PMBOK 3 Ed：项目管理权威指南

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《项目管理知识体系指南》第三版（PMBOK 3 Ed）是美国项目管理协会（Project Management Institute, PMI）制定的一部权威指南，它作为美国国家标准 ANSI/PMI 99-001-2004 出版。这部著作在2004年发行，是全球项目管理领域的重要参考文献，其目标是提供一套全面的项目管理框架和最佳实践，以指导项目经理和团队进行有效的项目实施。 PMBOK 3 Ed（Project Management Body of Knowledge, 第三版）涵盖了项目管理的各个方面，包括启动、规划、执行、监控和收尾等五大过程组，以及10个知识领域，如范围管理、时间管理、成本管理、质量管理、人力资源管理、沟通管理、风险管理、采购管理、整合管理和职业道德。它不仅定义了项目管理的基本概念，还提供了如何应用这些理论和工具来解决实际问题的方法论。作为一部重要的美国国家标准，PMBOK 3 Ed遵循一定的出版标准，如图书馆登记号LC CALL NO. HD69.P75 G845，便于读者查找和引用。该版本的纸质版和CD-ROM版分别有其专属的ISBN号。本书由PMI Inc.出版，地址位于宾夕法尼亚州新town广场，同时提供了联系方式以便读者获取更多信息或提出反馈。版权方面，PMI、PMP、PMBOK、《项目管理期刊》(Project Management Journal)、《PM网络》(PM Network)以及PMI Today的标志都是PMI的注册商标。对于PMI的完整商标列表，读者可以联系PMI的法律部门查询。 PMBOK 3 Ed提倡持续改进和学习，鼓励读者在实践中不断更新知识，以应对日益变化的商业环境和项目挑战。它不仅是项目经理的必读教材，也是组织提升项目管理能力、确保项目成功的关键工具。通过深入理解和应用PMBOK中的原则和方法，项目经理能够更好地管理风险，提高项目效率，确保项目的质量和进度，从而推动企业的发展和成功。

Chapter 1 − Introduction

A Guide to the Project Management Body of Knowledge (PMBOK

Guide) Third Edition

4 2004 Project Management Institute, Four Campus Boulevard, Newtown Square, PA 19073-3299 USA

The PMBOK

Guide also provides and promotes a common lexicon for

discussing, writing, and applying project management. Such a standard lexicon is an

essential element of a profession.

The Project Management Institute uses this document as a foundational, but not

the sole, project management reference for its professional development programs

including:

• Project Management Professional (PMP®) certification

• Project management education and training offered by PMI Registered

Education Providers (R.E.P.s)

• Accreditation of educational programs in project management.

As a foundational reference, this standard is neither comprehensive nor all-

inclusive. Appendix D discusses application area extensions, while Appendix E lists

sources of further information on project management.

This standard addresses only single projects and the project management

processes that are generally recognized as good practice. There are other standards

on organizational project management maturity, project manager competency, and

other topics that address what is generally recognized as good practices in those

areas. Some of the material in those other standards impacts single projects. The

other standards should be consulted for additional information and understanding of

the broader context in which projects are accomplished.

Project management standards do not address all details of every topic. Topics

that are not mentioned should not be considered unimportant. There are several reasons

why a topic may not be included in a standard: it may be included within some other

related standard; it may be so general that there is nothing uniquely applicable to

project management; or there is insufficient consensus on a topic. The lack of

consensus means there are variations in the profession regarding how, when or where

within the organization, as well as who within the organization, should perform that

specific project management activity. The organization or the project management

team must decide how those activities are going to be addressed in the context and the

circumstances of the project for which the PMBOK

Guide is being used.

1.1.1 Audience for the PMBOK

Guide

This standard provides a foundational reference for anyone interested in the

profession of project management. This includes, but is not limited to:

• Senior executives

• Program managers and managers of project managers

• Project managers and other project team members

• Members of a project management office

• Customers and other stakeholders

• Functional managers with employees assigned to project teams

• Educators teaching project management and related subjects

• Consultants and other specialists in project management and related fields

• Trainers developing project management educational programs

• Researchers analyzing project management.

A Guide to the Project Management Body of Knowledge (PMBOK

Guide) Third Edition

2004 Project Management Institute, Four Campus Boulevard, Newtown Square, PA 19073-3299 USA 5

1.2 What is a Project?

1.2.1 Project Characteristics

A project is a temporary endeavor undertaken to create a unique product, service, or

result.

.1 Temporary

Temporary means that every project has a definite beginning and a definite end. The

end is reached when the project’s objectives have been achieved, or it becomes clear

that the project objectives will not or cannot be met, or the need for the project no

longer exists and the project is terminated. Temporary does not necessarily mean

short in duration; many projects last for several years. In every case, however, the

duration of a project is finite. Projects are not ongoing efforts.

In addition, temporary does not generally apply to the product, service or result

created by the project. Most projects are undertaken to create a lasting outcome. For

example, a project to erect a national monument will create a result expected to last

centuries. Projects also may often have intended and unintended social, economic

and environmental impacts that far outlast the projects themselves.

The temporary nature of projects may apply to other aspects of the endeavor as

well:

• The opportunity or market window is usually temporary—some projects have a

limited time frame in which to produce their product or service.

• The project team, as a working unit, seldom outlives the project—a team

created for the sole purpose of performing the project will perform that project,

and then the team is disbanded and the team members reassigned when the

project ends.

.2 Unique Products, Services, or Results

A project creates unique deliverables, which are products, services, or results.

Projects can create:

• A product or artifact that is produced, is quantifiable, and can be either an end

item in itself or a component item

• A capability to perform a service, such as business functions supporting

production or distribution

• A result, such as outcomes or documents. For example, a research project

develops knowledge that can be used to determine whether or not a trend is

present or a new process will benefit society.

Uniqueness is an important characteristic of project deliverables. For example,

many thousands of office buildings have been developed, but each individual facility

is unique—different owner, different design, different location, different contractors,

and so on. The presence of repetitive elements does not change the fundamental

uniqueness of the project work.

Chapter 1 − Introduction

A Guide to the Project Management Body of Knowledge (PMBOK

Guide) Third Edition

6 2004 Project Management Institute, Four Campus Boulevard, Newtown Square, PA 19073-3299 USA

.3 Progressive Elaboration

Progressive elaboration is a characteristic of projects that accompanies the concepts

of temporary and unique. Progressive elaboration means developing in steps, and

continuing by increments

. For example, the project scope will be broadly described

early in the project and made more explicit and detailed as the project team develops

a better and more complete understanding of the objectives and deliverables.

Progressive elaboration should not be confused with scope creep (Section 5.5).

Progressive elaboration of a project’s specifications needs to be carefully

coordinated with proper project scope definition, particularly if the project is

performed under contract. When properly defined, the scope of the project—the

work to be done—should be controlled as the project and product specifications are

progressively elaborated. The relationship between product scope and project scope

is discussed further in the Chapter 5 introductory material.

The following examples illustrate progressive elaboration in two different

application areas:

• Development of a chemical processing plant begins with process engineering

to define the characteristics of the process. These characteristics are used to

design the major processing units. This information becomes the basis for

engineering design, which defines both the detailed plant layout and the

mechanical characteristics of the process units and ancillary facilities. All of

this results in design drawings that are elaborated to produce fabrication and

construction drawings. During construction, interpretations and adaptations are

made as needed and are subject to proper approval. This further elaboration of

the deliverables is captured in as-built drawings, and final operating

adjustments are made during testing and turnover.

• The product of an economic development project may initially be defined as:

“Improve the quality of life of the lowest income residents of community X.”

As the project proceeds, the products may be described more specifically as,

for example: “Provide access to food and water to 500 low-income residents in

community X.” The next round of progressive elaboration might focus

exclusively on increasing agriculture production and marketing, with provision

of water deemed to be a secondary priority to be initiated once the agricultural

component is well under way.

1.2.2 Projects vs. Operational Work

Organizations perform work to achieve a set of objectives. Generally, work can be

categorized as either projects or operations, although the two sometimes overlap.

They share many of the following characteristics:

• Performed by people

• Constrained by limited resources

• Planned, executed, and controlled.

Projects and operations differ primarily in that operations are ongoing and

repetitive, while projects are temporary and unique.

A Guide to the Project Management Body of Knowledge (PMBOK

Guide) Third Edition

2004 Project Management Institute, Four Campus Boulevard, Newtown Square, PA 19073-3299 USA 7

The objectives of projects and operations are fundamentally different. The

purpose of a project is to attain its objective and then terminate. Conversely, the

objective of an ongoing operation is to sustain the business. Projects are different

because the project concludes when its specific objectives have been attained, while

operations adopt a new set of objectives and the work continues.

Projects are undertaken at all levels of the organization and they can involve a

single person or many thousands. Their duration ranges from a few weeks to several

years. Projects can involve one or many organizational units, such as joint ventures

and partnerships. Examples of projects include, but are not limited to:

• Developing a new product or service

• Effecting a change in structure, staffing, or style of an organization

• Designing a new transportation vehicle

• Developing or acquiring a new or modified information system

• Constructing a building or facility

• Building a water system for a community

• Running a campaign for political office

• Implementing a new business procedure or process

• Responding to a contract solicitation.

1.2.3 Projects and Strategic Planning

Projects are a means of organizing activities that cannot be addressed within the

organization’s normal operational limits. Projects are, therefore, often utilized as a

means of achieving an organization’s strategic plan, whether the project team is

employed by the organization or is a contracted service provider.

Projects are typically authorized as a result of one or more of the following

strategic considerations:

• A market demand (e.g., an oil company authorizes a project to build a new

refinery in response to chronic gasoline shortages)

• An organizational need (e.g., a training company authorizes a project to create

a new course in order to increase its revenues)

• A customer request (e.g., an electric utility authorizes a project to build a new

substation to serve a new industrial park)

• A technological advance (e.g., a software firm authorizes a new project to

develop a new generation of video games after the introduction of new game-

playing equipment by electronics firms)

• A legal requirement (e.g., a paint manufacturer authorizes a project to establish

guidelines for the handling of a new toxic material).

Chapter 1  Introduction

A Guide to the Project Management Body of Knowledge (PMBOK

Guide) Third Edition

8 2004 Project Management Institute, Four Campus Boulevard, Newtown Square, PA 19073-3299 USA

1.3 What is Project Management?

Project management is the application of knowledge, skills, tools and techniques to

project activities to meet project requirements. Project management is accomplished

through the application and integration of the project management processes of

initiating, planning, executing, monitoring and controlling, and closing. The project

manager is the person responsible for accomplishing the project objectives.

Managing a project includes:

x Identifying requirements

x Establishing clear and achievable objectives

x Balancing the competing demands for quality, scope, time and cost

x Adapting the specifications, plans, and approach to the different concerns and

expectations of the various stakeholders.

Project managers often talk of a “triple constraint”—project scope, time and

cost—in managing competing project requirements. Project quality is affected by

balancing these three factors (Chapters 5 through 7). High quality projects deliver the

required product, service or result within scope, on time, and within budget. The

relationship among these factors is such that if any one of the three factors changes,

at least one other factor is likely to be affected. Project managers also manage

projects in response to uncertainty. Project risk is an uncertain event or condition

that, if it occurs, has a positive or negative effect on at least one project objective.

The project management team has a professional responsibility to its

stakeholders including customers, the performing organization, and the public. PMI

members adhere to a “Code of Ethics” and those with the Project Management

Professional (PMP

) certification adhere to a “Code of Professional Conduct.”

Project team members who are PMI members and/or PMPs are obligated to adhere

to the current versions of these codes.

It is important to note that many of the processes within project management

are iterative because of the existence of, and necessity for, progressive elaboration in

a project throughout the project’s life cycle. That is, as a project management team

learns more about a project, the team can then manage to a greater level of detail.

The term “project management” is sometimes used to describe an

organizational or managerial approach to the management of projects and some

ongoing operations, which can be redefined as projects, that is also referred to as

“management by projects.” An organization that adopts this approach defines its

activities as projects in a way that is consistent with the definition of a project

provided in Section 1.2.2. There has been a tendency in recent years to manage more

activities in more application areas using project management. More organizations

are using “management by project.” This is not to say that all operations can or

should be organized into projects. The adoption of “management by project“ is also

related to the adoption of an organizational culture that is close to the project

management culture described in Section 2.3. Although, an understanding of project

management is critical to an organization that is using “management by projects,” a

detailed discussion of the approach itself is outside the scope of this standard.

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