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 Table of Contents

Introduction 5
Project Management Introductory Concepts 8
Management Framework and Processes 9
Project Integration Management 47
Monitoring and Controlling the Project 55
Closing the Project 122
All Domains: Cross-Cutting Knowledge and Skills 164
Professional and Social Responsibilities 172

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The objective of this course is to provide the participant with the
knowledge and information necessary to understand the Executing
and Monitoring and Controlling and processes within project
management. The participant will be able to demonstrate
understanding through online review.

Recommended but not included with the course is the PMI book:
A Guide To The Project Management Body of Knowledge 5th Edition,
(PMBOK Guide) which may be purchased at: www.pmi.org.

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"PMI", "PMBOK Guide", and "PMP" are registered marks of the Project Management Institute Inc.
1. Read Project Management Introductory Concepts, Initiating the
Project, Cross-Cutting Skills, and Professional and Social
Responsibility from this guide, along with the following PMBOK
Guide Chapters/sections: Chapter 1, Chapter 2, Chapter 3. Read
and refer to the Terms Guide as well.

2. Read Monitoring and Controlling the Project from this guide,

along with the following PMBOK Guide Sections: 4.4, 4.5, 5.5,
5.6, 6.7, 7.4, 8.3, 10.3, 11.6 12.3, 13.4. Complete the online
web-based tests on Monitoring and Controlling.

3. Read Closing the Project from this guide, along with the
following PMBOK Guide Sections: 4.6, 12.4. Complete the
online web-based test on Closing.

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4. Complete the Project Processes Two Completion exam on the
left hand menu. A passing score is 68% or greater. You may take
the exam an unlimited number of times. Note that you must be
online when taking the Project Processes Two Completion
Exam. Your results will be transmitted automatically to PM
Educate for review upon completion. Your certificate will be
made available to you immediately to print or save after
completing the Project Processes Two Completion Exam. You
are responsible for submitting your PDUs to the PMI at
www.pmi.org.

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A PROJECT by definition is a temporary undertaking to create a unique
product, service, or result.* Projects help the organization achieve its goals.
Projects organize activities that are not addressed through usual day-to-day
operations.

Characteristically, a project:

is temporary
creates unique products, services, or results
provides progressive elaboration

Examples of projects include:

creating a new product

creating a new service
constructing a building
deploying a new business process
buying a new information system

*This definition is taken from the Glossary of the Project Management Institute,
A Guide to the Project Management Body of Knowledge, (PMBOK Guide) Fifth
Edition, Project Management Institute, Inc., 2013.
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Both projects and operations:

have people perform them

are constrained by limited resources
are planned, executed, and controlled

Operations differ from projects because they:

are ongoing and repetitive

have objectives that are continuous
adapt to new objectives so the work continues to sustain business

PROGRAMS are groups of projects managed in a coordinated way to obtain

greater benefits and control, which could not be achieved from managing the
projects separately. They are a combination of related projects.

PLANS are characterized and classified according to:

their function or use to which they are applied

their objectives, policies, procedures, methods and rules
whether they are short-term or long-term in duration

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PORTFOLIOS are collections of projects or programs and their associated
operations that are grouped together to facilitate effective management, as well
as to meet strategic objectives.

PORTFOLIO MANAGEMENT:

satisfies strategic business objectives

aids in selecting appropriate projects and programs to maximize the
portfolio value.
typically requires senior managers to be responsible for an
organization's portfolio management.

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PROJECT DELIVERABLES can be unique products, services, or results. They are
measurable, verifiable work products. Examples include: feasibility studies,
prototypes, design documents, or specifications.

PRODUCTS are quantifiable. They can be an end item, or a

component item.
SERVICES support production or distribution. For example, business
functions which support production are services.
RESULTS can include new and beneficial processes.

THE PROJECT MANAGEMENT OFFICE (PMO) is referred to as a program

management office, project office, or program office.

The PMOs purpose is to aid in centralizing and managing a

program.
The PMO manages the overall centralized risks, opportunities,
resources, enterprise-wide technology, etc for numerous projects.

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PROJECT SCOPE is defined as work to be done.

The scope of the project is work that must be performed to deliver a

product, service, or result with specified features and functions. The
scope is defined when the team begins the planning phase.

The project scope begins as a general idea with end goals and
objectives. It becomes more detailed as the team develops a
structured breakdown of the project, identifying specific details.

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Establishing the 'project start-date' is important since there are many elements
of the project that depend on it, including when the project should be complete.

Set the project start date after:

the idea and budget are approved

the project manager and team are assigned
the project agreement or contract is signed
those directly involved in the project have met (pre-project meetings)

Establish the project end-date according to:

project acceptance
a specified test or implementation period after tasks or work is
completed status changes (upon individual phase completions)
assured satisfaction, or end of a production run.

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Project managers divide projects into phases to provide better management
control.

A PROJECT LIFE CYCLE is comprised of stages, from origin through to

completion.

The Project Life Cycle includes:

the beginning and end of a project

the transitional activities and ongoing operations links
technical work in each phase of the project
the deliverables generated
who does the work
how each phase is controlled and approved

The project life cycle may be just one phase of a product life cycle.

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SUBPROJECTS WITHIN PROJECTS have their own distinct life cycles.

Primary concerns during the entire Project Life Cycle are:

performance
time
cost

Note: Performance and schedule concerns are typically more important than
cost during all stages, because they determine quality and timely completion.

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Most Project Life Cycles share common characteristics:
Phases are typically sequential, defined by technical information.
Cost and staffing levels are LOW at the beginning of the project,
PEAK during the intermediate phases, and DROP SHARPLY as the
project concludes

INTERMEDIATE PHASE
INITIAL FINAL
Cost
PHASE PHASE
&
Staffing
Level

TIME

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Projects typically begin slowly, pick up speed, and progress to a peak, and
then slow again until they reach completion. Some projects slow down so
significantly toward the end that they actually act as though they are
resisting completion. The primary reason for this is the numerous parts that
must all come together, or loose ends that must be tied up.

% PROJECT
COMPLETION

100% END PROJECT

SLOW FINISH

QUICK
SLOW PROGRESSION
START

0% PROJECT
BEGIN PROJECT TIME

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The pattern of the SLOW-RAPID-SLOW progression is typically due to
the changing levels of resources and project effort during the life cycle.
TIME DISTRIBUTION: Things move more slowly at the beginning. Progress
picks up during project activity and slows as activity ceases, final
evaluations are done, and the project becomes complete.

PEAK LEVEL OF EFFORT

LEVEL
OF
EFFORT

PROJECT
TIME

Conception Selection Planning, Scheduling, Evaluation &

Monitoring & Controlling Completion

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THE LEVEL OF UNCERTAINTY IS HIGHEST = RISK OF FAILURE IS HIGHEST, at
the beginning of the project. The ability of stakeholders to influence the
final product and final cost are highest at the beginning of the project.

HIGH Influence of Stakeholders

Stakeholder
Influence

Cost of Changes

LOW

PROJECT TIME
Source: A Guide to the Project Management Body of Knowledge (PMBOK
Guide Guide), 5th Edition (2013, Project Management Institute, all rights
reserved)

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All managers are fundamentally responsible for directing people, which includes:

communicating
motivating
leading
coaching
administering procedures
conflict resolution

All managers perform similar duties in directing resources for which they are
accountable. These duties are known as FUNCTIONAL MANAGEMENT, which
include the functional responsibilities of:

planning
organizing
controlling
monitoring

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THE FUNCTIONAL MANAGER is a specialist, and knows technical details about
the work and operations. Functional managers are direct, technical supervisors,
and use an analytical approach to problem-solve and make decisions.

THE PROJECT MANAGER is a generalist and a facilitator, has a varied background

of experience and knowledge, and uses a systems approach to make decisions,
coordinate, and integrate the elements of the project toward completion.

Successful project managers are also adept at conflict and stress management.

THE PROJECT MANAGER (PM) is primarily responsible for:

project performance
successful project completion

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Characteristically, a successful project manager is someone who:

has a high degree of flexibility and adaptability to changes

is a good communicator
is persuasive
can function in an ambiguous environment with ill-defined
relationships
has the ability to manage and resolve conflict situations.

The project manager should be knowledgeable and skillful in:

interpersonal skills
general management as well as project management
practical applications of knowledge, standards, and regulations
the project environment

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The PMs responsibility to the organization:

competency
accurate and timely communications
alerting upper management and recommending alternative solutions
when technical, cost, or schedule objectives or contractual
obligations are not being met
proper resource utilization

The PMs responsibility to the project team:

maintaining effective communication and interpersonal relationships

providing adequate resources to accomplish the end result on time
and within budget
making or enforcing necessary decisions to avoid delays and to be
sure project objectives are met

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The PMs responsibility to the project:

ensure the integrity of the project

negotiate project contract work orders, change orders, and progress
payments with functional departments and managers
meet profit objectives
produce the specific end product or result within technical, cost, and
schedule specifications with the available resources

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PROJECT STAKEHOLDERS are anyone who positively or negatively impacts
the project, including the:

Project Manager who is not required to be a technical expert, but

is responsible for managing the project and project deliverables.
Customers who purchase the projects product or service.
Users who will directly use the end-product, end-service, or who
are affected by the end result.
The Performing Organization which is the enterprise whose
employees are most directly involved in the work on the project.
Sponsors who provide financial resources for the project.
Project Team Members which comprise the group performing the
work.
Others who include government agencies, media outlets,
individual citizens, owners, and sellers, etc.

Project Stakeholders are important because of the positive/negative impact

and influences they bring to the project.

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The organization is based on the process of organizing.

The principle of organizing:

is every managers responsibility

creates jobs and new positions
is not a one-time process

The result of organizing = AN ORGANIZATIONAL STRUCTURE

AN ORGANIZATIONAL STRUCTURE = a system of activity-authority

relationships

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Characteristically, organizational structures are both:

FORMAL: Having an officially established network and framework of

relationships between horizontal levels (divisions, departments) and
vertical levels (various management levels).

INFORMAL: Having voluntary and unplanned networks of

interpersonal relationships, methods, and procedures, which do not
appear on the organizational chart.

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 Characteristics FORMAL INFORMAL
Type of System Static Dynamic

Objective Achieve overall objective Resist change; informed about

organizational events; protecting group
members
Leadership Authority & responsibility are assigned per Informal leaders emerge as spokespeople
position for the group
Authority Bureaucratic Entrepreneurial

Power & Control Directly related to job description & position on A function of clout, influence,
the organizational chart connections, impressions
Reward System Sharing or withholding benefits based on Reflected by status within the group
contribution and loyalty to the org
Status & Symbols Differentiation between employees on various Higher status individuals are recognized
levels
Communications Formal communications following the chain of The grapevine might reinforce or distract
command from formal communication
Organizational Norms Formal rules, policies, procedures enforced Desire to fit in with peers; conform

Discipline Enforced per formal policies & procedures Group acceptance and enforcement

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AN ORGANIZATIONS CULTURE provides the organization and its employees
with an identity. It facilitates a commitment:

through rewards
through a social system which provides standards and procedures
and social norms
through influencing employee behavior and performance

The organizations culture directly influences the project through:

shared values, norms, beliefs, and expectations

policies and procedures
a view of authority relationships with subordinates
work ethic and work hours

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BUREAUCRATIC CULTURES provide control in the pursuit of an organizations
goals. They are:

formal structures
more objective and impartial in hiring, firing and promoting
focused on technical expertise rather than connections, social status
or family ties
governed by detailed rules and regulations

ENTREPRENURIAL CULTURES:

provide flexibility and personal latitude for employees to fully utilize

their strengths
are designed to empower employees and encourage responsibility
are informal, decentralized, have open communication and
relationships
have a wide span of control and emphasize flexibility, adaptability,
and creativity

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WEAK CULTURES:

inhibit success
have difficulty prioritizing
have weak or no leadership
lack daily organizational routines

EXCESSIVELY STRONG CULTURES:

can create barriers to change and improvement

can create diversity, and cross-departmental and cross-
organizational cooperation.

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The performing organizations structure and culture typically constrain
available resources, which in turn impact projects.

Major types of organizational structures include:

FORMAL (Functional) ORGANIZATIONS which are
hierarchical organizations that group staff by specialty
(engineering, manufacturing, accounting, etc.). The project
manager assumes little or no authority, nor does the project
manager have or need resources available.

PROJECTIZED ORGANIZATIONS which give the project

manager high to total authority, budget control, and access to
resources. Project management is a full-time role and the
project manager has an administrative staff.

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MATRIX ORGANIZATIONS which are a mix of functional and projectized
cultures. They distribute specified products or market functions to each
self-contained division or industry of the parent organization. The
functional manager controls the budget in weak organizations, and the
project manager controls the budget in strong organizations. The functional
manager and project manager share the responsibility within balanced
matrix organizations.

PMOs may be found in all types of organizations. However, they are more
predominantly found in PROJECTIZED and STRONG MATRIX types of
organizations that have more open environments and structures.

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 ORGANIZATIONAL MATRIX
STRUCTURE
FUNCTIONAL PROJECTIZED
PROJECT
WEAK BALANCED STRONG
CHARACTERISTIC

Project Managers Little or Limited Low to Moderate to High to Nearly

Authority None Moderate High Total

Resource Availability Little or Limited Low to Moderate to High to Nearly

None Moderate High Total
Project Budget Control Functional Functional Mixed Project Project
Manager Manager Manager Manager
Project Managers Role Part time Part time Full time Full time Full time

Project Management Part time Part time Full time Full time Full time
Administrative Staff
Source: A Guide to the Project Management Body of Knowledge (PMBOK Guide Guide), 5th Edition (2013, Project Management
Institute, all rights reserved)

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PROJECT MANAGEMENT involves processes of:

Initiating
Planning
Monitoring
Controlling
Closing

A Project Management system is a set of processes and control functions that

assists the project manager in managing a project to completion. These include
tools, techniques, technologies, and methodologies.

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The Project Management plan describes how the project management system
will be used in guiding the project to completion.

Why are Project Management plans important?

Project Management plans help avoid waste of time, resources, and

capital
Project Management plans provide a guide for implementation by
outlining what needs to happen, who needs to do it, and when and
how it needs to be done.

A PROCESS is intended to achieve a specified set of products, results or services

through execution of a series of interrelated actions.

PRODUCT-ORIENTED PROCESSES interact with, and overlap, project management

processes. Product-oriented processes create a specific end product.

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The Project Management process is a set of interrelated actions and activities
performed to achieve a specific goal or objective.
Project Management processes are:

integrative
integrated
defined according to Process Group.
The purpose of the project management process is to:

initiate
plan
execute
monitor and control
close the project

The project manager and team determine what processes from the process
groups will be implemented to achieve the desired objective. The concept for the
interaction among the project management processes is the PLAN-DO-CHECK-
ACT Cycle.

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The INITIATING PROCESS GROUP consists of the processes that facilitate the
formal authorization to begin a new project or project phase.

Prior to beginning these activities, business needs or

requirements are documented.
Stakeholder involvement is paramount, and helps ensure
success, shared ownership, and acceptance of deliverables.

The PLANNING PROCESS GROUP helps gather information from many

sources so the project management plan may be developed.

Interactions are dependent upon the nature of the project.

Feedback and refinement cannot go on indefinitely. Procedures
are set by the organization to determine an end point for the
planning effort.

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The EXECUTING PROCESS GROUP consists of processes used to complete the
work defined in the project management plan.

People and other project resources are coordinated.

Project management plan activities are integrated and
performed.
The scope defined in the project scope statement is addressed,
and approved changes are implemented.

Note: Normal execution variances will cause some re-planning.

The MONITORING AND CONTROLLING PROCESS GROUP consists of the

processes performed to observe project execution, so potential problems
may be identified in a timely manner and corrective action taken to control
the execution of the project.
d

Changes are controlled.

Preventive action is recommended in anticipation of potential
problems.
The entire project effort, as well as the project work itself, is
monitored and controlled.
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The CLOSING PROCESS GROUP consists of processes used to finalize all activities
and close the project or project phase.
Process Interactions:
Project Management process groups are linked by inputs and
outputs.
The output of one process typically becomes the input of another
process.
In accordance with the International Organization for Standardization (ISO):

STANDARDS are documents established by consensus, approved by a

recognized body, aimed at achieving an optimum degree of order in
a given context.
REGULATIONS are government-imposed, mandatory requirements
that specify products, processes, or services and their administration.
Standards vs. Regulations: All processes and their outputs must comply with
established rules, regulations, standards, and procedures.

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TO HELP ENSURE PROJECT SUCCESS, appropriate processes must be selected that
fit specific project objectives. A defined approach is adapted that is appropriate
for the project, and that complies with stakeholders' needs and expectations.
Project scope, resources, and risk are balanced to produce a quality product.

GOOD PRACTICE is a general agreement that the application of the project

management processes will enhance the chances of success over a wide range of
projects.

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Constraints must be balanced to effectively manage any project. A
constraint is a limitation or restriction on a given project management
factor. Common project management constraints are:

Schedule (or Time): The project must be completed in the agreed upon
time period
Budget: The project has limited funds
Resources: The project has limited human, natural, or technological
resources
Quality: The project must meet certain quality requirements
Risk: The project must operate within acceptable levels of risk
Scope: The project must operate within the project scope as defined

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Competing constraints within project management impact one another as
they change. For example:

Limiting project resources can impact project completion and the project
schedule
Limiting the project budget for resource spending can limit project
resources and also impact the project schedule
Increasing quality requirements for project deliverables can impact the
project budget
Altering the project scope can impact the project schedule and budget
Decreasing the tolerance for risk can impact the project budget and
schedule

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Due to many and varied responsibilities, project managers synthesize (combine)
their tasks, referred to as MULTI-TASKING.

To do this and maintain a degree of efficiency, the project manager must know:

What needs to be done?

When does it need to be done by?
How will the necessary resources needed to do the job be obtained?
Who will be the most concerned about each project phase as the
project progresses?

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Project Integration
Management

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INTEGRATION is primarily concerned with effectively combining project
management process groups required to accomplish project objectives in
accordance with organizational procedures.

PROJECT INTEGRATION MANAGEMENT involves identifying, defining,

combining, unifying, and coordinating various processes and project
management activities. Integration management includes planning and
scheduling, using a variety of tools such as CPM and PERT. It coordinates and
integrates interrelated stages and project processes to ensure timely and cost
effective project completion. In terms of project management, integration
management is characterized by unification, consolidation, and articulation of
integrative actions for successful project completion.

The Major Project Integration Management processes include:

1) Developing the project charter

2) Developing the project management plan
3) Directing and managing project work
4) Monitoring and controlling project work
5) Performing integrated change control
6) Closing the project (or closing the project phase)

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Primary objectives project managers attempt to accomplish through the integration
process include: performance, effectiveness, and cost.

The project manager should focus on performance reliability and quality. When the
project system needs to be corrected or repaired, it must be done efficiently and cost
effectively.

VALUE ENGINEERING is used to examine cost tradeoffs, which is an important part

of the integration process. Value engineering is a controlled application of common
sense and technical knowledge, directed at finding and eliminating unnecessary costs
within a project. Value engineering is designed toward a specific project.

The project manager uses integration management in:

decision-making
determining and mitigating potential risk
coordinating overlapping processes and activities

Although project management processes are typically presented as individual

components, in reality, they actually interact and overlap. The project manager must
consider all dynamic process interactions.

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Planning processes are integrated when:

project changes become necessary

revised scheduling/time and cost/budget management is required
there exists a risk that a problem is not isolated, or will not be
permanently resolved, or that the project cannot be completed.

Unforeseen obstacles arise during a project. All project life cycle phases can
experience conflicts. In the early project life-cycle, project elements are adjusting
to each other, and issues for debate may include:

project feasibility
basic project planning
objectives
proposed scope

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Additional resources used to resolve the problem and manage the situation are
required if the project is to continue toward completion.

Technical and interface problems have generally been solved, bypassed, or

resolved and put in place by the Integration Close Out phase. In instances where
technology might be installed on a client's system, for example, technical conflicts
might exist but tend to be minimal.

Schedules create the most conflict, as projects have firm deadlines which must be
met. Schedule slips might have occurred in previous phases that caused project
completion to be off-target.

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Cost overruns are usually tolerated providing they are not high or excessive.

Personality conflicts are the second biggest reason for conflict during close out.

When conflict arises between team members that results in delays in the project,
the project manager should focus on objective criteria and options for mutual gain.

The project manager that tries to avoid conflict is inviting disaster. The project
manager must focus on objective criteria for the project, as well as listen to
information needed to find a win-win. They must seek the most practical
resolution, so project execution can move forward.

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Integrative activities the Project Management team performs include:

scope analysis
product requirement documentation
measuring and monitoring the project and products
analyzing project risks

Note that project deliverables may also need to be integrated with operations.
Integration may be required with the performing organizations operations or
those of the customers organization. Integration can also encompass ensuring
the project is consistent with long term strategic planning for the organization.

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Project Integration Management includes the processes of:
Developing the Project Charter which formally authorizes the project
or project phase.
Developing the Project Management plan which documents all actions
necessary to coordinate subsidiary plans into a main project
management plan.
Directing & managing Project Work which executes the work defined
in the project management plan necessary to achieve project
requirements.
Monitoring & Controlling work, which monitors and controls
processes used to meet performance objectives defined in the project
management plan.
Integrating change control & Project Closeout which includes
reviewing all change requests and changes to deliverables and
organizational processes, and finalizing all activities to close the
project or project phase.

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 Monitoring and Controlling the Project Tasks
Task 1 Measure project performance
Task 2 Manage changes to project scope
Task 3 Ensure quality of project deliverables
Task 4 Update risk register and response plan
Task 5 Assess corrective actions
Task 6 Communicate project status to stakeholders
Knowledge and skills related to this domain include the
following:
Performance measurement and tracking techniques
Project control limits
Project performance metrics
Cost analysis techniques

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Domain 4:Monitoring and Controlling the Project
Variance and trend analysis
Project plan management techniques
Change management techniques
Integrated change control processes
Risk Identification and analysis techniques
Risk response techniques
Problem solving techniques
Reporting procedures

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Monitoring and controlling the project involves skills in managing change, risk
and quality.

The following knowledge and skills are specific for this domain and are
necessary to possess in order to execute the tasks in Domain 4:

Performance measurement and tracking techniques (ex. EV, CPM, PERT)

Project control limits
Cost analysis techniques
Variance and trend analysis techniques
Project plan management techniques
Change management techniques
Integrated change control processes
Risk identification and analysis techniques
Risk response techniques
Problem solving techniques
Reporting procedures

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In this task, the project manager measures project performance by using
appropriate tools and techniques.

The objective is to identify and quantify variances, perform approved corrective

actions, and communicate with relevant stakeholders.

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MONITORING is a part of project management that is performed throughout the
project. Monitoring includes:

collecting
measuring
disseminating performance information

Monitoring data is assessed to implement process improvements.

Continually monitoring the project helps keep the project (schedule and cost)
on-track, and identifies areas requiring special and immediate attention (quality
control). Monitoring also aids in mitigating pre-determined areas of risk.

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The integrative monitor and control process monitors and controls the project
in an effort to meet performance objectives. "Changes, cost scheduling, and
quality control" are activities performed within these processes. The process
includes monitoring and controlling activities used to:

initiate
plan
execute
close out a project

Monitoring and controlling project work involves:

keeping progress reports

measurements and forecasting
identifying and tracking project risks
tracking approved changes and processing documented updates
generally assessing and comparing project performance against
the project management plan

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The project manager implements corrective or preventive actions to control
project performance. Project Progress Payments are made at periodic intervals
until the project is complete. The amount of each payment is based on completed,
approved, and quality-accepted work, plus any additional markups for contractor
overhead and profit.

The EARNED VALUE TECHNIQUE, often called the earning rules and crediting
method, is used to measure performance throughout the project to closure. It
provides a means of forecasting future performance based on similar past
performance.

FORECASTS are estimates of future conditions and events of the project that are
based on information and knowledge available at the time. They are revised,
updated, and reissued based on work performance information provided as the
project is executed. Project work performance used for forecasting is based on
past and expected future performance information that can impact the project.
The information may include the estimate at completion and/or the estimate to
complete.

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PERFORMANCE INFORMATION INCLUDED IN PERFORMANCE REPORTING
includes how resources are used to achieve project objectives. More
specifically, reporting includes information on:

scope
schedule
cost
quality
risk
procurement

INPUT COLLECTED FOR PERFORMANCE REPORTING includes:

work performance information
performance measurements
forecasted project completion
quality control measurements
baseline information
requests to expand the project scope
deliverables
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Work performance information collected as part of the project execution phase
includes information on the completion status of the deliverables, as well as
what has been accomplished.

THE PERFORMANCE MEASUREMENT BASELINE is part of the project

management plan, which aids management control. It compares project
execution and deviations against an approved plan for the project work.

Integrated into the performance measurement baseline are the projects:

cost and quality parameters

scope
schedule
technical parameters

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APPROVED CHANGE REQUESTS input are requested changes that might be
necessary to expand or reduce project scope, or modify estimated cost or activity
durations that have already been approved for implementation by the project
team.

PERFORMANCE DELIVERABLES are unique and verifiable products, results, or

capabilities to perform a service that must be produced to complete a project
process or phase.

PERFORMANCE REPORTING TOOLS & TECHNIQUES:

THE EARNED VALUE TECHNIQUE (EVT) is used to measure the performance of

work and to establish the performance measurement baseline. The earned value
technique is also referred to as the earning rules and crediting method.

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SOFTWARE PACKAGES AND PROGRAMS that include table reporting and graphic
representations can be used to create presentation quality images of project
performance data.

STATUS REVIEW MEETINGS are regularly scheduled events, conducted to

exchange information about the project. Status review meetings are held at
various intervals by different project groups, such as project team meetings,
stakeholders' meetings, project management team meetings, etc.

TIME AND COST REPORTING SYSTEMS are used to record and provide time and
cost expended for the project.

PERFORMANCE REPORTS ORGANIZE AND SUMMARIZE COLLECTED INFORMATION

and present results of any analysis as compared to the performance
measurement baseline. Performance reports should provide project status and
project information sufficiently detailed in accordance with various
stakeholders requests, and as documented in the communications
management plan. Common formats for performance reports include bar
charts, S-curves, histograms, and tables.

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THE PROJECT PERFORMANCE FORECAST output provides information about the
project's past performance that could impact the project in the future, such as
the estimate at completion and the estimate to complete.

Variance Analysis: This is a look back at what may have caused a difference
between the baseline and actual performance. The process may vary depending
on the application area, standard used and the industry, but the common steps
are:
1. Verify the information quality to make sure it is complete, consistent
and credible when comparing with other project information.

2. Determine variances. Earned value management uses specific

equations to quantify variances.

3. Determine the impact the variances may have on the cost and
schedule of the project and well as in other areas.

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Forecasting Methods: Forecasting is the process of predicting future project
performance based the current performance to date. Forecasting methods
may be classified in the following categories:

Time series method: This method uses historical data to

estimate future outcomes.

Causal/econometric methods: This method assumes that it is

possible to identify the underlying factors that might influence
what is being forecasted. For example, sales of ice cream might
be associated with weather conditions. Examples include
regression analysis using linear regression or non-linear
regression, autoregressive moving average (ARMA), and
econometrics.

Judgmental methods: These methods incorporate intuitive

judgments , opinions, and probability estimates. Examples
include composite surveys, Delphi method, and technology
forecasting.

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COMMUNICATION METHODS: Status review meetings can be used to discuss
information and the progress and performance of the project. A reporting
system provides a way for the project manager to convey information to the
stakeholders. This can be done using table reporting, spreadsheet analysis,
and presentations.

REQUESTED CHANGES to some aspect of the project are often generated as a

result of project performance analyses. Requested changes are processed
through the integrated change control process.

RECOMMENDED CORRECTIVE ACTIONS include changes needed to bring the

expected future performance of the project in line with the project
management plan. Recommended corrective actions are documented and
become part of the historical database for both the project and the performing
organization. Documented corrective action includes:

the causes of issues

the reasoning behind chosen corrective actions
other performance reporting lessons learned

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In this task, the project manager manages changes to the project scope,
schedule and costs, updating the project plan. In addition, the project
manager communicates approved changes to the project team.

The objective of this task is to ensure the revised project goals are met.

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CONFIGURATION IDENTIFICATION provides the foundation in which product
configuration is defined and also verified. Configuration identification also
provides the basis for how products and documents are labeled and how
changes are managed.

CONFIGURATION STATUS ACCOUNTING effectively captures, stores, and

accesses information regarding configuration items and changes to
configuration.

CONFIGURATION VERIFICATION AND AUDITING verifies that configuration

items are correct, and that related changes are properly tracked and
implemented.

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Control Scope ensures all requested changes and recommended
corrective actions are processed through the project Integrated Change Control
process. It manages actual changes when they occur, and it is combined with
other control processes.

PERFORMANCE REPORTS are the input control tools that provide the project
manager information about interim deliverables as they are completed. They
provide:
summarized work performance information
earned value management parameters and calculations
analyses of project work progress and status

PERFORMANCE FORMATS which are used to show current schedule status include:
bar charts, S-curves
histograms
tables
project schedule network diagrams

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APPROVED CHANGE REQUESTS that impact project scope are modifications to
the approved project scope baseline (as previously defined by the approved
project scope statement, WBS, and WBS dictionary).

A PROJECT SCOPE CHANGE CONTROL SYSTEM is documented in the project

scope management plan. It is integrated with any overall project management
information system to control the project scope.

SCOPE CHANGE CONTROL SYSTEMS include:

documentation
tracking systems
approval levels necessary for authorizing changes

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TOOLS & TECHNIQUES USED TO PERFORM SCOPE CONTROL:

VARIANCE ANALYSIS is a scope control technique that uses project

performance measurements to assess the magnitude of variation.
The cause of variance relative to the scope baseline helps
determine if corrective action is required.

RE-PLANNING involves approved change requests affecting the

project scope, which necessitate modifying the WBS and WBS
dictionary, the components of the project management plan, and
project scope statement.

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A formal Configuration Management System provides procedures for
documentation of deliverables and ensures changes have been thoroughly
reviewed and documented prior to their processing.

Expected Scope Control Management Output includes updates to the:

project scope statement

WBS and WBS dictionary
scope baseline
organizational process assets
project management plan
requested changes and corrective actions

SCOPE CREEP involves the addition of features or (project scope) functionality

without customer approval or consideration to the additional time, cost, and
resources that will be needed.

CORRECTIVE ACTION is the documented project direction necessary to bring

expected future work performance in line with the project management plan.

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Organizational Process Asset updates to the scope control process include
the causes of variances and chosen corrective actions, which are
documented and recorded in the organizational process asset historical
database.

Revisions to the cost and schedule baselines and component documents are
made to the project management plan, providing approved change requests
impact the project scope.

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SCHEDULE CONTROL is performed by determining the current status of the
project schedule and including updates about its changes. With this
information, schedule control governs factors influencing changes that impact
the schedule, and also formal schedule changes.

TIME MANAGEMENT SCHEDULE CONTROL is the task of controlling

project schedule changes.

Planning performed by the project management team precedes the time

management process, which produces a SCHEDULE MANAGEMENT PLAN.

THE SCHEDULE MANAGEMENT PLAN is intended to establish criteria and a

format for developing and controlling the project schedule.

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COST CONTROL involves influencing factors that create cost variances and
control changes to the project budget. Specifically, cost control influences
factors that:

create changes to the cost baseline

manage changes when they occur
assure potential changes do not exceed authorized funding
monitor cost performance for variances from the cost baseline
record, prevent, and inform about cost baseline variances

COST CONTROL INPUTS the project manager uses in the cost control process
include:

the cost baseline

project funding requirements
Cost control procedures
Cost control tools and reporting
the project management plan
work performance information

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Useful work performance information the project manager uses to control costs
includes, but is not limited to:

completed and incomplete deliverables

authorized and incurred costs
estimates to complete the schedule activities
the percent of project completion

TOOLS & TECHNIQUES USED TO CONTROL COSTS:

Project cost control may be effectively implemented when:

The cost summary is divided into work packages

The cost summary is estimated
Cost data is acted upon
Cost commitment reports are made for technical decision-makers
Team members are appropriately assigned to resolve problems or
develop opportunities.

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VARIANCES are any schedule, technical performance, or cost deviation from a
specific plan, which are used by all levels of management to verify the
budgeting and scheduling systems.

Information required for the cost/schedule control system includes:

estimated costs (how much is budgeted for scheduled tasks as of a

given date)
budgeted costs
differences in the amount budgeted versus the actual amount spent

To be effective, cost/schedule control systems should demonstrate:

estimated and budgeted costs at completion

the budgeted and actual cost for work performed
cost and schedule variances
traceability

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BUDGETING AND SCHEDULING SYSTEM VARIANCES should be compared together
because:

the cost variance compares only deviations from the budget and does
not include a measured comparison between work scheduled and
work accomplished
the scheduling variance only compares planned and actual
performance, and does not include costs.

THE COST CHANGE CONTROL SYSTEM defines how costs are documented,
tracked, controlled, changed, and approved.

PERFORMANCE MEASUREMENT TECHNIQUES help assess the degree of variances

that occur. Key values are developed for each activity using cost value and
variance methods.

THE PLANNED VALUE (PV) is that portion of the approved total cost estimate to be
spent on an activity during a given period.

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THE EARNED VALUE (EV) METHOD is helpful for cost control, resource
management, and production, and compares the budgeted cost of work
performed to the cost of planned and actual work performed. The EV technique is
used to measure cost performance throughout the project to closure. It provides
a means of forecasting future performance based on similar past performance.

Determining the cause, magnitude, and corrective action of a variance is an

important element of cost control. The earned value technique uses the cost
baseline to assess project progress and degree of ANY variations that occur.

THE EARNED VALUE (EV) is the estimated value of the work ACTUALLY completed
on a schedule activity or WBS component.

THE ACTUAL COST (AC) is the total cost incurred in accomplishing the work on
the schedule activity or WBS component, and must correspond in definition and
coverage to whatever was budgeted for the PV and EV.

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PV, EV, and AC are used in combination to provide performance measures
regardless of variances.
THE COST VARIANCE (CV) and SCHEDULE VARIANCE (SV) tend to decrease as the
project reaches completion, due to the compensating effect of more work being
accomplished.

THE COST VARIANCE (CV) = EARNED VALUE (EV) ACTUAL COST (AC).
Formula: CV = EV - AC
The cost variance at the end of the project will be the difference between the budget at
completion (BAC) and the actual amount spent.

THE SCHEDULE VARIANCE (SV) = EARNED VALUE (EV) PLANNED

VALUE (PV).
Formula: SV = EV - PV
The schedule variance will ultimately equal zero when the project is completed, since all
the planned values will have been earned.

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 THE COST PERFORMANCE INDEX (CPI) = THE RATIO OF THE
EARNED VALUE (EV) to the
ACTUAL COST (AC)
Formula: CPI = EV AC
A CPI less than 1.0 indicates a cost overrun. A CPI greater than 1.0 indicates a cost
underrun.

THE SCHEDULE PERFORMANCE INDEX (SPI) = THE RATIO OF THE

EARNED VALUE to the
PLANNED VALUE (PV)
Formula: SPI = EV PV
The SPI can help predict the completion date, and, when used in combination with the
CPI, to forecast project completion estimates.

When graphed, the combined AC, EV, PV, and BAC "S-curves" integrate project scope,
cost, and schedule measures to give the project management team a visual of
performance.

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FORECASTING is the process of making predictions of conditions in the project's
future based on information and knowledge available at the present time.

The forecast is updated and reissued based on work performance information

that is provided as the project is executed and progresses.

WORK PERFORMANCE INFORMATION includes past work performance

information as well as anything that could impact the project in the future.

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FORECASTING TECHNIQUES help assess the cost or amount of work to complete
schedule activities, called the estimate at completion (EAC). The estimate at
completion (EAC) is the projected total value for a schedule activity, WBS
component, or project when the defined project work is completed.

THE EXPECTED COST OR AMOUNT OF WORK TO COMPLETE

THE SCHEDULE ACTIVITIES (EAC) = THE ACTUAL COST (AC) +
ESTIMATE TO COMPLETE (ETC).
Formula: The EAC = AC + ETC
EAC is calculated based on performance to date, or estimated by the project team based
on the latest revised estimate.

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FORECASTING TECHNIQUES help determine the estimate to complete (ETC), which
is the estimate for completing the remaining work for a schedule activity, work
package, or control account.

The ETC forecasting technique is based on the performing organization providing

the estimate to complete (ETC).
The ETC is based on a new estimate, where ETC equals the revised estimate for the
work remaining as determined by the performing organization.

The ETC is based on a typical variances approach which is used when current
variances are considered to be different or uncommon, and the project
management team does not expect similar variances to occur in the future.

THE ESTIMATE TO COMPLETE (ETC) = THE BUDGET AT

COMPLETION (BAC) THE
EARNED VALUE (EV).
Formula: ETC = BAC - EV

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ETC based on typical variances is most often used and assumes that current
variances are typical of future variances.

THE ESTIMATE TO COMPLETION (ETC) = THE BUDGET AT

COMPLETION (BAC) THE
REMAINING PLANNED
VALUE (THE EARNED
VALUE (EV)) THE COST
PERFORMANCE INDEX.
Formula: ETC = (BAC - EV) CPI.

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EAC using a new estimate is most often used when past performance shows
that the original estimating assumptions were flawed or irrelevant due to a
change of conditions.

THE ESTIMATE AT COMPLETION (EAC) = THE ACTUAL COSTS (AC) TO

DATE + A NEW ESTIMATE
TO COMPLETION (ETC)
PROVIDED BY THE
PERFORMING ORGANIZATION.
Formula: EAC = AC + ETC

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EAC forecasting is most often used when current variances are considered
typical of future variances.

THE ESTIMATE AT COMPLETION (EAC) = THE ACTUAL COSTS (AC)

TO DATE + THE BUDGET
REQUIRED TO COMPLETE
THE REMAINING WORK,
WHICH IS THE BUDGET AT
COMPLETION (BAC) THE
REMAINING PLANNED
VALUE (EARNED VALUE
(EV) THE COST
PERFORMANCE INDEX.
Formula: EAC = AC + ((BAC EV ) CPI)

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The forecasting used to calculate EAC when variances are considered uncommon or
different (and the project management team does not expect similar variances to
occur in the future) is EAC using the remaining budget.

THE ESTIMATE AT COMPLETION (EAC) = THE ACTUAL COST (AC) +

THE BUDGET REQUIRED TO
COMPLETE THE REMAINING
WORK, WHICH IS THE
BUDGET AT COMPLETION
(BAC) THE EARNED
VALUE (EV).
Formula: EAC = AC + BAC - EV

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PERFORMANCE REPORTING is used to keep stakeholders informed on how resources
are being used to achieve project objectives. Performance reporting inputs include
work performance measurements and information, forecast completion dates,
quality control measurements, the project management plan, approved change
requests, and deliverables. Performance reporting outputs are performance reports
and forecasts.

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Key Estimate at Completion (EAC) and To-Complete Performance Index (TCPI)
Formulas:

EAC = AC + BAC EV EAC forecast for ETC work performed at

budgeted rate

EAC = BAC / cumulative CPI EAC forecast for ETC work performed at
present CPI
EAC = AC + [(BAC EV) / (cumulative CPI EAC forecast for ETC work including both
x cumulative SPI)] SPI and CPI factors
TCPI = (BAC EV) / (BAC AC) TCPI based on the BAC
TCPI = (BAC EV) / (EAC AC) TCPI based on the EAC

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STATUS REPORTS describe where the project stands at a specific point in time in
terms of meeting scope, time, and cost goals.

PERFORMANCE REVIEWS are meetings held to assess schedule activity, work

package, or cost account status and progress. They are typically used with other
analyses and evaluation techniques.

THE PURPOSE OF PROJECT PERFORMANCE REVIEWS is to compare cost performance

over time and schedule activities, or work packages overrunning and underrunning
budget (planned value), along with milestones.

VARIANCE ANALYSIS involves comparing actual project performance to planned or

expected performance.

TREND ANALYSIS involves examining project performance over time to determine if

performance is improving or deteriorating.

COST AND SCHEDULE VARIANCES are most often analyzed. However, variances
from project scope, resources, quality, and risk are also important.

THE EARNED VALUE TECHNIQUE compares actual project performance with the
planned performance.

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PROJECT MANAGEMENT SOFTWARE is often used to electronically monitor
PV versus AC and the effects of changes and variances.

Guidelines for managing cost variances for major and minor problems are
part of VARIANCE MANAGEMENT.

THE COST MANAGEMENT PLAN that is part of variance management defines

how cost variances are managed. The variance tends to decrease as the
project progresses.

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VALUE ENGINEERING is a controlled application of common sense and technical
knowledge. It is directed at finding and eliminating unnecessary costs within a
project. Value engineering is designed toward a specific project.

COST MANAGEMENT CORRECTIVE ACTIONS generally involve adjusting schedule

activity budgets, such as those done to adjust and balance cost variances.

COST CONTROL UPDATES to the organizational process assets include:

documenting causes of variances and corrective actions taken

lessons learned from cost, resource or resource production control

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In this task, the project manager ensures that the project deliverables conform to
the quality standards indicated in the quality management plan. The project
uses the appropriate tools and techniques like testing, inspecting and control
charts to achieve this.

The objective of this task is to satisfy customer requirements.

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The following are tools and techniques that are used to determine the quality of
project deliverables:

Cause and effect diagrams

Control charts
Flowcharting
Histograms
Pareto charts
Run Charts
Scatter diagrams
Statistical sampling
Inspections
Approved change requests reviews

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Outputs from ensuring the quality of the deliverables should include the
following:

Quality control measurements

Validated changes
Validated deliverables
Organizational process assets updates
Completed checklists
Lessons learned documentation
Change requests
Project management plan updates
Project document updates

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In this task, the project manager updates the risk register and risk response plan
when he or she identifies new risks, and assesses old risks. In addition, the
project manager determines and implements appropriate response strategies as
necessary.

The objective of this task is to manage the impact of risk on the project.

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Controlling Risks involves:
choosing alternative strategies
executing risk response and contingency fallback plans and
evaluating their effectiveness throughout the project life cycle
tracking identified risks and identifying new ones
tracking corrective action
determining how much the project relies on controls and deciding
what manual controls are in place to ensure the project is successful
modifying the project management plan
updating the organizational process assets, including lessons learned
databases and risk management templates for the benefit of future
projects

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In this task, the project manager assesses corrective actions based on the issue
register and determines next steps for unresolved issues.

The objective of this task is to minimize impact on the project schedule, costs,
and resources.

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In managing projects, problems will always arise. Understanding what a
problem is and how to solve them is a critical skill in keeping the project on
track.

A problem is created when there is a variance between what was expected to

happen and what actually occurred.

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Here are some steps to solving problems:

1. Frame or define the problem

A. What was the expected outcome you anticipated?
B. What actually occurred?
C. What is the gap between what you expected and what occurred?

2. Determine what has caused the problem

A. What went wrong?
B. Why did it happen?
C. What was the variable that contributed to the problem?

3. Brainstorm all possible solutions

A. Brainstorm all possible actions that will remove the problem-causing
variable.
B. Gain advice from peers and others that may have experience with the
issue.
C. Review each solution and the effectiveness it has in removing the
problem-causing variable.

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Continued:

4. Set out to solve the problem

A. Make it a goal to remove the cause of the problem.
B. Determine which solutions are the best in resolving the problem and list
them in order of effectiveness.
C. Enact each solution

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Corrective actions are documented directions for executing the project work to
bring expected future performance in line with the project management plan.

Assessing corrective actions can be achieved by using the appropriate tools,

depending on what area is being corrected. For example, when controlling the
schedule, performance reviews measure, compare, and analyze schedule
performance, which allows the project manager to determine whether corrective
action is appropriate.

Controlling costs and schedules are other areas where corrective action is
assessed. For example, when comparing cost or schedule performance
baselines with actual results, a project manager may determine if corrective
action is necessary.

In terms of controlling project quality, control charts are useful in determining at

which point corrective action is needed. Quality audits can also confirm the
implementation of corrective actions.

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In this task, the project manager communicates the project status to
stakeholders, obtaining their feedback.

The objective of this task is to ensure the project aligns with the business
needs.

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In order to manage stakeholder expectations effectively, a project manager
must report timely and relevant information. There are many ways information
can be reported. Some organizations may have a structured reporting system.

This could be done in the form of dashboard reports with high-level

information and a general status designation. For example, a project could be
designated red, yellow, or green, indicating the project is off track, may become
off track or is on track respectively.

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If the organization does not have a defined reporting process, here are some
general procedures for reporting project status or results:

Report the three major components of the project in this order

Give overall project condition
Report milestones
Communicate issues

Be brieffocus on being able to deliver the project status in quickly and

concisely. Here are some additional steps:

Use bullet points

Reduce unnecessary text
Shorten the sentences
Do not use adverbs or adjectives

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Continued:

Report the following project data

Project name
Identification number
Project general status (color code if necessary)
Planned and actual percent complete
Actual number of days ahead or behind schedule
Number of issues project is facing currently
Milestones
Name
Percent complete
Planned start/finish
Actual start/finish

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Continued:

Update project issues

Issue number
Name
Report date
Priority
Owner
Resolution date
Mitigation strategy summary

Communicate expected results

Keep report on one page
No need for a formal presentation
Give complete information

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COMMUNICATION METHODS:

As part of the distribution of information within the communications process,

THE SENDER IS RESPONSIBLE FOR making information clear and complete so the
receiver can receive it correctly. THE RECEIVER IS RESPONSIBLE FOR ensuring the
information is received in its entirety and correctly understood.
COMMUNICATIONS CAN BE:

Internal - communication which is within the project

Horizontal - communication which is among peers
Informal - communication in the form of memos or conversations
External - communications with customers, the public, or media
Vertical communication which is top-down

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Information may be gathered and retrieved through a variety of media including:
manual and electronic filing systems and databases
project management software
systems that allow access to technical documentation
Project information may be distributed by almost any method that is credible.
Project meetings, video, and web conferencing, hard-copy document distribution,
manual filing systems and shared access e-databases, email, fax, voice mail,
telephone, and web publishing, and interface scheduling, are only a few of the
available distribution methods and channels.
LESSONS LEARNED focus on identifying project successes and failures and
recommendations for improvements for future performance.
Lessons learned, which are identified during the project life cycle include
managerial, technical, and process aspects of the project. They are compiled,
formalized, and stored throughout the project's duration and life cycle.
If the project yields less than desirable results, the project manager has a
professional obligation to hold a lessons learned session. All key stakeholders
should attend the session, especially if the project is currently showing failing
results, or has already failed.

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Specific results gained from lessons learned include updates to:
the lessons learned knowledge base
corporate policies, procedures, and processes
the risk management plan
Input is added to the knowledge management system and improvements are made
to business skills and to the overall project and service.
LESSONS LEARNED DOCUMENTATION that is archived includes:

the causes of issues

reasoning behind corrective actions taken
other documented information involving lessons learned
PROJECT RECORDS INFORMATION should be appropriate and organized, and
include correspondence, memos, and documents describing the project. Project
team members may also maintain records in a project notebook or diary. The
project team provides information to stakeholders, either formally or informally, in
a presentation and format that is appropriate and relevant to the audience.

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CONTROL STAKEHOLDER ENGAGEMENT is the process of monitoring stakeholder
relationships and adjusting actions and plans to address stakeholders current
needs and requirements.

The control stakeholder engagement process ensures increased stakeholder

involvement, and controls their engagement levels.

The key inputs to this process are:

the project management plan provides the stakeholder management

plan which includes the stakeholders needs and expectations
the issue log provides a list of open issues that need to be addressed
work performance data contain the project observations and
measurements that interest project stakeholders
project documents such as the project schedule, stakeholder
register, issue log and change log provide key inputs to this process

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CONTROL STAKEHOLDER ENGAGEMENT PROCESS TOOLS & TECHNIQUES:

INFORMATION MANAGEMENT SYSTEMS provide a standardized approach to

gather, store and distribute project information to the stakeholders. It
allows the project manager to spot variances and symptoms of variations
early on which helps in proactively controlling stakeholder engagement.

EXPERT JUDGEMENT provided by experts, senior management, functional

managers, sponsor, and other senior stakeholders helps in identifying the
required changes in the stakeholder management plan and adjusting the
stakeholder engagement strategy.

MEETINGS are interactive communications between project stakeholders.

These also help in capturing expert judgment from the project stakeholders.

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CONTROL STAKEHOLDER ENGAGEMENT PROCESS OUTPUTS INCLUDE:

WORK PERFORMANCE INFORMATION produced by analyzing the work

performance data and communicated to the project stakeholders through
the communications process.

CHANGE REQUESTS regarding the required corrective actions, preventive

actions or defect repairs may be produced during the processing of the
work performance data.

UPDATES to the following documents may be required during this process:

project management plan and the subsidiary plans
stakeholder register
issue log
stakeholder notifications
project records
lessons learned library

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FORMAL AND INFORMAL PROJECT REPORTS detail the project status, and
include:

lessons learned and issues logs

project closure reports
outputs from other knowledge areas

FEEDBACK OUTPUT is information received from the stakeholders regarding

project operations which is used to modify or improve future project
performance.

Requested additions, modifications, or revisions to the information

distribution process result in changes in:

the project management plan

the communications management plan

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STAKEHOLDER MANAGEMENT involves managing communications necessary to
satisfy the needs of, and resolve issues with, project stakeholders. The project
manager is usually responsible for stakeholder management. Actively managing
stakeholders reduces the likelihood the project will veer off track due to
unresolved stakeholder issues. It also enhances the ability of members to
operate with synergy, and limits disruptions during the project. Stakeholder
requirements and expectations provide an understanding of stakeholder goals,
objectives, and level of communication during the project.

THE COMMUNICATIONS MANAGEMENT PLAN contains the identified and

analyzed needs and expectations of the stakeholders.

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FACE-TO-FACE MEETINGS ARE THE MOST EFFECTIVE MEANS OF
COMMUNICATING AND RESOLVING ISSUES WITH STAKEHOLDERS. Email,
telephone, fax, written correspondence, and electronic tools are effective when
face-to-face meetings are not practical or warranted, such as on international
projects.

ISSUE LOGS, OR ACTION-ITEM LOGS are used to document and monitor the
resolution of issues. Stakeholder requirements are identified and resolved, and
entered into the issues log.

AN ISSUE is a point or matter in question or in dispute, or a point or matter

that is not settled and is under discussion. Issues are clarified and stated so
they may be resolved. A target resolution date is set for closure. Unresolved
issues can cause project delays and conflict.

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Project success may be measured according to scope, time and cost goals, or by
customer satisfaction.

THE EXPECTATIONS MANAGEMENT MATRIX aids project sponsors in ranking the

importance of project scope and time and cost goals in an effort to clarify
expectations and balance the triple constraint.

THE EXPECTATIONS MANAGEMENT MATRIX includes success measures such as:

priorities
expectations
guidelines
quality
a certain satisfaction rating
any others needed to meet project needs

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 STOP!

Read the following PMBOK Guide Sections: 4.4, 4.5, 5.5, 5.6, 6.7, 7.4, 8.3,
10.3, 11.6, 12.3, 13.4,
TAKE THE WEB-BASED TESTS ON MONITORING & CONTROLLING BEFORE
PROCEEDING FURTHER.
NOTE: Students will encounter questions from A) the PMBOK Guide, B) the Study Guide,
and C) questions that are not in either the PMBOK Guide or Study Guide, throughout all
tests. The purpose of category C questions is to have students synthesize what they have
learned along with their own project management experience to determine the best answer.

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PMBOK" is a registered mark of the Project Management Institute Inc.
 Domain 5: Closing the Project
Task 1 Obtain final acceptance
Task 2 Transfer ownership of deliverables
Task 3 Obtain closure
Task 4 Distribute final project report
Task 5 Collate lessons learned
Task 6 Archive project documents
Task 7 Measure customer satisfaction
Knowledge and skills related to this domain include the
following:
Contract closure requirements
Basic project accounting principles
Close-out procedures

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 Domain 5: Closing the Project
Feedback techniques
Project review techniques
Archiving techniques and statutes
Compliance
Transition planning techniques

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Closing the project involves several administrative skills and techniques.

The following knowledge areas and skills are specific for this domain and are
necessary to possess in order to execute the tasks in Domain 5:

Contract closure requirements

Basic project accounting principles
Close-out procedures
Feedback techniques
Project review techniques
Archiving techniques and statutes
Compliance
Transition planning techniques

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In this task, the project manager obtains final acceptance of the project
deliverables, working with the sponsor and customer.

The objective of this task is to confirm that the project scope and deliverables
were met.

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Obtaining final acceptance from sponsor or customer
Final project acceptance is an important step in the project-closing phase.
Although most of the activities performed throughout the project are focused on
meeting the sponsors expectations, obtaining a formal acceptance of the project
will ensure the project is closed properly.

Having clear deliverables and acceptance criteria defined from the beginning of
the project help to make the acceptance process easier. When drafting the
acceptance criteria, write a clause such that if the sponsor does not respond
according to the time specified for acceptance, the deliverables will be deemed as
accepted.

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An acceptance form should be drafted and contain the following information:

Project name

Document name

Date submitted

Description of the deliverable

Name and signature of person submitting acceptance form

Name, title, signature of person accepting the deliverable

Date Accepted

Comments area

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Here is a possible process for obtaining final acceptance of a project:

Assign deliverable to an agent to present to sponsor

Have deliverables prepared for review

Have assigned agent review deliverables with project performers

Make any revisions

Have assigned agent and project performers present deliverable to sponsor

Make any revisions

Present deliverables for final approval

Make sure all sponsors approve

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Requirements Traceability Matrix

The Requirements Traceability Matrix (RTM) is used to maintain the scope of the
project by connecting each project requirement to the deliverables. The RTM is
used throughout all project phases.

Sample

Project Request for Project Project Testing

Requirements Proposal Tasks Deliverables

Verification

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As the requirements will be used to measure project acceptance by the sponsors,
the RTM helps to create other project documents and testing criteria.

A basic RTM document should contain the following fields:

A requirements number for each project requirement

A short name or description of the requirement
A reference number that identifies this requirement in the request for proposal
A reference number that identifies the specific deliverable related to this
requirement
A reference number that identifies the tasks associated with this requirement
on the task schedule
A reference number that identifies the testing criteria and process document
A field for capturing when this requirement has been verified by the sponsor(s)
as being met

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CLOSURE includes developing the index and location of project documentation
using the configuration management system.

The Project Close Out process establishes procedures to:

verify and document project deliverables

formalize project deliverable acceptance
define reasons for early termination, if applicable

The administrative closure procedure:

documents all project activities, roles, and responsibilities needed in

executing the administrative closure of the project
formally closes and transfers the completed project or portion of
project scope and associated activities applicable to some project
phase.

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In this task, the project manager transfers the ownership of
deliverables to the appropriate stakeholders as indicated in the
project plan.

The objective of this task is to facilitate the project closure.

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Transfer to stakeholders (Transition planning)

The closing process can easily become disorganized if mishandled. The transfer
of the project to the stakeholders must be managed carefully. Once final
acceptance of the deliverables is acknowledged, it is a good practice to use a
transition plan, which is usually developed during the initial planning stages of the
project.

Here are some tasks to list on the transition plan:

Coordinate transition planning meeting

Distribute project initiation plan or project plan
Attend transition planning meeting
Review project schedule
Review deliverables list to determine requirements
Develop matrix of required resources/skills for those who will use product
Conduct skill gap analysis against all staff if launching something that requires
training
Identify project activities to be completed before transition can start
Determine timeline
Establish transition milestones
Assign support staff

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Continued:

Determine actual training needed, based on gap analysis

Determine roles and responsibilities (such as collect, review, accept
deliverables, resolve variances, etc.)
Assign evaluator for each transition deliverable
Acquire licenses if necessary
Develop training and deliver to staff
Notify business area(s) of production support procedures
Notify stakeholder of transition to production status
Move development documentation to production repository
Transfer user group/steering committee leadership to the stakeholder

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In addition, activity in the following areas should be included in the project
transition process:

Project documentation
Contract administration
Finalizing financial matters
Program management
Marketing

A final management review should take place with both the stakeholders and
project team, officially transferring the project to the stakeholders.

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The Contract Closure Procedure is a step-by-step procedure used to:

settle and close the project contract agreement

verify customer satisfaction with the product
update project records to reflect final project results
archive the information for future use.

All formal acceptance documentation, project files, closure documents, and

historical information are contained in the project file.

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In this task, the project manager obtains financial, legal, and administrative
closure of the project, using generally accepted practices.

The objective of this task is to communicate formal project closure and

ensure no further liability.

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Contract closure can be a complex task and it should be done with someone who
has experience reading and understanding contracts. It is a good practice to have
the contract reviewed before the project is closed. This ensures all contract
obligations are satisfied by all parties involved.

Here are some basic steps to contract closure:

1. Compile all final contract documents with revision, waivers and related
documents

2. Verify and document that all terms on contracts are compliant

3. Gather all proof of delivery and customer acceptance

4. Notify customer of contract completion

5. Pursue any outstanding claims against customer

6. Prepare any defenses against customer claims

7. Prepare a final contract status report

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Financial, legal, and administrative closure (generally accepted practices)

The termination and closure of a project can be an intense process. Many times, a
termination manager may be used to help the project manager close the project.

In general, here are some basic areas to manage in order to ensure that all the
financial, legal, and administrative aspects of the project are properly closed:

Ensure completion of all work, especially work performed by subcontractors

Notify the client of project completion and ensure the product is delivered and
accepted

Ensure all documentation is complete, which includes final evaluations of all

project deliverables and a final report

Make sure all final billings are cleared for payment and invoices are sent to the
client

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Continued:

Redistribute personnel, materials, equipment, and any resources used for this
project back to its owners

Meet with legal counsel or consultants and ensure the project has cleared any
legal hurdles and document and archive related documents

Determine what project documents are to be archived

Decide how this project will enter the next phase

Meet with accounting and oversee how the project books are closed

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CONTRACT CLOSURE involves:

resolving any open items

completing and settling the contract
closing project phases

Contract terms and conditions can prescribe specific procedures for contract
closure.

EARLY TERMINATION OF CONTRACTS create a special case of contract

closure resulting from a mutual agreement of the parties, or from the default
of one of the parties. Rights and responsibilities of the parties are contained
in a termination clause contained in the contract. All or part of a contract
may be terminated for cause or convenience at any time.

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In this task, the project manager distributes the final project report along
with related project closure information, variances, and issues.

The objective of this task is to provide the final project status to all
stakeholders.

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Conduct comprehensive project review and create/update knowledge base

As the project nears completion, it is vital to perform a comprehensive project

review. The comprehensive project review is a thorough examination of the
project in terms of its management methods, procedures, records, properties, and
budgets.

The comprehensive project report can be presented in many formats. However,

the report should contain the following basic information:

Current status of projectthis is a comparison of actual work completed to

what was planned, focusing on:
Cost
Schedule
Progress
Quality

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Continued:

Future statusany major changes that may occur

Status of critical tasksan update on those tasks that are critical to the
completion of the project

Risk assessmentwhat risks may affect the project timeline, budget or quality

Lessons learnedinformation that may be useful to the organization in general

or to other projects current or future

Limits to reviewthis lists assumptions or limitations that could affect the

information presented in the review

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The review should be conducted by a person independent from the project itself.
This will remove any biases in the review. The external reviewer should perform
the following tasks in this role:

Assemble review team

Get team familiar with project requirements
Review project
Debrief the projects management team
Write a report
Distribute report to project manager and team and obtain their response
Follow up to see if recommendations have been implemented

A review database should be implemented, and it should house the findings of the
review. It should also be accessible as a knowledge base for management and
other project managers to see. How the system is set up will depend on the
organizations policy.

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In order to make sound and timely business decisions for a project, accounting
knowledge is necessary. Understanding accounting will help the project manager
determine the financial wellbeing of his or her project.

Accounting is the practice of collecting, organizing, maintaining, reporting, and

understanding the financial activity of a business. Accounting knowledge helps
managers make informed financial decisions. Accounting enables an organization
to pay taxes, seek credit, and Control Communications to their stakeholders.

Project accounting allows the project manager to do the following:

Report technical achievements

Maintain project schedule
Obtain resources
Manage costs

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In addition, connecting the project to an accounting system enables the following:

View of receivables and payables, giving better control over expenses and
revenues
Track financial errors quickly
Ability for project to be audited

Here are some basic accounting principles a project manager should know:

Every business is considered a separate entity

The business is assumed to continue to exist
Reporting is done in the same currency always
The accounting period is fixed and annual
Costs are recorded as actual and not based on worth
Costs are objectively established and not estimated
Revenue is entered into the accounting system as it is earned
Expenses are matched with revenue produced
All significant information is disclosed fully
Same accounting principles are followed all the time

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A typical method of accounting for the cost of a project is to use Activity Based
Cost management. This is the method of breaking costs down by what each
activity consumes as it is completed.

Activity Based Cost management analyzes the project in terms of the following:

Costs and resources consumed by event

Costs and resources consumed by product
Feedback on performance based on business objectives

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Reviewing the requirements traceability matrix helps to ensure that all
requirements have been met and can be leveraged as a report to
stakeholders.

Work performance measurements related to schedule and costs are also

finalized and reported to stakeholders.

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A project review is a done to determine what went well and what went wrong in a
project. The project review should focus on the overall experience and
performance. Project reviews help to support a continuous improvement program
within an organization. Here are recommended steps in conducting a project
review:

1. Include the project review as an activity openly disclosed in the project plan. It
should also be a deliverable on the work breakdown structure.

2. Determine the participants that will be on the project review team

A. The participants should be associated with the project
B. The participants should not be anyone from upper management

3. To prepare for the project review, collect:

A. Project data
B. Measurements
C. Quality reports
D. Process documentation
E. Project communication

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Continued:

4. Facilitate the review

A. Have participants review data
B. Allow participants to present their findings
C. List what is going well and what is not going well
D. Have participants offer recommendations for improvement

5. Deliver the results to the project team and management

A. Conduct a results meeting
B. List findings
C. List recommendations

6. Incorporate the recommendations derived from the project review

A. Archive findings and recommendations for future reference
B. Implement recommendations on future projects

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THE EARNED VALUE (EV) METHOD is helpful for cost control, resource
management, and production, and compares the budgeted cost of work
performed to the cost of planned and actual work performed. The EV
technique is used to measure cost performance throughout the project to
closure. It provides a means of forecasting future performance based on
similar past performance.

Go back and review Task 2: Manage changes to project scope- Control Costs
section in the previous domain for details on the earned value method.

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In this task, the project manager collates lessons learned by performing a
comprehensive project review.

The objective of this task is to create and update the organizations

knowledge base.

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In these last two tasks, the project manager archives the project documents
and measures customer satisfaction at the end of the project by capturing
customer feedback.

The following are the goals of these last two tasks:

Retain organizational knowledge

Comply with statutory requirements
Ensure availability of data for use in future projects and audits
Assist in project evaluation
Enhance customer relationships

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Administrative closure procedures include activities needed to:
s
collect and archive project records
analyze project success or failure

Roles and responsibilities of the project team members involved in executing

the administrative closure procedure should be fully documented.
Stakeholder approval of changes, project acceptance, and activities necessary
to satisfy completion or exiting the project (early) are included in the project
documentation.

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Data collected throughout the project life cycle is valuable information for both
the organization and other projects. Archiving project data is the process of
storing project information in a retrievable format. In some cases, archiving
project information may be a necessary process.

Many organizations have archiving processes in place and outline the steps project
managers must take in order to archive their projects. Many times, the format will
be electronic.

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Here are some things to consider when archiving project documents:

There should be a standard list of documents that should only go into the
archive

Convert all paper documents that will be archived into the correct archiving
format

A set of archiving procedures should be created for all to use

A special location should be designated for the archive repository

There should be an archive manager who reviews all files before they go into
archive

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There are many laws that regulate how organizations are managed and how
documents are managed. Many organizations will have explicit policies on how to
handle project management documents.

It helps to have a basic understanding of how to handle project documents.

However, it is always best to consult with someone who is an expert in this area.

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Here are some points a project manager should keep in mind when it comes to
keeping project documents compliant with government regulations.

Documents should be converted to records, stored on non-rewritable storage,

and organized in a way that facilitates easy searches for those records.
Record retention varies from company type and the type of information being
stored. This could range from two to 10 years. It is best to consult an expert
in this area.
Consider all documents related to the project subject to retention. Items like
communication, reports, project plans, etc. may need to be retained.
Retained documents should be easily accessible when a request for documents
is presented. Requests could come from government agencies, audit teams
and the courts.
Make sure not to store working information on a personal storage device.
Instead, store working documents on a network location.
Follow any established guidelines on how to destroy records that no longer
need to be retained.
Develop a habit of not deleting information until it has been cleared for
deletion by an expert in retention policies.

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Simply delivering the project product or service to the customer may not always
be a good indicator of project success. Customer satisfaction is an important part
of project success and it should be measured.

The most common way to measure customer satisfaction is usually through a

survey. This can be easily done using a web-based application. These
applications typically have an authoring program that makes writing surveys
simple and it also can create quick reports to view results.

Here are some basic question/categories that will help determine customer
satisfaction through a survey:

How well was the communication throughout the project lifecycle

How well were updates communicated
How well were meetings conducted
The deliverable quality
How well organized was the project

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Throughout a project, a project manager may need to give both reinforcing and
corrective feedback to project team members. Reinforcing or positive feedback is
typically easier to deliver than corrective feedback.

Effective corrective feedback helps to build stronger relationships than merely

escalating the issue to the next level of management.

Here are some characteristics of effective corrective feedback:

Feedback should be delivered in an understanding and supportive manner

Feedback is given in a timely and regular manner
Feedback encourages self-assessment
Feedback focuses on modifiable behavior
Feedback is non-judgmental
Feedback focuses on desired actions
Feedback is done in private

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Here are four quick steps to conducting a feedback session:

1. Prepare a private and safe feedback environment

2. Deliver the feedback
3. Develop an action plan through collaboration
4. Recap the session

When delivering feedback remember these steps:

1. Always begin with a positive statement and focus on a good trait first
2. Define the desired behavior and the gap that needs correcting
3. Ask the participant what they can do in order to decrease or eliminate the gap
4. Make a plan

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 STOP!

Read the following PMBOK Guide Sections: 4.6, 12.4

TAKE THE WEB-BASED TESTS ON CLOSING.

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Throughout the five domains, specific knowledge and skills were required
in order to successfully execute each task under each domain.

In addition to these domain-specific skills, there are Cross-Cutting skills

that are essential for success throughout the entire project process,
traversing all domains.

Developing and implementing these skills will help the project manager
experience greater success managing projects.

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Active listening
Brainstorming techniques
Conflict resolution techniques
Cultural sensitivity & diversity
Data gathering techniques
Decision making techniques
Facilitation
Information management tools, techniques & methods
Leadership tools & techniques
Negotiating

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Oral and written communication
PMIs Code of Ethics & Professional Conduct
Presentation tools
Prioritization/time management
Problem-solving tools & techniques
Project management software
Relationship management
Stakeholder impact analysis
Targeting communications to intended audiences
Team motivation methods

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166
Each item described on the Cross-Cutting Knowledge and Skills list can be its
own study and discipline.

Many of these skills, techniques, and methods are use in normal day-to-day
business activities. Most are not exclusive to project management.

However, understanding the spectrum of knowledge and skills it takes to be a

successful project manager helps to define the complex role of a project
manager.

A project manager has to possess many of these skills due to the political and
human nature of managing projects in an organization.

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Project management in its essence deals in managing the human resources of a
project. Without proper motivation and leadership, a project may suffer delays and
setbacks.

That is why many of the skills listed on the Cross-Cutting Knowledge and Skills list
deal with the ability to interact with people.

The following are skills from the list that relate to dealing with and managing people:
Active listening
Conflict resolution
Cultural sensitivity and diversity
Leadership tools and techniques
Negotiating
Relationship management
Team motivation methods

A project manager lacking interpersonal skills may find it difficult to organize and
lead a project. That is why seeking additional training in these areas is essential for
the project manager.

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Project management presents many complex situations. The project manager
must possess analytical skills that enable them to study performance reports,
assess risk and manage the interest of all primary stakeholders.

On the Cross-Cutting Knowledge and Skills list, there are several areas that deal
in analysis-both numeric and political.
The following are areas from the list that relate to analytical skills:
Data gathering techniques
Decision making techniques
Information management tools, techniques, and methods
Prioritization/time management
Problem solving tools and techniques
Project management software
Stakeholder analysis

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Project management presents both explicit and implicit data. The obvious data
analysis work like cost and time performance metrics are skills the project
manager must have in order to gauge the project performance. The implicit
data like stakeholder interests and political issues are areas that, if not
analyzed and managed correctly, could affect the project performance
negatively.

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Since the project manager is the link between the project and the rest of
the organization and stakeholders, it is essential for the project manager
to possess skills in communication.

The project managers ability to communicate effectively to both the

project team and project stakeholders ensures that all parties are receiving
the information they need to support the project.

On the Cross-Cutting Knowledge and Skills list, there are several areas that
deal in communication.
The following are skills from the list that relate to this area:
Brainstorming techniques
Facilitation
Oral and written communication techniques, channels, and applications
Presentation tools and techniques
Targeting communication to intended audiences

Many of these skills can be learned and developed with practice.

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A PROJECT MANAGERS PROFESSIONAL AND SOCIAL RESPONSIBILITY involves:

ensuring personal integrity and professionalism by following legal

requirements, ethical standards, and social norms
contributing to the project management knowledge base through
lessons learned, best practices, research, etc., in an effort to
improve the project management quality, and to enhance
colleagues abilities and the project management profession
increasing and applying enhanced personal professional knowledge
to improve project management services
promoting team and stakeholders interaction within a professional,
cooperative, and respectful environment, to encourage effective
collaboration

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A CODE OF CONDUCT is critical for all professions and helps ensure
good ethics are practiced throughout the particular organization.

CONDUCTING WORK IN AN ETHICAL MANNER helps the profession

earn the confidence of the public, employers, employees, and project
team members.

THE PMP CODE OF PROFESSIONAL CONDUCT requires the manager to:

broadcast PMP conduct code standards to other PMI

(Project Management Institute) members
ensure no conflict of interest compromises project
integrity
cooperate with PMI regarding ethics violations and violators

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"PMI", "PMBOK Guide", and "PMP" are registered marks of the Project Management Institute Inc.
General responsibilities of the project manager to the profession with regard
to the PMP Code of Professional Conduct include:

complying with all organizational rules and policies

providing and complying with laws and ethical representations of
the profession
recognizing and respecting others' intellectual property
supporting and disseminating the PMP Code.

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 THE PROJECT MANAGERS RESPONSIBILITIES TO THE PROFESSION
COMPLIANCE WITH ALL ORGANIZATIONAL RULES & POLICIES INCLUDE:

A responsibility to provide accurate and truthful representations

concerning all information directly or indirectly related to all aspects of the
PMI Certification Program, including, but not limited to following:
examination applications, test item banks, examinations, answer sheets,
candidate information, and PMI Continuing Certification Requirements
Program reporting forms.

A responsibility to report possible violations of the PMP Code of

Professional Conduct by individuals in the field of project management.

A responsibility to cooperate with PMI concerning ethics violations and the

collection of related information

A responsibility to disclose to clients, customers, owners, or contractors,

significant circumstances that could be construed as a conflict of interest
or an appearance of impropriety.

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CANDIDATE/CERTIFICANT PROFESSIONAL PRACTICE:

A responsibility to provide accurate, truthful advertising and

representations concerning qualifications, experience, and
performance of services
A responsibility to comply with laws, regulations and ethical
standards governing professional practice in the state or province,
and/or country, when interacting with PMI and when providing
project management services
A responsibility to act in an honest and ethical manner when
interacting with PMI and when providing project management
services
A responsibility to maintain and respect the confidentiality of the
contents of the PMP Examination

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ADVANCEMENT OF THE PROFESSION:

A responsibility to recognize and respect intellectual property

developed or owned by others, and to otherwise act in an
accurate, truthful and complete manner, including all activities
related to professional work and research
A responsibility to support and disseminate the PMP Code of
Professional Conduct to other PMI certificants.

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RESPONSIBILITIES TO CUSTOMERS AND THE PUBLIC

QUALIFICATIONS, EXPERIENCE, AND PERFORMANCE OF PROFESSIONAL

SERVICES:
A responsibility to provide accurate and truthful representations
to the public in advertising, public statements, and in the
preparation of estimates concerning costs, services, and
expected results
A responsibility to maintain and satisfy the scope and objectives
of professional services, unless otherwise directed by the
customer
A responsibility to maintain and respect the confidentiality of
sensitive information obtained in the course of professional
activities or otherwise where a clear obligation exists

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CONFLICT OF INTEREST SITUATIONS AND OTHER PROHIBITED PROFESSIONAL
CONDUCT:
A responsibility to ensure a conflict of interest does not
compromise legitimate interests of a client or customer, or
influence or interfere with professional judgments
A responsibility to refrain from offering or accepting inappropriate
payments, gifts, or other forms of compensation for personal
gain, unless it is offered or accepted in conformity with applicable
laws or customs of the country where project management
services are being provided.

ADMINISTRATION OF THE CODE OF CONDUCT

By becoming a PMP certificant, you agree to abide by the Code of Conduct.

PMI reserves the right to suspend or revoke the credential of any PMP
certificant who is determined to have committed a violation of this Code or
otherwise failed to adhere to the tenets of this Code.

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THE GREATER THE PROJECT RISK, THE MORE IMPORTANT IT IS TO ESTABLISH
AUTHORITY RELATIONSHIPS. Authority relationships reduce poor
communication and misinformation as well as reduce incidents that
encourage bribery, gifts, proprietary information leaks, and unsubstantiated
whistleblowing and antagonism.

TIPS ARE BRIBES when they are paid to government officials. BRIBERY is a
remuneration for performance of an act inconsistent with a work contract or
nature of the work to be performed. Bribes are often tied to conflicts of
interest.

KICKBACKS are percentage payments and gratuities that are outright gifts and
money.

TRADE AND PROPRIETARY SECRETS AND TECHNICAL EXPERTISE, knowledge,

and experience often overlap when an employee leaves the company to join a
different one. Most states punish theft of trade secrets, and many
organizations insist employees sign confidentiality agreements as part of
their employment and out-processing. When there is no formal legal
agreement, it is up to the individual's codes of loyalty and ethics not to
disclose trade secrets.

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WORKERS HAVE THREE BASIC OBLIGATIONS TO THIRD PARTIES:
truthfulness
non-injury
fairness

Workers obligations to the firm, coworkers, and outside parties are based on:
code violations
injury
legalities

WHISTLEBLOWING is an employee act of informing the public about an employees

or organizations illegal or immoral behavior

CONFLICT MANAGEMENT considers the manager as the intervening force. It is

NOT the managers responsibility to resolve the conflict, only to be the referee
and counselor in helping the participants reach an acceptable agreement.

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PROJECT CONSTRAINTS limit the project manager's options. They affect the
project:
scope
staffing
scheduling

When there are gaps in the scope statement, it is the sponsor and customer
who created the scope statement that should address them. Tasks should
not be added without the sponsors and customers approval, since they
were involved in creating the scope statement.

Ignoring stakeholders concerns only compounds problems. The project

manager must address issues, rather than expect management to begin
costly and extensive lawsuits that delay the project. Discussing the issue is
preferable to ignoring it and having it go unresolved.

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 PROBLEM-SOLVING, DECISION-MAKING, & MORAL JUDGMENTS

It is the responsibility of the project manager to make decisions, rather than

pass them on or ignore them. PROBLEM-SOLVING and DECISION-MAKING are
primary functions of the project manager. BRAINSTORMING generates a
quantity of plausible solutions.

BRAINSTORMING is an information gathering technique that focuses on

quantity. All ideas are valid and there should be no rush to judgment
regarding feasibility or value. The more ideas are generated, the greater
chance there is to come to an effective solution. Sessions are informal (no
authority figure) and should not extend beyond sixty minutes, since typically
by that time all the immediate and logical ideas have been documented.

MORAL JUDGMENTS should be logical, based on facts. They should appeal to

valid moral principles. Open-minded and reflective discussion is paramount.

A USEFUL APPROACH TO RESOLVING PRACTICAL MORAL PROBLEMS is to

identify the obligations (of the firm, to itself, its employees and its customers),
ideals, and ethics in a given situation and then identify where the emphasis
should lie among these considerations.

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As organizations become more complex and add more jobs, their culture
becomes more bureaucratic and formal. New structure elements and
interrelationships are created.

FORMALIZATION addresses written rules and procedures deemed necessary to

maintain organization control and coordination.

DECENTRALIZED DECISION-MAKING is that which is delegated down to

subordinates. Centralized decision-making is that which comes from top-
management.

EGOISM is the consequentialist theory that an action is right when it promotes

the individuals best interests. Views are based on the fact that humans are by
nature selfish.

UTILITARIANISM states that the morally right action is the one that provides
the greatest happiness for everyone affected (company, employees,
customers).

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KANTS ETHICS stresses action based on a sense of moral duty.

TROUBLESHOOTING is usually part of a projects requirements. The project

manager should not release a product to the buyer, who will in turn release it to
the public, that has not been fully tested and complete.

The theory of ENTITLEMENT states that the distribution of goods, money, and
property is just, if people are entitled to what they have and have acquired it
without violating the rights of others.

The LIBERTARIAN THEORY identifies justice with liberty, or freedom. In this

instance, the company feels employees should live and conduct their personal
lives according to their own choices, free from the interference of others.
Libertarians reject the concern for total social well-being.

DISTRIBUTIVE OR ECONOMIC JUSTICE assesses society's distribution of social

benefits and burdens according to wealth, status, income, and power. Influential
(wealthy) citizens can impact projects without minorities and others being aware
of how the decision may impact them.

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EMINENT DOMAIN (power) allows the government to condemn property they feel
necessary for improvement projects. Compensation may be offered, but it is not
a prerequisite.

COMMUNICATIONS

A RISK-TAKER TYPE MANAGER can suddenly, without warning, develop new

solutions to old or existing problems. Due to their reactive style and their lack
of communication, they provoke strong feelings and opinions among followers.
It is important these managers learn not to begin communications without the
formulation of goals and visions, and end by informing employees of them.

FEEDBACK is intended to change or alter messages so the intended thought or

idea is understood. EVALUATIVE FEEDBACK involves judging the relevance,
worth, goodness, or appropriateness of the received message.

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BIAS, STEREOTYPING, OR GENERALIZING people and their actions adds to a
persons filters, which prevents them from hearing the full message. One-way
communication channels, which place the responsibility for the message entirely
on the listener, may also contribute to narrow-minded views.

COMPONENTS OF SOCIAL STRAIN, which influence viewpoints impacting

effective communication within the diverse workplace include:
economic class (views on authority, politics, culture, etc.)
residence (where one is from and lives, and where the organization
is located)
ethnic inheritances (racial, national, religious origins)
gender and age (gaps, seniority and power roles)
self-interest (personal beliefs)

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The typical email system is larger than the entire company database, since the
email system stores all versions of documents created in the form of
attachments. It has become a companies central filing catalogue. What goes on
or through a companys email system is filed nearly forever. Workplace emails
are seldom entirely private. Never email anything you wouldnt want the whole
world to see and read publicly.

NETWORK ETIQUETTE typically involves one-to-many correspondence or

communications such as mailing lists, Netnews, NewsGroups, newsletters.
Netiquette also includes information services, such as postings on company
intranets and websites. Newsgroups should be reviewed to know "culture."
Messages and articles should be brief and subject lines should be relevant.
Large audiences will read the postings.

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 THE ORGANIZATION

THE CORPORATE CULTURE is the company environment that encompasses a

general belief, value system, set of behavioral norms, set of mores, and way of
doing business. The culture is unique to each corporation. Different cultures
affect organizational performance differently. Cultures are comprised of
organizational elements such as:
size
external environment
technology

The self-serving goals of an organization are known as the organizations

politics. A company's politics influence corporate culture relationships and
behaviors.

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POLITICAL ELEMENTS include:
relationships and interrelations between employees and the
organization
how each organization defines its self-interests or goals
strategies each organization uses to generate support for its
objectives and goals
basic autonomy or dependency of each organization

BENEFITS: Rest, vacations and leisure used to be rewards for hard work, and
not necessarily given for seniority or as part of an employment incentive
package. Younger workers typically work to live, rather than live to work and
save. Most employees (particularly those under forty-five) believe the
psychology of entitlement. Entitlement states that individuals are entitled to a
secure and decent job, dignified retirement, suitable housing, healthcare,
and a clean and safe work environment.

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 DIVERSITY

SYSTEMIC BARRIERS INVOLVING DIVERSE INTERACTIONS common to

organizations include:
exclusion of minorities from networks
limited mentoring relations
quotas in the form of tokenism

DISCRIMINATION includes behaviors based on prejudice such as negative

attitudes within work groups and delayed promotions.

TOKENISM favors diverse individuals or groups, and causes stressful

workplace conditions. Tokenism often results in labor, union, and
management conflicts. Individuals or groups who become actual tokens tend
to suffer co-worker recourse from being too visible, in exaggerated contrast
with others. They also have less of a role identity than their peers.

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 MANAGING & LEADERSHIP

The manager has a social responsibility (to employees and individuals) as well
as a corporate responsibility. Policies and codes must be enforced, followed
up with training, education, sufficient monitoring, and discipline with
consequences for continued infractions.

ENFORCING CORPORATE MORAL CODES is part of following up on social

responsibilities. There is an emphasis on the importance of monitoring and
managing corporate culture to prevent dysfunctional behaviors.

SITUATION CONTROL is the amount of control and influence the manager has
in his or her immediate work environment.

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POWER is part of leadership, and is neither good nor evil. Power is simply the
capacity one has to influence others behaviors.

It is very important to know how, when and what kind of power to exert to get
the best results. POSITION POWER refers to the amount of power and authority
the leader has in determining rewards and punishment. Position power is used
in an effort to obtain compliance from subordinates.

Managers and leaders obtain their power similarly to how they obtain their
authority. Some individuals assume it, while others have it bestowed upon them
either by the organization, higher-ups, or by their followers. LEADERSHIP POWER
may come from a personal or a positional source.

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COERCIVE POWER is based on fear, and employees do what is required to avoid
consequences of discipline, punishment, or other negative outcome.
Punishment must be viewed negatively by the subordinate to have the desired
effect. An organizations regulatory and disciplinary procedures are based on
coercive power, which are expected to be executed by the manager. The key to
constructive use of coercive power is to reprimand the behavior, coupling it with
praise of the employee as a valuable asset to the organization.

MANAGEMENT & LEADERSHIP STYLES

MCGREGORS THEORY X STYLE OF MANAGEMENT assumes that workers
inherently dislike and avoid work, forcing the manager to threaten, coerce, or
use various means of control to get workers to perform to meet objectives.

MCGREGORS THEORY Y STYLE OF MANAGEMENT assumes that workers do not

dislike work, but rather consider it as a natural life process. They are motivated
by satisfaction of esteem and the self actualization of having basic needs met.

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THEORY Y MANAGERS ATTITUDES tend more toward human nature, which
largely influences how they behave and lead. They believe more in assumptions
and management by objective.

Managers and/or leaders who have a strong EXTERNAL LOCUS OF CONTROL act
to make the workplace into a more productive environment and also make
employees' attitudes and behaviors more positive. They begin by responsibly
taking charge of situations, changing the environment and employees, and
interjecting new methods and practices. They establish their sub code of
norms, mores, and values.

CHANGE SUCCESS is very dependent upon leadership, but (poor) performance

is NOT indicative of a change or leadership problem. Managers/leaders must
be recognize, before it is obvious, that the status quo is not sustainable or
scalable. This is difficult if current metrics appear conceptually and practically
solid.

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LEADERSHIP STYLES may be based on the leaders:
personality
personal traits
effectiveness
environment present at the time

COACHING LEADERS are participative, and encourage input, serious consultation

and ideas from employees. They are highly directive-oriented, but they also are
highly supportive.

Coaching teaches critical thinking about ideas and behaviors regarding a subject.
Problem-solving techniques allow the individual latitude to decide which method
is personally the best for them. The greatest benefits of coaching are that the
subordinate can see the results of the decisions they make almost immediately.
Coaching stresses that all managers become responsible for developing
subordinates, and for increasing their knowledge. It is extremely important that
the coach does not pass along false or incorrect information, or neglect the
training program altogether.

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Leadership can be overplayed when it is evaluated according to performance,
since positive or negative outcomes generate strong reactions. This can be
avoided if the leader becomes the focal-point. Roles of individuals involved,
the task to be performed, available technology, the environment and
organizational constraints on behavior, are all downplayed.

MOTIVATING EMPLOYEES

MANAGEMENT MOTIVATORS include:

recognition
responsibility
achievement
advancement and promotion
job satisfaction

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HERZBERGS MOTIVATION THEORY addresses stimuli for growth and
advancement needs in accordance with MASLOWS HIERARCHY OF NEEDS.

THE MOST EFFECTIVE WAYS TO MOTIVATE EMPLOYEES are to:

give assignments that provide challenges and have realistic

timelines and deadlines
clearly define performance expectations
give proper criticism as well as credit and honest appraisals

Motivating employees is difficult to do during a project that has a finite

lifetime. The manager can create a secure project environment by placing
individuals in positions in which they have been properly trained. It also
requires informing employees about how they contribute to the overall
project.

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 PERSONNEL/HUMAN RESOURCE MANAGEMENT

Moral issues that arise during interviewing generally have to do with how the
interview was conducted. Personnel management cautions interviewers against
being rude, hostile, coarse, or condescending. Interviewers tend to gravitate to
those they identify with and develop bias toward those they do not.

TESTING is an integral part of the hiring process, especially with large firms. To
be successful, however, a test must be valid and reliable. It must measure the
consistent quality of the candidate.

Typically, the more women who work in a particular occupation (i.e.: nursing,
childcare, office administration, etc.) the less it pays. COMPARABLE WORTH
advocates contend that traditionally women's occupations have demonstrated a
bias and discriminatory wage system, keeping their pay considerably lower than
that of male occupations which require comparable education, skills, and
responsibilities.

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MANDATORY RETIREMENT can cause problems for older workers who can still
work and need health insurance coverage. It also takes experience out of the
workforce. The company's argument is typically to keep a rotation of fresh
talent and current methods and expertise, rationalizing that older workers
increasingly have difficulty performing their jobs due to aging eyesight,
hearing, motor skills, etc. Some organizations have a mandatory retirement age
(70 yrs.)

DRUG TESTING AND RANDOM DRUG TESTING are commonly performed in

conjunction with the Drug-Free Workplace Act of 1988 (P.L. 100-690, Title V,
Subtitle D). The Act also mandates employers establish a drug-free awareness
program and notify employees about the hazards of substance abuse and
consequences of usage. Employees found in violation of the drug-free program
must attend a prescribed rehabilitation or drug abuse assistance program.

(Title I) of the Americans with Disabilities Act of 1990 (ADA) provides

employment provisions for "reasonable accommodations". Reasonable
accommodations for physically handicapped employees may be ramps,
workstation height, and restroom spaces. For those with HIV/AIDS it may mean
flextime, unpaid leave, and large print.

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The Occupational Safety and Health Act of 1970 created the Occupational Safety
and Health Administration (OSHA) within the Department of Labor. Its primary
function is to reduce workplace hazards and to implement safety and health
programs. Employees have rights to refuse to perform in unsafe areas without
recrimination. They can review company and OSHA standards and rules and
request employer information on safety and health hazards, and also request an
OSHA director inspect the workplace.

CONFLICT MANAGEMENT is a general term used to describe a variety of ways

people handle grievances. Negative, less productive, methods include gossip,
ridicule, feuding, terrorism, and, avoidance.

CONFRONTATION involves problem-solving by directly confronting the conflict,

and making the parties work through their differences.

WITHDRAWAL is handling conflict by retreating or withdrawing from a potential

disagreement.

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 CONFLICT RESOLUTION & NEGOTIATIONS

Typically, conflicts between and among stakeholders should be resolved in the

best interest of the customer.

The best solution is to positively find commonalities among the stakeholders'

objectives. SMOOTHING de-emphasizes or avoids areas of differences and
emphasizes areas of agreement.

NEGOTIATIONS should take place at the lowest level of intentions. Higher-level

authority should be used only if agreement cannot be reached.

When each side is determined to defeat the other, negotiations deteriorate

into a WIN-LOSE STRATEGY, and negotiations predictably fail. Third-party
mediators are called in when negotiations break down.

It is necessary to call in A THIRD-PARTY MEDIATOR when relationships

deteriorate to the point where there is enduring negativity, the parties become
suspicious and refuse to cooperate with each other, and attitudes and minds
are closed.

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The primary purpose of the third-party mediator is to separate people from the
problem and reestablish clear communication. The mediator sets results
criteria and works toward altering attitudes, acting as interpreter of messages
between the parties, exposing stereotypes, and, raising awareness of each
groups positive intentions.

Stress is most effectively minimized, and control is maintained by time

management. Employees have stress when they are not sure how long an
activity will, or should, take. Stress results when workers are rushed, and
quality suffers.

TIME MANAGEMENT is especially important during change processes, and

maintenance of the change situation. Time management should be
incorporated into the environment for those who micromanage simple
situations.

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STOP!

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