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Process 9.2: The process of confirming human resource availability and obtaining the team necessary to complete project activities. (Project manager is usually responsible for staffing.) Inputs: Human resource management plan (Roles & responsibilities; Project organization charts; and Staffing management plan including time periods needed for project team members); Enterprise environmental factors (These are for project activities that require special skills or knowledge; Consider availability, experience levels, interests, costs and abilities of potential team members); Organizational process assets (standard processes, policies and procedures). Tools & Techniques: Preassignment (Internal, usually for specific expertise & skill that is not interchangeable; Project put out for bid and/or specific team members are promised; When staff members are promised as part of the project proposal, they should be identified in the project charter); Acquisition (External; Hire people as employees or on contract; Resource cost not always financial); Virtual teams (different geographies using email, videoconference or teleconference); Negotiation (resolve disputes through consultations between involved parties; with functional managers, other project management team, & eternal organizations); Multi-criteria decision analysis (rank and score based on various criteria like availability, cost, experience, & ability). Outputs: (1) Project staff assignments (assign [clarify with memos outlining expectations for them to acknowledge] and publish project team directory, organization charts, RAM charts, etc.); (2) Resource calendars (show team members' availability, times scheduled, and capabilities & skills); (3) Project management plan updates (documents project roles and responsibilities).
Process 4.5: Where modifications to documents, deliverables, or baselines associated with the project are managed - identified, documented, approved, or rejected. Expansion, adjustment or reduction to: Project &/or product scopes (see Configuration Control for deliverable specifications or project management processes); Quality requirements; Schedule &/or cost baselines (see Performance Measurement Baseline). See Change Control Board & Change Control System. Involves (1) Influencing/ avoiding factors causing change control process circumvention; (2) Promptly reviewing & analyzing change requests; (3) Managing approved changes; (4) Maintaining integrity of project baselines & incorporating changes into the plan & other documents; (5) Promptly reviewing & analyzing corrective & preventive actions; (6) Coordinating & managing changes across the project; (7) Documenting requested changes & their impact. Changes may be outputs across all processes in the Monitoring and Controlling process group including: Corrective action (realignment); Preventative action (ensure conformance); Defect repair (modification). [Note: Change requests also are an output of an executing process Direct and Manage Project Work 4.2.] Inputs: Project management plan; Work performance reports (see); Change requests; Enterprise environmental factors; Organizational process assets. Tools & Techniques: Expert judgement; Change control meetings; Change control tools (Support activities of Change Control Board; Assist with changes &/or Configuration management). Outputs: (1) Approved change requests; (2) Change log; (3) Project management plan updates; (4) Project documents updates. Note: Output of this process 4.5 is an input to and implemented through Direct and Manage Project Work process 4.3.
Process 5.2: The process of determining, documenting, and managing stakeholder needs and requirements to meet project objectives. Requirements are specifications of the deliverables. They must be: (1) Unambiguous (measurable, testable); (2) Traceable; (3) Complete; (4) Consistent; & (5) Acceptable to key stakeholders. Format may be: (a) Simple listing of requirements by stakeholder & priority; or (b) Elaborated to add executive summary, and detailed descriptions & attachments. Inputs: Scope management plan; Requirement management plan; Stakeholder management plan; Project charter; Stakeholder register. Tools & Techniques: Interviews (usually individual; to elicit information from stakeholders; ask prepared & spontaneous questions; record information; useful for obtaining confidential information); Focus groups (trained moderator; interactive); Facilitated workshops; Group creativity techniques (generate ideas via Brainstorming; Nominal group/ voting; Idea/ mind mapping; Affinity/ classify ideas into groups; Multicriteria decision analysis); Group decision-making techniques; Questionnaires and surveys (to quickly get information from large number of respondents); Observations (job shadowing; useful for detailed processes, when people are reluctant, to uncover hidden requirements); Prototypes (working model; supports progressive elaboration in iterative cycles from mock-up, to experimentation, to feedback, to prototype revision; storyboarding uses images as in film or advertising); Benchmarking (compare actual or planned practices with those that are comparable to identify best practices, generate ideas, or provide a basis to measure performance); Context diagrams (visual depiction of product scope showing a business system & how people & other systems interact with it); Document analysis. Outputs: (1) Requirements documentation (see; Input to 6 processes: 5.3-5.6; 8.1 & 12.1); (2) Requirements traceability matrix (see; Input to process 5.5 & 5.6).
Process 12.2: The process of obtaining seller responses, selecting a seller, and awarding a contract. Generally, prior to award, organizational senior management must give final approval of all procurements that are complex, high-value, or high-risk. Project team responsibility: Agreement meets specific needs of project; Adheres to organizational procurement policies (in general, prior to award, senior management must give final approval of procurements that are complex, high-value, and high-risk). Inputs: Procurement management plan; Procurement documents (see section; Responses to RFPs, RFIs, RFQs, etc. are inputs); Source selection criteria; Seller proposals (proposal might be part of a draft contracts, so will become attached/ part of actual contract when award is made); Project documents; Make-or-buy decisions (see); Procurement statement of work (see); Organizational process assets (Qualified sellers list). Tools & Techniques: Bidder conferences (AKA: vendor, prevued & contractor conferences where single meeting is held with all vendors present before RFP responses); Proposal evaluation techniques (depends on types of goods & services; might request a sample; always ask for references; financial records; determine if vendor has clear understanding; compare and score each proposal using: criteria weighting, predefined screening & seller rating systems [past performance, contract compliance, quality ratings, but don't use seller rating as sole criteria]); Independent estimates ("should cost estimates" made by procurement department or independent third party); Expert judgement; Advertising (Internet [mostly on company's own website]; governmental organizations require public advertising or online posting of pending government contracts; also use professional journals, newspapers); Analytical techniques (to help research potential vendors' capabilities, analyze past performance, forecast future performance, learn from others, use Internet searches); Procurement negotiations (at minimum: price, responsibilities, regulation or laws that apply, and overall technical & business management approach; more complex: financing options, overall schedule, proprietary rights, service-level agreements, technical aspects; might also see "fait accompli" tactics try to convince other that nothing can be done to change a term). Outputs: (1) Selected sellers; (2) Agreements (see Procurement Agreement Components; Contract life cycles: Requirement; Requisition; Solicitation [1st during conduct procurement stage]; Award [administration handled by procurement department usually]); (3) Resource calendars; (4) Change requests; (5) Project management plan updates; (6) Project document updates.
Part of Manage Project Team process 9.4. Handling, controlling, and guiding a conflictual situation to achieve a resolution. Successful resolution results in increased productivity and better, more positive working relationships. Most conflict comes from schedule, resource availability or work style issues. Generally, best resolution comes when parties can work out issues between themselves. A solution such that no party can be made better off without making the other party worse off by the same amount or more is called Pareto-optimal. Conflicts can be reduced by implementing team ground rules, group norms (policies and procedures), and utilizing well-grounded project management processes. Communication and a clear definition of roles and responsibilities of team members also are useful. Conflict management styles do not necessarily yield long-term results -- 5 General Techniques based on degree of Objectives vs. Relationship goal orientation: (1) Force (directing or competing): win-lose technique [high objective, low relationship orientation]; (2) Smooth (accommodating): temporary lose-lose since real issue stays buried [low objective, high relationship orientation]; (3) Compromise (reconciling): neither side wins nor are happy so need firm commitment to move ahead [medium objective, medium relationship orientation]; (4) Problem solving (collaborating): win-win and is the best way to resolve, start with fact finding mission and discuss multiple views, and can reach true consensus if all parties believe had opportunity to provide their opinions and ideas[high objective, high relationship orientation]; (5) Withdrawal (avoiding): lose-lose since nothing is resolved, only moves ahead when once party leaves and will no longer discuss [low objective, low relationship].
A contract is a mutually binding agreement that obligates the seller to provide the specified product or service or result and obligates the buyer to pay for it. 5 Contract Elements: Offer (communicate intent to sell); Acceptance (must be unqualified); Consideration (an exchange of value); Capacity (able to form intent to agree); Legality (does not violate law). Typical Contract Clauses (not in particular order): (1) Assignment (transfer rights or benefits to a third party assignee; may be forbidden or have both consent; cannot assign right to receive personal services or to purchase goods on credit); (2) Authority (establish who has legal capacity to act; and who in case of absence?); (3) Change order (process if changing requirements); (4) Confidentiality (add termination & damage clauses; optional non-compete); (5) Damages (remedy for: liquidated - quantify upfront; unliquidated - 3rd party opinion; consequential - if could have been reasonably foreseen / cause-and-effect; nominal - in name only; punitive -this is not allowed); (6) Disputes (direct negotiation; arbitration - binding & nonbonding by authority, but can be appealed; mediation - like marriage counseling since no authority; lawsuit represents failure of dispute clause); (7) Force Majeure (act of nature); (8) Free Will (legal capacity; not forced; executable agreement); (9) Indemnification (other party will pay if 3rd party presents claim against it); (10) Jurisdiction (which laws govern; which location will be used); (11) Notification (how to communicate - method; who; timing); (12) Payment (method; timing; currency; frequency); (13) Privity (see; must be party to contract to have a legal interest; identifies parties - U.S. Government does not allow subcontractors & subcontractor's only recourse is against primary contractor); (14) Right to Remedy/ Cure (right presumed to exist, but define time, allow value to be determined for consequential damage, & ensure awareness); (15) Subcontractor (establish buyer rights to reject; require certification); (16) Surety/ Guarantor (a guarantor will pay or perform if principal fails to perform); (17) Termination (mechanism to cancel prior to completion of terms; for default, or for convenience - U.S. government requires; consider consequences arising, or duties remaining); (18) Time Is Of The Essence (so courts know lateness has value & is material breach); (19) Warranty (Quality promised or disclaimed; duration; types: (a)Expressed - (i) full, no questions asked, (ii) limited; (b) Implied - (i) merchantability, can be used for purpose made, ii) fitness for particular purpose, relies on seller's skill & judgement); & (20) Whole Agreement (any omissions intentional; cannot add terms without separate agreement attached & referenced). Add Contract supplements & amendments. Avoid ambiguity in contracts. Priority to handwritten, then to type, then to print. (See Procurement Agreement Components)
Process 10.3: The process of monitoring and controlling communications throughout the entire project life cycle to ensure the information needs of the project stakeholders are met. Note: Concerned with evaluating and controlling the impact messages may carry and delivering the right message to the right people at the right time. Information on project quality, costs, scope, schedule, procurement and risk. Presented in form of status reports, progress measurements, or forecasts. Inputs: Project management plan (baseline data - report deviations); Project communications (information on status, performance, cost, budget, progress for decisions and actions); Issue log (see separate; useful for meetings); Work performance data; Organizational process assets (reporting templates, communication policies or standards, communication technologies, data security issues, communication methods & mediums, & records retention policies). Tools & Techniques: Information management systems (spreadsheet analysis, presentations, table reporting, & graphic capabilities); Expert judgement; Meetings (formal, informal, in person or online; Status review meeting is an important, interactive meeting to formally exchange project information; might have 3-4 of these during project; could involve different participants, but project manager always included; publish an agenda & a summary after). Outputs: (1) Work performance information (recorded in work performance reports - an output of the Monitor and Control Project Work process 4.4); (2) Change requests (processed through the Integrated Change Control process 4.5); (3) Project management plan updates; (4) Project documents updates; (5) Organizational process assets updates.
Process 12.3: The (post contract award) process of managing procurement relationships (vendors), monitoring contract performance to ensure procurement agreement requirements are met, and making changes and corrections as appropriate. The Control procurements process involves integrating and coordinating the other processes: Direct and manage project work, Control quality, Perform integrated change control, and Control risks (also Control communications). Inputs: Project management plan; Procurement documents; Agreements; Approved change requests (modified deliverables, changes to products or services, contract terms, or termination for poor performance; contract changes for cause - violation, convenience - desire, or default - failure to perform); Work performance reports (output of process 4.4 Monitor and Control Project Work; monitor vendor work and examine deliverables vs contract SOW per quality & costs to date); Work performance data (actually collected during Direct and Manage Project Work process 4.3). Tools & Techniques: Contract change control system (formal process to collect, track, adjudicate & communicate changes to a contract using paperwork, tracking systems & dispute resolution procedures); Procurement performance reviews (structured review of scope, quality, budget & schedule that may include audits & has objectives of identifying performance successes or failures, progress on procurement SOW, and contract noncompliance [in some ways under 4.3 Direct and Manage Project Work]); Inspections & audits (Inspections: examine or measure product/service to verify conformance to specified requirements; Audits: review how system - contracts & contracting processes - is working for completeness, accuracy & effectiveness); Performance reporting (see Work Performance Reports; output of 4.4 Monitor and Control Project Work); Payment systems (used to provide & track supplier's invoices & payments for services & products); Claims administration (process of processing, adjudicating & communicating contract claims, disputes or appeals either by buyer or seller under terms of legally binding contract; usually resolved directly by negotiation among parties, but sometimes use "alternate dispute resolution" [ADR] such as arbitration); Records management system (documentation involving indexing, and also policies, control functions and automated tools). Outputs: (1) Work performance information; (2) Change requests (if affects project management plan, cost baseline &/or schedule baseline); (3) Project management plan updates; (4) Project document updates (contract or other procurement documents, performance information, warranties, financial information, inspection & audit results, supporting schedules, approved & unapproved changes); (5) Organizational process assets updates (updates to organizational policies, procedures, etc.; for contracts: correspondence, payment schedules & requests, seller performance evaluation).
Process 8.3: The process of monitoring work results and recording results of executing the quality activities to assess performance against the Quality Management Plan and recommend necessary changes = checking for correct work results & assure quality requirements met (vs. Validate Scope = accepting work results). Inputs: Project management plan; Quality metrics; Quality checklists; Work performance data; Approved change requests; Deliverables; Project documents; Organizational process assets. Tools & Techniques: Seven basic quality tools (Cause-and-effect diagrams; Control charts; Flowcharts; Checksheets; Histograms; Pareto diagrams; and Scatter diagrams) [see Seven basic quality tools]; Statistical sampling; Inspection (examine work product to verify conformance to documented standards or validate defect repairs using reviews, peer reviews, audits, & walkthroughs); Approved change requests review (Review approved approved change requests and assume they were implemented as documented and approved). Outputs: (1) Quality control measurements; (2) Validated changes (changes, defect repairs, or variances to deliverables that have been inspected and corrected; rejected items may require rework); (3) Verified deliverables (determine conformance of deliverable; [becomes an input to Validate Scope 5.5]; if it is successful -- correct, accurate and meets the user's needs -- then validated deliverable); (4) Work performance information; (5) Change requests; (6) Project management plan updates (updates to quality management plan, & process improvement plan); (7) Project document updates (such as checklists, lessons learned, or updated quality standards); (8) Organizational process assets updates (such as completed checklists).
Process 11.6: The process of implementing risk response plans, tracking identified risks, monitoring residual risks, identifying new risks, and evaluating risk process effectiveness throughout the project. Also involves: Monitoring for risk triggers; Reexamining risks for change or close-out (if not viable); Reassessing project assumptions and validity; Ensuring policies and procedures followed; Ensuring risk response and contingency plans are put into action appropriately and are effective; Ensuring that contingency reserves (schedule and cost) are updated according to the updated risk assessment. Inputs: Project management plan; Risk register (see); Work performance data (may help you see if a risk event is about to occur); Work performance reports (see; often status report). Tools & Techniques: Risk reassessment (regular activity, close non-viable risks, might have to revisit Perform Qualitative & Perform Quantitative Risk Analysis); Risk audits (typically not project team members, but are expertly trained and focus on response plans, processes and effectiveness at dealing with risks and root causes); Variance and trend analysis; Technical performance measurement (focus on milestones completed vs. planned during Executing processes); Reserve analysis; Status meetings. Outputs: (1) Work performance information; (2) Change requests (including recommended corrective and preventive actions; workaround - unplanned response to a negative risk event); (3) Project management plan updates; (4) Project document updates (update risk register for changes, additions and to record results of risk responses); (5) Organizational process assets updates.
Process 5.4: The process of subdividing project deliverables and project work into smaller, more manageable components at different levels. The WBS (Work Breakdown Structure) process is useful for estimating costs & time, scheduling resources, and determining quality controls. Each component should be defined clearly & completely and should describe how the work will be performed & controlled. WBS Description: Format is hierarchy of total scope of work to accomplish project objectives & create required deliverables and uses some combination of a Chart structure often used (like organization chart), or an Outline form. Different ways to organize: (a) Major deliverables & subprojects (major deliverables are 1st level of decomposition = 2nd level of WBS); (b) Subprojects done outside (some subprojects might be 1st level of decomposition); (c) Project phases (each phase would be 1st level of decomposition). WBS Levels: Level 1 is the project level (project name); Level 2 (major deliverables; use nouns to describe higher levels); Lowest level is "work package level" (use verbs to describe lowest levels); "100-percent rule" = all levels roll up to top. If a work package only has one action then broken down too far. Goal: Break out work to where responsibility & accountability for each work package can be assigned to an organizational unit or team. Work Package: Where time, cost and resource estimates are determined & summarized; cannot be assigned to more than one control account. Control Account: Each work package assigned to just one control account so there can be a management control point used in EVMS; A control account may have more than one work package. "Create WBS" is a process, not an output. (Note: "Activities" are not part of WBS; decompose them later in "Define Activities" process 6.2.) Inputs: Approved Project Scope Statement (objectives, requirements & deliverables) [most important input which is an output from process 5.3]; Scope Management Plan (output from process 5.1); Requirements documentation (output from process 5.2); Enterprise environmental factors; Organizational process assets. Tools & Techniques: Decomposition (see Decomposition: a 5-step process); Expert judgement. Outputs: (1) Scope Baseline: (a) WBS (described above); (b) WBS Dictionary (see separate description); & (c) Project Scope Statement (see & output of 5.3); (2) Project document updates.
A method (schedule network analysis technique) used to estimate the minimum project duration and determine the amount of "float" or scheduling flexibility for each of the logical network paths within the schedule model. (Note: float = slack; starts ASAP; this approach maximizes slack (localized safety); supports working as slowly as possible using contingency allowances; focus on tasks with zero slack. Compare with Critical Chain Method which modifies CPM.) CPM first determines the earliest start date, earliest finish date, and then the latest start date, latest finish date for each activity. It does not consider resource availability [vs. Critical Chain which considers limited resources]. Relies on sequential networks and a single duration estimate for each activity. Precedence diagramming method (PDM) can be used to perform CPM. Method: (1) Set up chart with activity IDs, activity name, dependencies and durations for each; (2) Calculate Early Start & Early Finish based either on calendar days or on # days using zero as initial start (in case of calendar only -1 day for each finish day), calculate subsequent activities to end (for calendar assume finish at day end so next activity starts next day and -1 for each finish day, for # days each next activity starts same day as precedent); (3) Calculate backwards from finish day beginning from last activity Late Finish (same day as last Early Finish day) & Late Start (working backwards for calendar days each prior activity Late Finish is one day prior to subsequent Late Start, subtract duration & +1 for each); check & if dependencies rely on activity being calculated then apply Late Finish (-1 if calendar) to that date; enter slack using Latest Start - Earliest Start [same as Latest Finish - Earliest Finish]; (4) Any activity with a zero float time or negative float (when Early Start subtracted from Late Start =<0) is considered to be critical path tasks. A "finish no later than" constraint can change the critical path if it is not met. "Float time" or "slack time" has two types: Total float (TF is how much you can delay the start of a task without delaying the ending of the project); Free float (FF is the amount of time you can delay the start of a task without delaying the earliest start of a successor task).
Process 9.3: The process of improving competencies, team member interaction, and overall team environment to enhance project performance. Inputs: Human resources management plan; Project staff assignments; Resource calendars. Tools & Techniques: Interpersonal skills (see; AKA: Soft skills or emotional intelligence such as leadership, team building, motivation, communication, influence, decision-making, empathy [political & cultural awareness], negotiation, trust-building, conflict management, coaching, counseling creatively to work with team members and other departments involved); Training (assessing team member skills & abilities and needs of project; use formal/ planned training including on-job (OJT), classroom, online, computer-based (CBT); use informal/ unplanned training including mentoring [listening], & coaching [active teacher], observing, or asking how to perform a task); Team building activities (to get a diverse or geographically spread group to work together in the most efficient and effective manner possible; see "team-building activities"); Ground rules (see); Co-location (AKA: "tight matrix" to improve communication, working relationships, productivity, & may include where people brought together in a project "war room" to meet face-to-face and exchange information); Recognition & rewards (Use throughout project; Extrinsic motivators - for those who need material rewards like a bonus vs. Intrinsic motivators - for what drives people by nature, culture or religion; Document criteria; Avoid seeming to play favorites; To avoid win-lose discouragement, try team awards; Award for above & beyond call of duty; Consider Intrinsic motivators for awards; See "Motivational Theories"); Personnel assessment tools (attitudinal surveys, specific assessments, structured interviews, ability tests, & focus groups; used to highlight strengths & weaknesses such as communication techniques, interpersonal skills & preferences, organizational skills, decision-making skills, etc.). Outputs: (1) Team performance assessments (team effectiveness, improvements, & recommended improvements [effectiveness, competency, turnover, & cohesiveness]; related to technical, schedule, & budget); (2) Enterprise environmental factors updates.
Process 6.6: The process of analyzing activity sequences, durations, resource requirements, and schedule constraints to create the project schedule model. Repeated several times (along with Estimate Activity Resources & Estimate Activity Durations) before the Project Schedule is completed. Most software programs can automatically build the schedule once the activity information is entered. Inputs: Schedule management plan; Activity list; Activity attributes; Project schedule network diagrams; Activity resource requirements; Resource calendars; Activity duration estimates; Project scope statement; Risk register; Project staff assignments; Resource breakdown structure; Enterprise environmental factors; Organizational process assets. The most important constraints are time constraints: (1) Imposed dates (start no earlier than & finish no later than); and (2) Key events/ major milestones. Tools & Techniques: Schedule network analysis; Critical path method; Critical chain method; Resource optimization techniques; Modeling techniques; Leads & lags; Schedule compression; Scheduling tool (software; why not project management software?)(See separate entries for definitions.) Key Outputs: Project schedule (see); Schedule baseline (approved version of project schedule, used for comparison to actual results, and can only be changed by formal change control). Other Outputs: Schedule data (includes at least schedule milestones, schedule activities, activity attributes, documentation of all identified assumptions & constraints; possibly also include resource requirements/ histogram, alternative schedules, scheduling of contingency reserves); Project calendars; Project management plan updates; Project documents update (activity resource requirements document, activity attributes, calendars, and the risk register).
Process 4.3: The process of leading and performing the work defined in the project management plan and implementing approved changes to achieve the project's objectives. Inputs: Project management plan (documents the collection of outputs of the planning process, documents the project goals, and describes & defines how to execute, monitor, control & close the project); Approved change requests (part of Perform integrated change control process 4.5); Enterprise environmental factors (company culture & organizational structure, facilities, personal guidelines, risk tolerance levels, and PMI Systems); Organizational process assets (historical information; organizational guidelines & work processes; measurement, issue & defect databases). Tools & Techniques: Expert judgement; Project management information system (PMIS); Meetings. Outputs: (1) Deliverables (activity completion dates [including training completed & capabilities used to perform a service described in the plan], milestone completion, deliverable status, deliverable quality, costs, schedule progress, updates, etc.); (2) Work performance data (Schedule status & progress; Deliverable completion status; Schedule activity start-status-end dates; % overall work completed; Quality standard adherence; # change requests; Cost status [authorized & incurred]; Started activity completion date estimates; Schedule activities % complete; Lessons learned; Resource consumption & utilization); (3) Change requests (formal request to bring about a change that requires revising a document, a project baseline, a deliverable or some combination of all three - see "Change Management Plan"); (4) Project management plan updates; (5) Project document updates.
Process 6.5: The process of estimating the number of work periods needed to complete individual activities with estimated resources. Expressed in hours, days, weeks or months. Inputs: Schedule management plan; Activity list; Activity attributes; +Activity resource requirements; Resource calendars; +Project scope statement; Risk register; +Resource breakdown structure; Enterprise environmental factors; Organizational process assets (such as project calendars) [+add'l to inputs in Est. Activity Resources]. Also use productivity metrics, historical information, scheduling methodology and lessons learned. Tools & Techniques: Expert judgement (go to members who will perform, but also check historical info & other experts); Analogous estimating (AKA "top-down" estimating; it is a "gross value estimating" technique that can be used to estimate the overall project duration and cost; typically less time-consuming & less costly than other methods, but less accurate); Parametric estimating (uses algorithm to calculate cost or duration based on historical data & project parameters); Three-point estimating (est. cost or duration by applying an avg. of optimistic, pessimistic & most likely est.); Group decision-making techniques (incl. Delphi which includes subject matter experts); Reserve analysis (contingency reserves, buffers or time reserves based on percentages or set number of work periods; may include management reserves for unknown events not identified as risks (but these management reserves are not part of baseline); modify these as the project progresses). Outputs: (1) Activity Duration Estimates (should be expressed as x hours, days, etc. +/- hours, days etc.); (2) Project Documents Updates.
Process 7.2: The process of developing an approximation of the monetary resources (human and material) needed to complete project activities. Inputs: Cost management plan (policies and procedures to plan/ estimate & to execute/ manage & control project costs); HR management plan; Scope baseline (cannot estimate costs if you do not understand the scope); Project schedule; Risk register (cost to implement risk response); Enterprise environmental factors (supply rates); Organizational process assets (est. worksheets from past projects). Tools & Techniques: Expert judgement; Analogous estimating; Parametric estimating; Bottom-up estimating; Three-point estimating; Reserve analysis; Cost of quality; Project management software; Vendor bid analysis (responsive bids from qualified vendors; may need to add costs to that); Group decision-making techniques. Outputs: (1) Activity cost estimates (initially estimate -25 to +75%; later -5% to +10% [tolerance for project's budget = $x +/- 10%]; relevant costs may include direct labor, direct materials, equipment, services, facilities, inflation allowance, FX, cost contingency reserves, & indirect costs); (2) Basis of Estimates including: (a) How estimate developed; (b) Assumptions or methods; (c) Constraints; (d) Range of estimates; (e) Confidence level of final estimate; Note: CODB (Cost of Doing Business) = EFTW (Essential First Time Work) + COQ (Cost of Poor Quality) w/ COQ made up of
conformance work (what you do to prevent something from being made poorly) + nonconformance work (rework); (3) Project documentation updates.
Process 11.2: The process of determining which risks (negative & positive) may affect the project and documenting their characteristics. Iterative process that continually builds on itself. Inputs: Risk management plan (particularly roles & responsibilities section); Cost management plan; Schedule management plan; Quality management plan; Human resource management plan; Scope baseline (project scope statement's list of assumptions should be reviewed & revalidated); Activity cost estimates; Activity duration estimates; Stakeholder register; Project documents; Procurement documents; Enterprise environmental factors; Organizational process assets. Tools & Techniques: Documentation reviews; Information gathering (Brainstorming [most often used which includes the Nominal Group Technique where everyone writes down risks on a list or sticky notes], Delphi [anonymous questionnaire with choices, then participants rank by risk impact], Interviewing, Root Cause Analysis); Checklist analysis (from historical information); Assumptions analysis (3 Qualities to Examine: accuracy, completeness & consistency; 2 Factors to Test: strength/ validity & consequences if false); Diagramming techniques (Cause & effect [fishbone or Ishikawa]; System or process flowcharts [logical steps w/ yes-no decisions]; Influence diagrams [how variables interact & what they affect]); SWOT or internal-external analysis (typically S&W are internal and O&T are external); Expert judgement. Output: Risk register which includes (1) List of identified risks; (2) List of potential responses.
Tool & Technique of processes 9.3; 9.4; 13.3. Ability to establish and maintain relationships with other people. Three types: Leadership (see Leadership Styles; see Situational Leadership); Influencing (see); and Effective decision making (timely and reflect and support project goals). Leadership: Ability to get things done through others. Lead - "Do right things" vs. Manage - "Do things right".) Establish focus direction towards a common goal; Enable group to perform as a team; Critical at beginning phases of project for communicating vision & motivating participants to achieve high performance. Team building: Help people with common purpose work together. Help with tasks (clarify goals, roles, responsibilities & procedures); Help with processes (interpersonal behavior); Enhanced by top management support (key), team member commitment, rewards & recognition, team identity, ethics, & open communication. Motivation: Forces that activate & direct behavior. Meet project objectives while providing maximum satisfaction for what people value most (job satisfaction/ self esteem, challenging work/ self actualization), sense of accomplishment, sense of accomplishment/ social needs, achievement & growth, financial compensation, etc.). Communication: Exchange of information between people. Awareness of styles, personalities, cultural norms, & environmental context; Identify communication channels, necessary information, interpersonal skills; Listening is very important. Influencing: Power-sharing strategy of cooperation on common goal. Rely on interpersonal skills to gain cooperation; Guidelines include leading by example, clarify decision-making process, use flexible interpersonal skills, & adjust to style of audience; Think long term. Decision-making: Process of making choices or reaching conclusions. 4 decision styles: command, consult (expert based), consensus (select among alternatives team can live with), coin flip (random). 4 factors influence decision-making style: time constraints, trust, quality, & acceptance. (see six-phase model). Political & Cultural Awareness: Background, norms, & expectations. Politics - process for making resource allocation decisions. Culture - Shared values & beliefs of a group; behaviors & expectations. Empathy. Negotiation: Strategy of conferring with parties to gain compromise or agreement. Process: Analyze situation, differentiate wants & needs, focus on interests & issues, ask high-offer low-be realistic, if conceding act as if value is being given to the other party, work for win/win, listen, & articulate effectively. Trust-Building: Confidence in & reliance on good qualities. Actions: open & direct communication, notify stakeholders promptly, ask non-assumptive questions of project team members, do not withhold information because you might be wrong, be open to innovation, & avoid conflicts of interest. Conflict Management: Handling, controlling, guiding a conflict to resolution. Identify causes of conflict using the best style for the situation: collaborative (often is preferred), assertiveness, accommodation, avoidance, & compromise. Act to minimize the consequences of conflict, but consequences are the motivation for change. Coaching: Addresses poor performance in "can't do" situations. Team member is not meeting expectations because lacking skill, knowledge, or experience. Helps close gap and make more productive, confident & achieve potential. Counseling: Addresses poor performance in "won't do" situations. Team member is not meeting expectations because of improper attitude, failure to accept, or dysfunctional behavior. Counseling should be documented per organizational policy (probably need witness if could result in discipline), linked to performance plan, & monitored for compliance.
Process 9.4: The process of tracking team member performance, providing feedback, resolving issues, and managing team changes to optimize project performance. Main questions, are the resources: Focused (on scope); Productive (on schedule); Affordable (within budget); Following organizational policies & procedures; Prepared for success? Inputs: Human resource management plan; Project staff assignments; Team performance assessments; Issue log (from opinion differences to newly surfaced responsibilities needing to be assigned; include date of issue and who is responsible to address); Work performance reports (an output of Monitor and Control Project, these document status of the project compared to forecasts - including cost control, scope validation, schedule control and QC); Organizational process assets. Tools & Techniques: Observation & conversation; Project performance appraisals (annual or semiannual where managers let employees know of their performance, clarify roles & responsibilities, give constructive feedback, discover issues, develop training plans, establish goals for future); Conflict management (see; assumes conflicts are likely); Interpersonal skills (see; Leadership; Influencing; Effective decision making). Outputs: (1) Change requests; (2) Project management plan updates (Outputs pertain to updates related to human resources management plan or staffing management plan); (3) Project document updates; (4) Enterprise environmental factors (Performance appraisal issues are resolved and personnel skill updates): (5) Organizational process assets updates (Historical information/ lessons learned documentation, templates, and organizational standard processes).
Process 13.3: The process of communicating and working with stakeholders to meet their needs/ wants/ expectations, address issues as they occur, document and monitor elements under discussion or under dispute between stakeholders, and foster appropriate stakeholder engagement in project activities throughout the project life cycle. (Key is to manage expectations.) Inputs: Stakeholder management plan; Communications management plan; Change log (log that documents all the changes made during the course of the project); Organizational process assets. Tools & Techniques: Communication methods (Note: face-to-face most effective with stakeholders); Interpersonal skills (see); Management skills (ability to plan, organize, direct & control individuals or groups to achieve specific goals; helps: facilitate consensus towards project objectives; influence people to support project; negotiate agreements to satisfy project needs; modify organizational behavior to accept project outcomes). Outputs: (1) Issue log (acts like an action item log to record actions needed to resolve stakeholder concerns and project issues they raise and to ensure that the project team has same understanding as stakeholders on the issue; rank by urgency & potential impact; assign responsible party & due date; document issues); (2) Change requests; (3) Project management plan updates; (4) Project documents updates; (5) Organizational process assets updates (stakeholder notifications, project reports, project presentations, project records, feedback from stakeholders, & lessons learned documentation).
Process 11.3: The process of prioritizing risks for further analysis or action by assessing and combining their probability of occurrence and impact. Helps determine if quantitative risk analysis should be done. Considers risk tolerance levels particularly related to project constraints (scope, time, cost & quality) and time frames of potential risk events. This process should be performed throughout the project. Risk attitudes of those assisting should be identified and managed to avoid bias. Inputs: Risk management plan; Scope baseline [Note: Quantitative Risk Analy. has Cost & Sched. mgmt. plan vs. Scope baseline]; Risk register; Enterprise environmental factors; Organizational process assets. Tools & Techniques: Risk probability and impact assessment (Probability [mutually exclusive outcomes add to 1], Impact [relative or ordinal scale (high, med., low) & cardinal (0.0-1.0)], Scales defined in Plan Risk Management stage and usually set by organizational process assets); Probability and impact matrix/ grid (Line up each risk on the matrix); Risk data quality assessment (unbiased & accurate); Risk categorization; Risk urgency assessment (based on triggers, time to react, risk rating); Expert judgement. Output: Project document updates (Risk ranking/ priority; Risk scores; Updated probability & impact analysis; Risk urgency information; Causes of risk; List of risks requiring near-term responses; List of risks needing additional analysis & response; Watch list of low-priority risks; Trends in qualitative risk analysis results).
Process 8.2: The quality management process used to audit/ verify/ increase confidence that the quality standards laid out in the project management plan are being satisfied/ met. The process of performing systematic quality activities and auditing the quality requirements and the results from quality control measurements to ensure that appropriate quality standards and operational definitions are used and performed efficiently and effectively. Can achieve continuous process improvement through this process. QA department may be assigned to oversee this process and provide this service. Inputs: Quality management plan; Process improvement plan; Quality metrics; Quality control measurements; Project documents. Tools & Techniques: Quality management and control tools (Affinity diagrams or KJ Methods; Process Decision Program Charts [PDPC]; Interrelationship Digraphs; Tree diagrams; Prioritization matrices; Activity network diagrams; Matrix diagrams); Quality audits (fit for use & meets safety standards, follows relevant laws & standards, corrective actions recommended & implemented, quality improvements identified, process gaps & shortcomings identified, best practices implemented; experienced teams perform audits which can be internal - reported to project team & management, or they can be external - reported to customer); Process analysis (follows steps in the process improvement plan; examines & performs root-cause analysis on problems experienced, constraints experienced, and inefficient & ineffective actives identified during the project; looks at process improvement from an organizational & technical perspective; develop preventative actions). Outputs: (1) Change requests (any recommended corrective actions should be acted on immediately and processed through the change control process); (2) Project management plan updates; (3) Project document updates; (4) Organizational process assets updates.
Process 9.1: The process of identifying and documenting project roles, responsibilities, required skills (competency), reporting relationships, and creating a Staffing Management Plan (see). Covers individuals and groups, as well as internal and external resources. This process is closely connected to the Plan Communications Management process. Documents role clarity regarding Authority (see); Responsibilities (see); & boundaries. Inputs: Project management plan (Subsidiary plans: Stakeholder management plan, Stakeholder register, Risk register, Change control, Configuration management plans); Activity resource requirements (Estimate activity resources yielding the RBS); Enterprise environmental factors (Factors: Org., HR & market conditions, Personnel policies, Technical, & Interpersonal-Location-Logistics; Constraints: Org. structure, Collective bargaining agreements, & Econ. cond.); Organizational process assets (Org. process & std. role descr., Templates & Checklists [Templates: Project descr., Org. charts, Perform. appraisals, & Conflict mgmt. process; Checklists: Training req., Project roles & resp., Skill & competency levels, & Safety issues], Historical info., & Escalation procedures). Tools & Techniques: (1) Organizational charts & position descriptions (Hierarchical charts: Organizational breakdown structure OBS & Resource breakdown structure RBS; Matrix-based charts: Responsibility assignment matrix RAM [such as a RACI chart - Responsibility, Accountable, Consult & Inform]; Text-oriented format: Position description, or Role-responsibility-authority forms); (2) Networking (see); (3) Organizational theory (see Functional, Weak Matrix, Balanced Matrix, Strong Matrix, Projected, Composite Organizations); (4) Expert judgement; (5) Meetings. Output: Human Resource Management Plan made up of: (a) Roles & responsibilities documentation in RAM or RACI or Text format including: Role, Authority, Responsibility, & Competency (skills & ability needed); (b) Project org. charts; & (c) Staffing management plan (Staff acquisition; Resource calendars; Staff release plan; Training needs; Recognition & rewards; Compliance with regulations or contracts; & Safety).
Process 12.1: Describes how the project team will acquire products & services from outside a performing organization. Provides guidance on the process of documenting project procurement decisions, and what approaches to use through contract closure. Includes using procurement documents & contracts, guidance for contract types (see Valid Contract Elements; see Contract Types), risk management issues, unilateral or procurement department purchases, independent estimates as evaluation criteria, coordinating procurements with other projects, managing multiple suppliers, any requirements for bid bond (before contract awarded) or performance bonds, insurance or prequalified sellers), and identifying potential sellers. Note: Each procurement item requires a Procurement Statement of Work (SOW) (see section). Inputs: Project management plan (scope baseline - project scope statement & product scope description, WBS & WBS dictionary; constraints); Requirements documentation; Risk register (risk-related contract decisions); Activity resource requirements; Project schedule; Activity cost estimates; Stakeholder register; Enterprise environmental factors (marketplace conditions); Organizational process assets (procurement policies; supplier system with prequalified sellers). Tools & Techniques: Make-or-buy analysis (include direct & indirect costs, other factors like capacity, skills, availability, trade secrets; consider leasing); Expert judgement; Market research (see Contract types: (a) Fixed price contracts [Firm fixed-price: FFP; Fixed-price incentive fee: FPIF; Fixed price with economic price adjustment contracts: FP-EPA]; (b) Cost-reimbursable contracts [Cost plus fixed fee: CPFF; Cost plus incentive fee: CPIF; Cost plus percentage of cost: CPPC; Cost plus award fee: CPAF], and Time & materials; see Procurement Agreement Components); Meetings. Outputs: (1) Procurement management plan (see section); (2) Procurement statement of work (see section); (3) Make-or-buy decisions (documents the decisions & includes services, products, insurance, performance & performance bonds); (4) Procurement documents (see section); (5) Source selection criteria (see section); (6) Change requests (change requests must be processed through the Perform Integrated Change Control process; changes might be due to vendor availability, capability or proposed solutions including cost or quality changes); (7) Project document updates (updates to the requirements document, the requirements traceability matrix, the risk register, etc.).
Process 8.1: The process of identifying quality requirements and/or standards for the project and its deliverables, and documenting how the project will demonstrate compliance with quality requirements. Planning should be performed when developing the other planning processes while developing the project management plan. Quality should be planned, designed, and built in - not relying upon inspection. Inputs: Project management plan (particularly the Scope baseline - which is based on the project scope & requirements - and also the Schedule baseline - with start & end dates - and the Cost baseline); Stakeholder register; Risk register; Requirements documentation (based on Standards - non-mandatory such as ISO [PMBOK designed to be in alignment with ISO], Regulations -mandatory by government or recognized institutions like AMA, Guidelines, or Rules); Enterprise environmental factors; Organizational process assets (Quality policy of company - all key project stakeholders should be made aware of and have received copies the quality policy). Tools & Techniques: Cost-benefit analysis (Expense vs. Higher stakeholder satisfaction, costs, & productivity and less rework); Cost of quality (total cost of product meeting quality vs. not meeting including work due to nonconformance and rework); Seven basic quality tools; Benchmarking; Design of experiments; Statistical sampling; Additional quality planning tools (Brainstorming; Force field analysis; Nominal group technique; Quality management & control tools); Meetings. Outputs: (1) Quality management plan (see separate entry); (2) Process improvement plan (see separate entry); (3) Quality metrics (see separate entry); (4) Quality checklists (see separate entry); (5) Project documents updates (Stakeholder register; RAM and possibly also WBS and WBS dictionary).
Process 11.5: The process of developing options and actions to enhance opportunities and to reduce threats to project objectives. Deciding what actions to take to reduce threats and take advantage of opportunities discovered during the risk analysis process. Includes assigning departments or individuals ("risk owners") the responsibility of carrying out the responses. Focus on high probability and significant impact risks. Risk responses should be cost effective, timely, and agreed to by stakeholders. Inputs: Risk management plan; Risk register. Tools & Techniques: Strategies for negative risks or threats (Avoid - change or improve plan; Transfer - to third-party, warranty, bonds; Mitigate - reduce probability or impact such as by more testing or better vendors; Accept - passive & take consequences or active & prepare contingencies); Strategies for positive risks or opportunities (Accept - if it happens; Exploit - complete faster; Share - such as JV; Enhance - help realize benefits); Contingent response strategies (Contingency planning for when the risk event occurs such as contingency reserves); Expert judgement. Outputs: (1) Project management plan updates; (2) Project document updates (Prioritized list of identified risks & what they impact; Risk ranking; Risk owners & responsibilities; Outputs from Perform Qualitatitive Analysis; Agreed response strategies; Actions to implement response plans; Cost & schedule activities to implement risk responses; Contingency plans; Fallback plans; List of residual/ leftover & secondary/ resulting risks; Contingency reserves).
Under Develop Project Team process 9.3. Team building theories and characteristics. Theories: Dr. Bruce Tuckman & Mary Ann Jensen (Tuckman-Jensen, or Tuckman Ladder) team development model on 5 Stages of Development. (1) Forming (all team members introduced formally & told objectives of project; told why each assigned); (2) Storming (team vies for position & control; raise issues & ask questions; let team resolve their own conflicts, but conflicts need to be resolved); (3) Norming (focus on project problems instead of people problems; decisions made jointly; continue to hold team meetings & intervene more often to avoid slipping back to storming; now have efficiently functioning teams, but not most efficiently); (4) Performing (mature stage with high team trust, most productive & efficient, self-directed; team leader can focus on project management processes and keeping lines of communication open vs. managing team itself); (5) Adjourning (after work is completed; sense of loss, so good to celebrate & thank them). Note: A new team member starts the stages over again. Leaders evolve in styles to match team needs & development level from directing to coaching, to participating, and then to developing. Characteristics: Effective teams are energetic, high-performing, motivated by task completion, enthusiastic and creative problem solvers. Poor teams attitudes can be contagious and include lack motivation or have "don't care" attitudes, perform poorly, whine at status meetings, communicate poorly, lack respect or trust for project manager.
Under Develop Project Team process 9.3. Motivation - Ideas on why people act the way they do and how you can influence them. Leadership - Leaders vs. Managers: Leaders motivate, inspire and create buy-ins for the strategic vision and use power and politics to accomplish the vision. Managers are task-oriented and concerned with satisfying stakeholders. Leadership styles: Autocratic; Laissez-faire; Democratic. Maslow's Hierarchy of Needs: Abraham Maslow's 5 basic needs arranged in hierarchical order from the highest level such that once the lowest need is met it is no longer a motivator: (1) Self-actualization - performing at your peak potential; (2) Ego/ Self-esteem - accomplishment, respect for self, capability; (3) Social - sense of belonging, love, acceptance, friendship; (4) Safety and security - physical welfare & security of your belongings; (5) Basic Physical - Food, clothing, shelter. People are not stuck at a certain level, but go up and down in their lives and careers. (Later Maslow discussed three additional aspects of motivation: Cognitive, Aesthetic, Transcendence.) Hygiene Theory: Frederick Herzberg' theory (AKA: "Motivation-Hygiene Theory") Hygiene factors prevent dissatisfaction - pay, benefits, working conditions, peer & manager relationships. Motivators lead to satisfaction - challenging work, opportunities to learn, advancement. Expectancy Theory: Victor Vroom's expectation of a positive outcome drives motivation; people become what you expect of them. Achievement Theory: David McClelland's people are motivated by achievement, power and affiliation. Theory X: McGregor - these managers believe most people don't like work; Theory Y: McGregor - these managers believe people are motivated to perform their best given proper expectations and motivation. Theory Z: Ouchi - implementing steady employment increases worker loyalty and leads to high satisfaction and morale. Contingency Theory: people are motivated to achieve levels of competency and will continue to be motivated after competence is reached. Tannenbaum and Schmidt Continuum Management Theory: you use seven levels of delegated freedom ranging from manager to team making all decisions when working with the team (level depends on the maturity and experience of the team and manager). Situational Leadership Theory: Hershey and Blanchard - different situations call for different leadership styles. (In the Situational Leadership II Model,Blanchard uses directive, coaching, supportive and delegating.) The Power of Leaders: (1) Reward power - reward desirable behavior with incentives or bonuses; (2) Punishment, penalty or coercive power - threaten with consequences if expectations not met; (3) Expert power - influencer has significant knowledge or skills; (4) Legitimate or formal power - power from position held; (5) Referent power - inferred to the influencer by subordinates such as from respect.