project management for research and development

Best Practices and Advances in Program Management

Project Management
for Research and
Development
Guiding Innovation for Positive R&D Outcomes

Lory Mitchell Wingate



Project Management
for Research and
Development
Guiding Innovation for Positive R&D Outcomes


Best Practices and Advances
in Program Management Series
Series Editor
Ginger Levin
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Project Management
for Research and

Development
Guiding Innovation for Positive R&D Outcomes

Lory Mitchell Wingate


CRC Press
Taylor & Francis Group
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Boca Raton, FL 33487-2742
© 2015 by Lory Mitchell Wingate
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Dedicated to all creative and innovative
individuals who have a desire to learn.



Contents
List of Figures.......................................................................................xix
List of Tables...................................................................................... xxiii
Preface.................................................................................................. xxv
Acknowledgments............................................................................ xxvii
About the Author................................................................................xxix
Introduction........................................................................................xxxi
Chapter 1 Project Management Approaches...................................... 1
1.1
1.2

1.3

1.4
1.5
1.6
1.7
1.8

Nature of Projects..............................................................2
Formality of Project Management..................................4
1.2.1 Formal Project......................................................5
1.2.2 Semiformal Project...............................................5
1.2.3 Informal Project...................................................6
Traditional Project Management....................................6
1.3.1Scope.......................................................................7
1.3.2Deliverables/Outcomes........................................8
1.3.3Requirements........................................................8
1.3.4Approach...............................................................8
1.3.5Organization.........................................................9
1.3.6Schedule...............................................................12
1.3.7Budget..................................................................13
1.3.8 Risk Management...............................................13
1.3.9 Performance Measurement...............................14
1.3.10Communications................................................15
Flexible Project Management.........................................17
1.4.1 Types of Flexible Development.........................19
1.4.2 Key Components............................................... 20
Program Management....................................................21
Portfolio Management....................................................23
The Hierarchy of Project versus Program versus
Portfolio Management....................................................27
1.7.1 Apply Now.......................................................... 28
Life Cycle Approach to Project Management..............29
vii


viii • Contents

1.8.1 Life Cycle Approach and R&D.........................29
1.8.1.1 Research Phase................................... 30
1.8.1.2 Development Phase.............................31
1.8.1.3 Control Phase......................................32
1.8.2  Apply Now..............................................................33
1.9 Case Study: Explorers Connect Website
Development Project.......................................................33
1.9.1Background.........................................................33
1.9.2 Life Cycle Perspective........................................35
1.9.3 Project Management..........................................37
1.9.3.1Scope.....................................................37
1.9.3.2Deliverables/Outcomes......................38
1.9.3.3Requirements.......................................38
1.9.3.4Approach..............................................38
1.9.3.5Organization........................................39
1.9.3.6Schedule................................................39
1.9.3.7Budget...................................................39
1.9.3.8 Risks and Mitigation Plan.................39
1.9.3.9 Performance Management............... 40
1.9.3.10Communications............................... 40
1.9.4Outcomes.............................................................41
1.9.4.1 Critical Branch Points........................41
1.9.4.2Leadership........................................... 42
1.9.4.3 Lessons Learned................................. 42
1.9.5 Case Analysis..................................................... 43
1.10 Key Point Summary....................................................... 43
1.10.1 Key Concepts..................................................... 44
1.10.2 Key Terms............................................................45
1.11 Apply Now........................................................................47
References....................................................................................50

Chapter 2 Project Management as an Enabler.................................. 51
2.1
2.2
2.3

Traditional Project Management..................................53
R&D Project Management.............................................55
Disciplines That Complement Project
Management................................................................. 57
2.3.1 Flexible Methods................................................59
2.3.1.1 Spiral Development............................61


Contents • ix

2.4
2.5

2.6

2.3.1.2 Agile Method.......................................63
2.3.2 Management Frameworks................................ 66
2.3.2.1Scrum....................................................67
2.3.2.2 Unified Process....................................67
2.3.2.3 Dynamic Systems Development
Method................................................ 68
2.3.2.4 Product Lifecycle Management........ 68
2.3.3 Apply Now...........................................................69
2.3.4 Systems Engineering..........................................70
2.3.4.1 Systems Engineering

Management Processes......................71
2.3.4.2 Systems Engineering Technical
Processes..............................................78
2.3.5 Industrial Engineering......................................83
2.3.6 Complementary Disciplines’ Value on
R&D Projects...................................................... 84
2.3.7 Apply Now...........................................................87
Driving Innovation with Project Management...........87
Case Study: The Design, Build, and Flight Test
of a MIG-31 Model Aircraft.......................................... 90
2.5.1Background........................................................ 90
2.5.2 Life Cycle Perspective....................................... 90
2.5.2.1Design...................................................91
2.5.2.2 Initial Build..........................................92
2.5.2.3 Flight Test #1........................................95
2.5.2.4 Flight Test #2.......................................97
2.5.2.5 Flight Test #3......................................101
2.5.3 Project Management........................................103
2.5.4 Project Integration and Systems
Engineering Challenges...................................104
2.5.5Outcomes...........................................................105
2.5.6 Lessons Learned...............................................105
2.5.6.1 Selected R&D Challenges................106
2.5.6.2 Selected Programmatic
Challenges..........................................107
2.5.7 Case Analysis....................................................107
Key Point Summary......................................................108
2.6.1 Key Concepts....................................................108
2.6.2 Key Terms..........................................................109

x • Contents
2.7  Apply Now..........................................................................110
References..................................................................................112
Chapter 3 Bounding the Creative Spaces........................................ 113
3.1

3.2

3.3

3.4

Elements of R&D...........................................................115
3.1.1Research.............................................................115
3.1.1.1 Research Methods.............................117
3.1.1.2 Apply Now........................................ 122
3.1.1.3 Typical Steps in Research................ 123
3.1.2Development.................................................... 124
3.1.2.1 Development Methods.................... 126
3.1.2.2 Typical Steps in Development.........129
3.1.3 R&D Projects versus Other Projects..............130
Elements of Innovation.................................................131
3.2.1 Innovation versus Other Types of Projects.....132
3.2.1.1 Innovation versus R&D....................133
3.2.1.2 Innovation versus Invention........... 134
3.2.1.3 Innovation versus Creative
Projects.............................................. 134
Project Management Approach for R&D...................135
3.3.1 R&D Project Leadership..................................137

3.3.1.1 Special Considerations: Project
Leadership..........................................139
3.3.2 R&D Project Definition...................................139
3.3.2.1 R&D Project Plan: Project
Definition...........................................140
3.3.2.2 Special Considerations: Project
Definition...........................................143
3.3.3 R&D Project Planning.....................................144
3.3.3.1 R&D Project Plan: Project
Planning.............................................144
3.3.3.2 Special Considerations: Project
Planning.............................................147
3.3.4 R&D Project Controls......................................148
3.3.4.1 Special Considerations: Project
Controls..............................................151
Project Management Approach for Innovation........151
3.4.1 Innovation Project Leadership.......................152


Contents • xi
3.4.2 Innovation Project Definition.........................153
3.4.3 Innovation Project Planning...........................153
3.4.4 Innovation Project Controls...........................153
3.5 Case Study: Mars Environmental Capability
Assessment (MECA) Project....................................... 154
3.5.1Background...................................................... 154
3.5.2 Life Cycle Perspective......................................155
3.5.3 Project Management........................................156
3.5.4Outcomes...........................................................158
3.5.5 Lessons Learned...............................................159

3.5.5.1 Selected R&D Challenges................159
3.5.5.2 Selected Programmatic
Challenges..........................................160
3.6 Case Analysis.................................................................161
3.7 Key Point Summary......................................................161
3.7.1 Key Concepts....................................................162
3.7.2 Key Terms..........................................................163
3.8 Apply Now......................................................................164
References..................................................................................164
Chapter 4 Measuring Success.......................................................... 167
4.1

Defining Success............................................................169
4.1.1 Essential Foundations......................................170
4.1.1.1 Project Manager................................170
4.1.1.2Communications..............................171
4.1.1.3 Project Baseline.................................173
4.1.2 Definitions of Success across Disciplines......174
4.2 Types of Measurements................................................176
4.2.1 Measures versus Metrics..................................177
4.3Governance.....................................................................180
4.3.1 Change Management.......................................181
4.3.2 Configuration Management...........................182
4.4 Trend and Variance Analysis.......................................183
4.4.1 Technical Performance....................................186
4.4.2 Schedule Performance.................................... 190
4.4.3 Budget Performance.........................................194
4.4.4 Risk Management............................................ 200
4.4.5 Resources Allocation...................................... 200

xii • Contents
4.4.6Outcomes...........................................................201
4.5 Test, Verification, and Validation............................... 202
4.6Reviews........................................................................... 205
4.6.1 Management Reviews..................................... 206
4.6.2 Audit Reviews.................................................. 206
4.6.3 Information Reviews....................................... 207
4.6.4 Peer Reviews..................................................... 207
4.6.4.1 Requirements Reviews.................... 208
4.6.4.2 Design Reviews................................ 209
4.6.4.3 Verification Reviews.........................210
4.6.5 Phase, Decision Point, or Gate Reviews........211
4.6.6 After-Action, Retrospective, Reflective,
and Postmortem Reviews................................211
4.7Quality............................................................................212
4.7.1 Quality Metrics.................................................216
4.7.2 Quality Inspection and Audit.........................216
4.7.3Benchmarking...................................................217
4.7.4 Statistical Modeling and Analysis..................217
4.7.5 Quality Controls...............................................217
4.7.5.1 Quality Tools.....................................218
4.8 Technical Readiness..................................................... 220
4.9 Case Study: Trekking the Planet—Bringing
Geography to Life......................................................... 222
4.9.1Background...................................................... 222
4.9.2 Life Cycle Perspective..................................... 223
4.9.3 Project Management....................................... 223
4.9.3.1 Defining the Scope........................... 224
4.9.3.2 Develop the Objectives.................... 224

4.9.3.3 Identify the Requirements.............. 224
4.9.3.4 Outline the Deliverables................. 225
4.9.3.5 Develop the Schedule...................... 226
4.9.3.6 Develop the Budget.......................... 227
4.9.3.7 Develop Risks and Mitigation
Plan.................................................... 228
4.9.3.8 Develop a Contingency Plan.......... 230
4.9.3.9 Critical Branch Points..................... 230
4.9.4Outcomes.......................................................... 230
4.9.5 Lessons Learned...............................................232
4.9.6 Case Analysis....................................................232


Contents • xiii
4.10 Key Point Summary......................................................233
4.10.1 Key Concepts....................................................233
4.10.2 Key Terms..........................................................235
4.11 Apply Now......................................................................239
References..................................................................................241
Chapter 5 Building Blocks to Success............................................. 243
5.1
5.2

5.3

5.4

5.5

Key Objectives............................................................... 244

Measurements for Different Project Types............... 245
5.2.1 Basic and Applied Research Measures......... 246
5.2.2 Development Measures....................................253
5.2.3 Innovation Measures...................................... 256
5.2.4 Production Measures...................................... 258
5.2.5 Apply Now Measures.......................................261
Measurements for R&D Projects.................................261
5.3.1 Essential Measurements................................. 266
5.3.2 Implementing the Techniques........................271
5.3.3 Metrics for R&D...............................................272
5.3.3.1 Apply Now.........................................273
Measuring R&D Performance.....................................274
5.4.1Documentation.................................................275
5.4.2 Budget and Schedule........................................276
5.4.3Outcomes...........................................................276
5.4.3.1 Apply Now.........................................278
5.4.4 Change and Configuration Management.....279
5.4.5 Risk Management............................................ 280
5.4.6Reviews..............................................................281
5.4.7Quality.............................................................. 283
5.4.8Leadership........................................................ 284
5.4.9Communications............................................. 284
Case Study: Flower Circles and Watercolours
Project............................................................................. 285
5.5.1Background...................................................... 285
5.5.2 Life Cycle Perspective..................................... 288
5.5.3 Project Management....................................... 288
5.5.3.1 Defining the Scope........................... 288
5.5.3.2 Develop the Objectives.................... 289
5.5.3.3 Identify the Requirements.............. 289

xiv • Contents
5.5.3.4
5.5.3.5
5.5.3.6
5.5.3.7

Outline the Deliverables................. 290
Develop the Schedule.......................291
Develop the Budget...........................291
Develop Risks and Mitigation
Plan.....................................................291
5.5.3.8 Critical Branch Points......................291
5.5.4Outcomes.......................................................... 292
5.5.4.1 Defining Success.............................. 292
5.5.4.2 Types of Measures Used.................. 292
5.5.4.3Governance........................................293
5.5.4.4 Trends and Variances.......................293
5.5.4.5 Test, Verification, and Validation.... 294
5.5.4.6Reviews.............................................. 294
5.5.4.7Quality............................................... 294
5.5.4.8 Controlled Progression....................295
5.5.4.9Leadership..........................................295
5.5.4.10Communications..............................295
5.5.5 Lessons Learned.............................................. 296
5.5.6 Case Analysis................................................... 296
5.6 Key Point Summary..................................................... 298
5.6.1 Key Concepts................................................... 298
5.6.2 Key Terms......................................................... 299

5.7 Apply Now..................................................................... 299
References..................................................................................301
Chapter 6 Overcoming Obstacles.................................................... 303
6.1

6.2

6.3
6.4

Risk Management......................................................... 307
6.1.1 Risk Management Processes.......................... 308
6.1.2 Risk Management Plan....................................310
Risk at the Project Level................................................312
6.2.1 Identification of Risk........................................313
6.2.2 Risk Assessment...............................................316
6.2.3Responses...........................................................322
6.2.4Mitigation..........................................................325
6.2.5 Monitoring and Change Control...................329
6.2.6 Apply Now.........................................................329
Risk at the Program Level............................................331
Risk at the Portfolio Level............................................331


Contents • xv

6.5

6.6

6.7

6.4.1Compiling..........................................................334
6.4.2Assessing............................................................335
6.4.3Downselecting..................................................339
6.4.4 Apply Now........................................................ 341
Essential Risk Management for R&D........................ 342
6.5.1 R&D Risk Plan and Approach....................... 345
6.5.2 R&D Risk Decision Support.......................... 345
6.5.3 R&D Risk Responses and Mitigation........... 347
6.5.4 R&D Risk Monitoring and Change
Control.............................................................. 347
Case Study: LEGO® Mindstorms®............................. 347
6.6.1Background...................................................... 348
6.6.2 Life Cycle Perspective..................................... 350
6.6.3 Project Management........................................351
6.6.3.1 Defining the Scope............................352
6.6.3.2 Develop the Objectives.....................353
6.6.3.3 Identify the Requirements...............353
6.6.3.4 Outline the Deliverables................. 354
6.6.3.5 Develop the Project Schedule......... 354
6.6.3.6 Develop the Budget.......................... 354
6.6.3.7 Develop Risks and Mitigation
Plan.....................................................355
6.6.3.8 Critical Branch Points..................... 356
6.6.4Outcomes.......................................................... 356
6.6.4.1 Defining Success...............................357
6.6.4.2 Types of Measures Used...................358
6.6.4.3Governance........................................358
6.6.4.4 Trends and Variances.......................358

6.6.4.5 Test, Verification, and Validation.....359
6.6.4.6Reviews...............................................359
6.6.4.7Quality............................................... 360
6.6.4.8 Controlled Progression................... 360
6.6.4.9Leadership..........................................361
6.6.4.10Communications............................. 362
6.6.5 Lessons Learned.............................................. 362
6.6.6 Case Analysis................................................... 363
Key Point Summary..................................................... 365
6.7.1 Key Concepts................................................... 365
6.7.2 Key Terms......................................................... 366


xvi • Contents
6.8 Apply Now..................................................................... 366
References................................................................................. 368
Chapter 7 Facilitating the Creative Team....................................... 371
7.1

7.2

7.3

7.4

7.5

Leading the R&D Team................................................374
7.1.1 R&D Project Management..............................374
7.1.1.1 The Leadership Role.........................375

7.1.1.2 Apply Now.........................................379
7.1.1.3 The Management Role......................379
Managing the Workforce............................................ 380
7.2.1 Staff Selection and Diversity...........................381
7.2.2 Team Building Activities................................ 382
7.2.3 Objectives Alignment..................................... 383
7.2.4 Workforce Sharing.......................................... 384
7.2.5 Team Evolution................................................ 384
7.2.6 Apply Now........................................................ 385
Optimizing the R&D Output...................................... 387
7.3.1 Organizational Alignment............................. 387
7.3.2 Learning Environment................................... 389
7.3.2.1 Free Time.......................................... 389
7.3.2.2 Free Speech........................................391
7.3.2.3 Focus on Outcomes......................... 392
7.3.2.4 Creative Physical Environment...... 394
7.3.2.5 Performance Incentives....................395
7.3.2.6 Apply Now.........................................395
7.3.3 Accountability and Responsibility.................395
7.3.3.1Commitment.................................... 397
7.3.3.2Responsibility................................... 397
7.3.3.3Fortitude............................................ 398
Project Management for Specific Disciplines........... 399
7.4.1 Researcher or Scientist R&D.......................... 400
7.4.2 Artistic R&D.....................................................401
7.4.3 Engineer R&D.................................................. 402
7.4.4 Software R&D.................................................. 402
Case Study: Adventure Day Camps on the
Shores of Lake Grapevine............................................ 403
7.5.1Background...................................................... 403

7.5.2 Life Cycle Perspective..................................... 406


Contents • xvii
7.5.3 Project Management....................................... 406
7.5.3.1 Defining the Scope........................... 407
7.5.3.2 Develop the Objectives.................... 408
7.5.3.3 Identify the Requirements.............. 408
7.5.3.4 Outline the Deliverables................. 409
7.5.3.5 Develop the Project Schedule..........410
7.5.3.6 Develop the Budget...........................410
7.5.3.7 Develop Risks and Mitigation
Plan.....................................................410
7.5.3.8 Critical Branch Points......................412
7.5.4Outcomes...........................................................412
7.5.4.1 Defining Success...............................412
7.5.4.2 Types of Measures Used...................413
7.5.4.3Governance........................................414
7.5.4.4 Trends and Variances.......................415
7.5.4.5 Test, Verification, and Validation.....415
7.5.4.6Reviews...............................................415
7.5.4.7Quality................................................415
7.5.4.8 Controlled Progression....................416
7.5.4.9Leadership..........................................416
7.5.4.10Communications..............................417
7.5.5 Lessons Learned...............................................417
7.5.6 Case Analysis....................................................419
7.6 Key Point Summary..................................................... 420
7.6.1 Key Concepts....................................................421
7.6.2 Key Terms..........................................................421

7.7 Apply Now..................................................................... 422
References................................................................................. 422
Chapter 8 Process Steps for the R&D Project................................. 425
8.1
8.2
8.3
8.4
8.5
8.6

Project Fit, Alignment, and Approach (Steps 1
and 2).............................................................................. 426
Elements of Complementary Disciplines (Step 3)...... 427
Facilitate the Type of R&D Project (Step 4).............. 428
Project Management and Systems Engineering
Documents (Steps 5 and 6).......................................... 429
Project Baseline and Measurements (Step 7)............ 430
Active Management (Step 8)....................................... 432


xviii • Contents
8.7
8.8

Mitigate Risks and Seize Opportunities (Step 9)......433
Facilitate and Support the R&D Team (Step 10)...... 436

Appendix A: Key Terms...................................................................... 439
Appendix B: Abbreviations/Acronyms.............................................. 451
Bibliography......................................................................................... 455

List of Figures
Figure 1.1  Organizational tree diagram....................................................10
Figure 1.2  Portfolio mix................................................................................25
Figure 1.3  Sample process hierarchy......................................................... 28
Figure 1.4  Portfolio, program, or project?............................................... 28
Figure 1.5  Project management life cycle approach................................32
Figure 1.6  Levels of formality by type of project activity.......................33
Figure 1.7  Explorers connect website life cycle.........................................35
Figure 2.1  Waterfall process........................................................................ 54
Figure 2.2  Method to activity...................................................................... 60
Figure 2.3  Choosing a flexible method......................................................69
Figure 2.4  Work breakdown structure.......................................................76
Figure 2.5  Project schedule...........................................................................78
Figure 2.6  Complementary disciplines matrix.........................................85
Figure 2.7  Systems engineering capabilities matrix................................89
Figure 2.8  MIG-31 model life cycle.............................................................91
Figure 3.1  The R&D spectrum: Basic research.......................................116
Figure 3.2  R&D progression.......................................................................116
Figure 3.3  The R&D spectrum: Applied research..................................117
Figure 3.4  Application of methods to research types............................119
Figure 3.5  Research methods.................................................................... 122
Figure 3.6  Apply Now research methods................................................ 123
Figure 3.7  The R&D spectrum: Development........................................ 124
Figure 3.8  The R&D spectrum: Total.......................................................127
Figure 3.9  R&D projects versus other projects.......................................130
xix

xx • List of Figures
Figure 3.10  Functional architecture diagram.........................................142
Figure 3.11  Research alignment to project management
categories................................................................................................... 151
Figure 3.12  MECA life cycle.......................................................................155
Figure 4.1  Sample communications matrix............................................172
Figure 4.2  Communications tactics..........................................................173
Figure 4.3  Additive intermediate measures............................................179
Figure 4.4  Sample SEMP contents............................................................185
Figure 4.5  Measuring technical performance........................................188
Figure 4.6  Sample TPM chart....................................................................189
Figure 4.7  Sample charging structure......................................................197
Figure 4.8  Sample earned value chart......................................................198
Figure 4.9  Stoplight chart example.......................................................... 203
Figure 4.10  Foursquare example.............................................................. 204
Figure 4.11  Continuum of reviews........................................................... 207
Figure 4.12  Types of reviews by life cycle.................................................213
Figure 4.13  Customer view of success.......................................................214
Figure 4.14  Life cycle and TRLs.................................................................221
Figure 4.15  Trekking the planet life cycle .............................................. 224
Figure 5.1  Decision space for basic and applied research.................... 249
Figure 5.2  Decision space for development............................................ 254
Figure 5.3  Decision space for innovation................................................257
Figure 5.4  Decision space for production or construction...................259
Figure 5.5  Decision space template.......................................................... 262
Figure 5.6  R&D measures template..........................................................274
Figure 5.7  R&D outcomes example...........................................................278
Figure 5.8  R&D outcomes template..........................................................279

List of Figures • xxi
Figure 5.9  N2 chart example...................................................................... 282
Figure 5.10  “Flower Circles and Watercolours” life cycle.................... 288
Figure 6.1  Example of project impacts.....................................................310
Figure 6.2  Example of a risk validation matrix......................................315
Figure 6.3  Sample risk identification.......................................................316
Figure 6.4  Sample composite risk index..................................................318
Figure 6.5  Matrix risk diagram.................................................................319
Figure 6.6  Risk assessment.........................................................................323
Figure 6.7  Risk treatment.......................................................................... 328
Figure 6.8  Risk register with notes...........................................................330
Figure 6.9  Risk mitigation template.........................................................332
Figure 6.10  Example compilation spreadsheet.......................................336
Figure 6.11  Concatenation example......................................................... 340
Figure 6.12  Example portfolio impacts................................................... 341
Figure 6.13  Risk portfolio template......................................................... 343
Figure 6.14  LEGO® Mindstorms® life cycle.............................................351
Figure 7.1  Project manager skills’ alignment to objectives..................376
Figure 7.2  Key responsibilities...................................................................378
Figure 7.3  Leadership attributes template...............................................379
Figure 7.4  High-performance team development template................ 386
Figure 7.5  Learning environment template........................................... 396
Figure 7.6  Principal Investigator Support Model................................. 400
Figure 7.7  Adventure Day Camps life cycle............................................ 406



List of Tables
Table 1.1  Activity Outline............................................................................ 48
Table 2.1  Activity Outline...........................................................................111

Table 3.1  Activity Outline...........................................................................165
Table 4.1  Activity Outline.......................................................................... 240
Table 5.1  Project Measures Decision Space Matrix.............................. 247
Table 5.2  Activity Outline.......................................................................... 300
Table 6.1  R&D Risk Management............................................................ 367
Table 7.1  Workforce Management............................................................ 423
Table 8.1  R&D Project Initiation and Planning.....................................431
Table 8.2  R&D Project Execution, Monitor and Control,
Evolution.................................................................................................... 435
Table 8.3  R&D Support and Facilitation................................................ 438

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