Management

Estimate Determine
Project Construction Management Cost Budget
Project Commissioning 0018 0019
Management
Project Health & Safety
Management

A
Develop
Human
Resource
Plan
0024

Plan
Quality
0021

Plan
Identify Communi-
Stakehol- cations
ders 0029
0028
Planning Processes
Initiating Processes

Plan
Procurement
0039

Perform Perform
Plan Risk
Identify Qualitative Quantitative Plan Risk
Manage-
ment Risks Risk Risk Responses
0034 Analysis Analysis 0037
0033
0035 0036

Figure 2 (Part I): Project Management Processes (continued with Part II on the next page).

PMI Virtual Library | www.PMI.org | 2010 Valentin Kouprine, Michael K. Fontaine, and Tim Cook
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 Direct and Monitor and Perform Close
Manage Control Integrated
Project
Project Project Change
or Phase
Execution Work Control
0006
0003 0004 0005
Generic
Engineering
Design
Process
0043

Verify Control
Scope Scope
Generic 0010 0011
Construction
Management
Process
0047

Generic Control
Generic
Com- Schedule
Com-
missioning 0017
missioning
Management
Process
0048

Generic
Generic&
Health
Health
Safety& Control
Safety
Management Costs
Process
Process 0020
0049

A
Acquire Develop Manage Checking
Project Project Project Design Engineering
Team Team Team Review and Other
0025 0026 0027 0044 Documents
0045

Perform Perform
Quality Quality
Assurance Control
0022 0023

Progress and
Performance
Monitoring and Controlling Processes

Measurement
0046

Manage
Distribute Report
Stakeholder
Information Performance
Expectations
0030 0032
0031
Executing Processes

Close
Conduct Administer
Procure -
Procurement Procurements ments
0040 0041
0042
Processes
Closing

Monitor
and Control
Risk
0038

Figure 2 (Part II): Project Management Processes (continued from Part I on the previous page).

PMI Virtual Library | www.PMI.org | 2010 Valentin Kouprine, Michael K. Fontaine, and Tim Cook
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 Consistent Table of Contents and Format: There is
often no standard format, layout, or table of contents for
the different sections of PEPs and PPMs. The result is a
collection of documents that are difficult to use.
For ease of writing and understanding, all documents
of a specific type should have a standard table of contents,
which allows users to quickly find the information they need.
A standard table of contents can be used for each procedure,
whereas another similar table of contents can be used for each
section of the PEP. One standard table of contentsthat can be
used isas follows:
Cover Page (with signatures for Prepared by, Reviewed
by, and Approved by);
Table of Contents;
Introduction;
Purpose;
Responsibilities;
Scope;
Definitions;
Process;
Inputs/Prerequisites (SPM only);
Tools/Techniques (SPM only);
Outputs (SPM only);
Supporting Documents;
Related Procedures (SPM only);
Associated Forms;
References; and
Appendices.
Each procedure includes a flowchart defining process
tasks. The flowchart shows how various elements of a system
interrelate, outlines the links of inputs and outputs with
other project processes, and allows the user to quickly locate
any referenced document. A sample flowchart for standard
organizational procedure 0024 Develop Human Resource
Plan is presented in Figure 3.
Alignment between PEP and PPM: In some cases,
the same information is presented in both the PEP and
PPM, whereas in other cases, conflicting information is
presented. As well, some of the information required is
not included in either the PEP or PPM. Careful review
and alignment of the PEP and PPM are required during
the preparation of the project documentation.
Creation of Separate Documents: A typical PEP is a
single document with multiple sections, which makes
the initial issue of the PEP more complicated, because
all sections are required at the same time, making
subsequent revisions more difficult. Each section of the
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PEP should be prepared as a stand-alone document that
is individually managed. As a result, each functional
manager is responsible for his or her section of the PEP
and has the ability to revise and re-issue it as required.
Use of Standard/Consistent Terminology: Frequently,
the different sections of PEPs and PPMs do not use
common terminology, which causes confusion and makes
communication more difficult. Standard PMI (Project
Management Institute) terminology and standard
project-specific terms must be included in a single project
glossary to avoid confusion.
Document Revision: All project management documents
need to be revision controlled, which includes a signed
cover page with indication of the versions of documents
that may be accessed through an organizations document
management system. This ensures that users know that
the documents are indeed ready for use and have gone
through a documented review/approval process. It also
provides users with the names of persons to contact if
they have questions about a document. Access to the
native files of documents should be restricted so that users
cannot modify standard organizational documents.
Make It Easy for Users: Live electronic links in the PEP
and PPM to reference documents and forms simplify
information access; thus, users accessing the PEP or
PPM online can access any referenced document quickly.
However, most of the referenced material is included as
appendices as well. A lot of users prefer hard copies, in
which case the links will not work. Also, the hard copies
of both the PEP and SPM can be issued in paperback
formats (5.5 inches by 8.5 inches). This makes it easy
for users to carry the documents and refer to those
documents when needed.
Conclusion
The PEP and PPM are two major sets of project management
documents that are necessary for successful execution of
engineering and construction projects.
The PMBOK Guide can be used as the framework
for organizing both the PEP and SPM, which are basic
components of the PPM. This common framework helps
eliminate gaps and overlaps in content, reduces confusion,
makes searching for information easier and more intuitive,
and simplifies the process of document preparation during the
course of the project.
The PPM captures the SPM, single functional group
procedures, and WIs in one place. The SPM contains
standard procedures representing an organizations best
practice for executing projects that should be followed on
 Project Human Resource Management
0024 Develop Human Resource Plan
Project Management Team* Project Manager Customer
Task Description
A B C

Human Resource (HR) planning is the process of identifying , and

documenting project roles and responsibilities , and reporting
relationships , as well as creating the HR Management Plan
0002
(staffing management plan).
A1 B1
Enterprise A1/B1. Some of the relevant enterprise environmental factors involving
Environmental Factors organizational culture and structure are: organizational; technical;
interpersonal; logistical; political.
In addition, constraints limit the project teams options , e.g.:
0002 organizational structure; collective bargaining agreements; economic
A2 conditions.
B2 A2/B2. As project management methodology matures within an
Organizational organization, lessons learned from the past Human Resource Planning
Process Assets
experiences are available as organizational process assets to help plan
the current project.
Templates and checklists reduce the amount of planning time needed
at the beginning of a project and reduce the likelihood of missing
0014 important responsibilities. Templates that can be helpful in human
A3 B3 resource planning include project organization charts, position
Activity Resource descriptions, project performance appraisals, and a standard conflict
Requirements management approach. Checklists that can be helpful in human
resource planning include common project roles and responsibilities,
typical competencies , training programs to consider , team ground
rules, safety considerations, compliance issues, and reward ideas.
A3/B3. The Project Execution Plan includes the activity resource
requirements, plus descriptions of project management activities , such
as quality assurance , risk management, and procurement, that will help
the project management team identify all the required roles and
responsibilities.
Human Resource Planning uses activity resource requirements to
determine the human resource needs for the project . The preliminary
A4 B4 requirements regarding the required people and competencies for the
project team members are refined as part of the HR Planning process .
Determine Analyze input information
A4/B4. The human resource planning process tools and techniques
using human resource
project roles, planning process tools and
can include:
responsibilities techniques - organizational charts and position descriptions (generally three types
of formats are used to document organization charts and position
and develop descriptions: hierarchical, matrix, and text-oriented. Additionally, some
Human project assignments are listed in subsidiary project plans , such as the
Resource risk, quality, or communication plans. Whichever combination of
A5 B5
Management methods is used , the objective is ensure that each work package has
Identify and document project an unambiguous owner and that all team members have a clear
Plan roles, responsibilities , understanding of their roles and responsibilities;
reporting relationships . - networking (HR networking activities include proactive
Develop orgcharts . correspondence, luncheon meetings, informal conversations, and trade
conferences. While concentrated networking can be a useful technique
at the beginning of a project, carrying out networking activities on a
regular basis before a project begins is also effective );
A6 B6 - organizational theory (provides information regarding the ways that
Prepare Revise people, teams, and organizational units behave).
HR Management Plan
and resubmit
A5/B5. Resource Planning Tool (RPT) assists in the planning and
(staffing management plan ) utilization of employees globally and links information from a
spreadsheet to a central database to generate various reports . The
RPT provides information on the availability of personnel used for
planning, mobilization, demobilization, and re-mobilization of people on
No projects and proposals.
A6/B6, A7/B8. The HR Management Plan (staffing management plan )
is a subset of Project Execution Plan and describes when and how HR
B7 C1 requirements will be met. Items to consider include : staff acquisition ;
Approved ?
timetable (describes necessary time frames for project team members ,
either individually or collectively, as well as when acquisition activities
such as recruiting should start . One tool for charting human resources
is a resource histogram); release criteria (determining the method and
timing of releasing team members benefits both the project and team
Yes members); training needs; recognition and rewards; compliance
B8 strategies for complying with applicable government regulations , union
A7 contracts, and other established HR policies); safety.
0025 Issue The plan is updated continually during the project to direct ongoing
HR Management Plan team member acquisition and development actions .
A8/B9. Items to address when listing the roles and responsibilities
A8 B9 needed to complete the project include role , authority, responsibility,
Roles and
and competency.
0025 Responsibilities
A9/B10. A project organization chart is a graphic display of project
team members and their reporting relationships. It can be formal or
informal, highly detailed or broadly framed, based on the needs of the
A9 B10 project.
Project * Project Management Team includes, but is not limited to : Engineering
0025 Manager, Procurement Manager, Construction Manager, Quality
Organization Charts
Manager, Project Controls Manager, Commissioning Manager, Cost
Controller, Scheduler, HR Coordinator , Area Managers, Practice
Leads, Customer Team members.
Legend:
0005
0003
Link FROM Link TO
Process Activity Decision Process End/Link

Figure 3: Develop Human Resource Plan Flowchart.

PMI Virtual Library | www.PMI.org | 2010 Valentin Kouprine, Michael K. Fontaine, and Tim Cook
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every project. The standard procedures use a common table
of contents, include flowcharts, and provide a consistent
product. If project requirements are such that a standard
procedure cannot be followed, then a project-specific WI can
be prepared.
The PEP documents all of the project-specific items
needed to execute the project and defines specifically how
the SPM and the single functional groups procedures will be
applied on a specific project. The PEP also defines exceptions
being taken to the procedures and provides additional project-
specific details. The specific contents for a given project are
usually developed from a review of the project execution
strategy and the SPM. The PEP should be organized
according to the same framework as the SPM. The other key
component of the PEP isproject-specific information such
as the WBS, procurement package list, organization chart,
document distribution, and handover matrices.
Both the PEP and procedures should be prepared as a
series of short, stand-alone documents instead of preparing
a single document for the PEP and another single document
for the PPM. This means that each section of the PEP or each
individual procedure is a controlled document that can be
revised and reissued without impacting any other section or
procedure.
Standard PMI terminology and standard project-specific
terms should be used and included in a project glossary to
avoid conflicting terms and definitions.
The responsibility and ownership within an organization
for each procedure in the PPM and section in the PEP must
be clearly defined to avoid conflicts in documentation.
Glossary
Charter - formal document issued by senior management,
formally authorizing the existence of the project and
providing the project manager with the authority to apply
organizational resources to project activities. It includes
a mission statement (including background, purpose,
and benefits), a goal, objectives, scope, assumptions, and
constraints.
Form - printed document with blank space for information to
be inserted.
Guide/Guideline - document that recommends methods and
procedures to be used to accomplish an objective.
Instruction - project-specific directive or order.
Manual - generic book of instructions for a specific piece of
software or system.
Plan - formulated and especially detailed method by which
the project will be executed; project-specific document
developed from a template.
PMI Virtual Library | www.PMI.org | 2010 Valentin Kouprine, Michael K. Fontaine, and Tim Cook
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Policy - broad, precedent-setting decision that guides or
substitutes for repetitive managerial decision making. A
policy guides thinking, decisions, and actions of managers
in implementing the organizations strategy; and provides
guidelines for establishing and controlling the ongoing
operating process of the firm in a manner consistent with the
firms strategic objectives. In a project context, a policy is a
general guideline/formalized methodology on how a project
will be managed.
Procedure step-by-step instructions on ways to perform a
given task.
Standard - document that provides, for common and
repeated use, rules, guidelines, or characteristics for products,
processes, or services for which compliance is not mandatory.
Strategy - action plan to set the direction for coordinated use
of resources through policies, procedures, and organizational
design and establishment of performance standards.
Template - pattern for a document from which new
documents may be made. A template may include sample
document outlines, forms, and checklists.
Reference
Project Management Institute. (2008). A guide to the
project management body of knowledge (PMBOK guide)
Fourth edition. Newtown Square, PA: Author.
About the Authors
Valentin Kouprine, PMP, PhD, P.Eng., is a senior engineer
for the project delivery group at Hatch Ltd., Canada. He has
over 20 years of management and leadership experience in the
performance of engineering and construction projects. Mr.
Kouprine is the author of more than 20 technical papers and
he can be reached via e-mail at vkouprine@hatch.ca.
Michael K. Fontaine, P.Eng, CMC, is the risk
management lead of the project delivery group at Hatch Ltd.,
Canada. He has over 30 years of experience in a variety of
roles in engineering and construction projects covering all
phases of the project life cycle. Mr. Fontaine can be reached
via e-mail at mfontaine@hatch.ca.
Tim Cook is the regional practice director inthe project
delivery groupfor the Americasat Hatch Ltd. and works out
ofthe Mississauga office inCanada. He has over 20 years of
experience in the management of project control activities for
different engineering and construction projectsglobally.Tim
can be reached at tcook@hatch.ca.