Process Groups - PMP-永久專案管理顧問公司



|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Integration | |Project Plan Development |Project Plan Execution |Integrated Change Control | |

|(3) | |Taking the results of other planning |Carrying out the Project Plan by |Coordination of changes across the entire | |

|(3C) | |processes and putting them into a |performing the activities included |project. | |

| | |consistent coherent document |therein. | | |

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| | |Inputs: |Inputs: |Inputs: | |

| | |1. Other planning outputs |1. Project plan |1. Project plan | |

| | |2. Historical info |2. Supporting detail |2. Performance reports | |

| | |3. Organizational policies |3. Organizational policies |3. Change requests | |

| | |4. Constraints |4. Preventive action | | |

| | |5. Assumptions |5. Corrective action | | |

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| | |Tools: |Tools: |Tools: | |

| | |1. Project planning methodology |1. General management skills |1. Change control system | |

| | |2. Stakeholder skills & knowledge |2. Product skills and knowledge |2. Configuration management | |

| | |3. Project Management info systems |3. Work authorization system |3. Performance measurement | |

| | |4. Earned value management |4. Status review meetings |4. Additional planning | |

| | | |5. Project Management info systems |5. Project Management info Systems | |

| | | |6. Organizational procedures | | |

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| | |Outputs: |Outputs: |Outputs: | |

| | |1. Project Plan |1. Work results |1. Project plan updates | |

| | |2. Supporting Detail |2. Change requests |2. Corrective action | |

| | | | |3. Lessons learned | |

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| | |Notes: |Notes: |Notes: | |

| | |The Project Plan should include the |PM’s role is to integrate all pieces of|PM must be concerned with the following | |

| | |Project Charter, Scope Statement, WBS, |a project into a cohesive whole. It is|for overall change control: | |

| | |Budget, Schedule, Risks, and other company|senior managements responsibility to |1. Influencing the factors that affect | |

| | |documents. |define the project and protect it from |change | |

| | | |changes. |2. Ensuring that change is beneficial | |

| | | | |3. Determining that change has occurred | |

| | | | |4. Managing changes as they occur | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Scope |Initiation |Scope Planning |Scope Verification |Scope Change Control | |

|(5) |Committing the organization to begin |Developing a written scope statement as |Formalizing acceptance of the project |Controlling changes to the project scope. | |

|(3C/2F) |the next phase of the project |the basis for future project decisions. |scope. | | |

| | | | | | |

| |Inputs: |Inputs: |Inputs: |Inputs: | |

| |1. Product description |1 Product description |1. Work results |1. WBS | |

| |2. Strategic plan |2. Project charter |2. Product documentation |2. Performance reports | |

| |3. Project selection criteria |3. Constraints |3. WBS |3. Change requests | |

| |4. Historical information |4. Assumptions |4. Scope statement |4. Scope management plan | |

| | | |5. Project plan | | |

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| |Tools: |Tools: |Tools: |Tools: | |

| |1. Project selection methods |1. Product Analysis |1. Inspection |1. Scope change control system | |

| |2. Expert judgment |2. Benefit / Cost analysis | |2. Performance measurement | |

| | |3. Alternatives identification | |3. Additional planning | |

| | |4. Expert judgment | | | |

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| |Outputs: |Outputs: |Outputs: |Outputs: | |

| |1. Project charter |1. Scope statement |1. Formal acceptance |1. Scope changes | |

| |2. PM identified and assigned |2. Supporting details | |2. Corrective action | |

| |3. Constraints |3. Scope Management plan | |3. Lessons learned | |

| |4. Assumptions | | |4. Adjusted baseline | |

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| |Notes: |Notes: |Notes: |Notes: | |

| |PM should be identified in this |Scope statement should include: |Scope verification deals with the |Corrective Action- anything done to bring | |

| |phase. Project Manager selection is |1. Project justification |acceptance of the work, not the |expected future project performance in | |

| |considered an output of this phase. |2. Project product |correctness of the work. Quality |line with the project plan. | |

| |High-level planning and feasibility |3. Project deliverables |Control deals with the correctness of | | |

| |studies are also conducted during |4. Project objectives |the work. | | |

| |initiation. | | | | |

| | |Scope Definition | | | |

| | |Sub-dividing the major project | | | |

| | |deliverables into smaller, more | | | |

| | |manageable, components. | | | |

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| | |Inputs: | | | |

| | |1. Scope statement | | | |

| | |2. Constraints | | | |

| | |3. Assumptions | | | |

| | |4. Other planning outputs | | | |

| | |5.Historical information | | | |

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| | |Tools: | | | |

| | |1. WBS template | | | |

| | |2. Decomposition | | | |

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| | |Outputs: | | | |

| | |1. WBS | | | |

| | |2. Scope statement update | | | |

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| | |Notes: | | | |

| | |WBS is used as a basis for many planning | | | |

| | |activities. | | | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Time | |Activity Definition | |Schedule Control | |

|(5) | |Identifying the specific activities that | |Controlling changes to the project | |

|(4C/1F) | |must be performed to produce the various | |schedule | |

| | |project deliverables. | | | |

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| | |Inputs: | |Inputs: | |

| | |1. WBS | |1. Project schedule | |

| | |2. Scope statement | |2. Performance reports | |

| | |3. Historical information | |3. Change requests | |

| | |4. Constraints | |4. Schedule management plan | |

| | |5. Assumptions | | | |

| | |6. Expert judgment | | | |

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| | |Tools: | |Tools: | |

| | |1. Decomposition | |1. Schedule change control system | |

| | |2. Templates | |2. Performance measurement | |

| | | | |3. Additional planning | |

| | | | |4. Project management software | |

| | |Outputs: | |5. Variance analysis | |

| | |1. Activity list | | | |

| | |2. Supporting detail | |Outputs: | |

| | |3. WBS updates | |1. Schedule updates | |

| | | | |2. Corrective action | |

| | |Notes: | |3. Lessons learned | |

| | |Decomposition here generates activities, | | | |

| | |whereas decomposition in Scope Definition | |Notes: | |

| | |generates deliverables. | |Revisions are a special schedule update. | |

| | | | |Revisions are changes to the start and | |

| | |Activity Sequencing | |finish dates in approved schedules. They | |

| | |Identifying and documenting interactivity | |are usually revised only in response to | |

| | |dependencies. | |scope changes. | |

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| | |Inputs: | | | |

| | |1. Activity list | | | |

| | |2. Product description | | | |

| | |3. Mandatory dependencies | | | |

| | |4. Discretionary dependencies | | | |

| | |5. External dependencies | | | |

| | |6. Milestones | | | |

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| | |Tools: | | | |

| | |1. Precedence Diagramming Method | | | |

| | |2. Arrow Diagramming Method | | | |

| | |3. Conditional Diagramming Methods | | | |

| | |4. Network Templates | | | |

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| | |Outputs: | | | |

| | |1. Project network diagrams | | | |

| | |2. Activity list updates | | | |

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| | |Notes: | | | |

| | |1. PDM has 4 types of dependencies (F-S, | | | |

| | |F-F, S-F, S-S) | | | |

| | |2. ADM only uses F-S dependencies | | | |

| | |3. ADM uses dummies, PDM doesn’t. | | | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Time (cont) | |Activity Duration | | | |

|(5) | |Estimating | | | |

|(4C/1F) | |Estimating the number of work periods | | | |

| | |which will be needed to complete | | | |

| | |individual activities | | | |

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| | |Inputs: | | | |

| | |1. Activity list | | | |

| | |2. Constraints | | | |

| | |3. Assumptions | | | |

| | |4. Resource requirements | | | |

| | |5. Resource capabilities | | | |

| | |6. Historical information | | | |

| | |7. Identified risks | | | |

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| | |Tools: | | | |

| | |1. Expert judgment | | | |

| | |2. Analogous estimating | | | |

| | |3. Quantitatively based durations | | | |

| | |4. Reserve (contingency) time | | | |

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| | |Outputs: | | | |

| | |1. Activity duration estimates | | | |

| | |2. Basis of estimates | | | |

| | |3. Activity list updates | | | |

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| | |Notes: | | | |

| | |1. PERT and CPM estimating can only be | | | |

| | |drawn on an AOA diagram. | | | |

| | |2. Critical path is the longest path | | | |

| | |through a network diagram and shows the | | | |

| | |earliest completion of a project. It can | | | |

| | |be derived using CPM, PERT or Monte Carlo.| | | |

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| | |Schedule Development | | | |

| | |Analyzing activity sequences, activity | | | |

| | |durations, and resource requirements o | | | |

| | |create the project schedule. | | | |

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| | |Inputs: | | | |

| | |1. Project network diagrams | | | |

| | |2. Activity duration estimates | | | |

| | |3. Resource requirements | | | |

| | |4. Resource pool descriptions | | | |

| | |5. Calendars | | | |

| | |6. Constraints | | | |

| | |7. Assumptions | | | |

| | |8. Leads and Lags | | | |

| | |9. Risk management plan | | | |

| | |10. Activity attributes | | | |

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| | |Tools | | | |

| | |1. Mathematical analysis | | | |

| | |2. Duration compression | | | |

| | |3. Simulation | | | |

|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Time (cont) | |4. Resource leveling heuristics | | | |

|(5) | |5. Project Management software | | | |

|(4C/1F) | |6. Coding structure | | | |

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| | |Outputs: | | | |

| | |1. Project schedule | | | |

| | |2. Supporting details | | | |

| | |3. Schedule management plan | | | |

| | |4. Resource requirement updates | | | |

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| | |Notes: | | | |

| | |1. CPM technique provides only 1 estimate | | | |

| | |per task (i.e. most likely) | | | |

| | |2. PERT technique provides 3 estimates | | | |

| | |(Optimistic (O), Pessimistic (P), and Most| | | |

| | |Likely (M)). | | | |

| | |3. PERT Formulas: | | | |

| | |(P+4M+O)/6 | | | |

| | |Standard deviation – (P-O)/6 | | | |

| | |Variance – ((P-O)/6) 2 | | | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Cost | |Resource Planning | |Cost Control | |

|(4) | |Determining what resources (people, | |Controlling changes to the project budget.| |

|(3C/1F) | |equipment, materials) and what quantities | | | |

| | |of each should be used to perform project | | | |

| | |activities. | | | |

| | | | |Inputs: | |

| | |Inputs: | |1. Cost baseline | |

| | |1. WBS | |2. Performance reports | |

| | |2. Historical information | |3. Change requests | |

| | |3. Scope statement | |4. Cost management plan | |

| | |4. Resource pool description | | | |

| | |5. Organizational policies | | | |

| | |6. Activity duration estimates | | | |

| | | | |Tools: | |

| | |Tools: | |1. Cost change control system | |

| | |1. Expert judgment | |2. Performance measurement | |

| | |2. Alternatives identification | |3. Earned value management | |

| | |3. Project Management software | |4. Additional planning | |

| | | | |5. Computerized tools | |

| | |Outputs: | | | |

| | |1. Resource requirements | |Outputs: | |

| | | | |1. Revised cost estimates | |

| | |Notes: | |2. Budget updates | |

| | |N / A | |3. Corrective action | |

| | | | |4. Estimate at completion | |

| | |Cost Budgeting | |5. Project closeout | |

| | |Allocating the overall cost estimate to | |6. Lessons leaned | |

| | |individual work items. | | | |

| | | | |Notes: | |

| | |Inputs: | |Formulas to remember: | |

| | |1. Cost estimates | |EAC = BAC / CPI | |

| | |2. WBS | |ETC = EAC – ACWP | |

| | |3. Project schedule | |VAC = BAC - EAC | |

| | |4. Risk management plan | | | |

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| | |Tools: | | | |

| | |1. Cost budgeting tools and techniques | | | |

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| | |Outputs: | | | |

| | |1. Cost baseline | | | |

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| | |Notes: | | | |

| | |Cost baseline is a time-phased budget used| | | |

| | |to measure and monitor cost performance. | | | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Cost (cont) | |Cost Estimating | | | |

|(4) | |Developing an approximation (estimation) | | | |

|(3C/1F) | |of the costs of the resources needed to | | | |

| | |complete job activities. | | | |

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| | |Inputs: | | | |

| | |1. WBS | | | |

| | |2. Resource requirements | | | |

| | |3. Resource rates | | | |

| | |4. Activity duration estimates | | | |

| | |5. Estimating publications | | | |

| | |6. Historical information | | | |

| | |7. Chart of accounts | | | |

| | |8. Risks | | | |

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| | |Tools: | | | |

| | |1. Analogous estimating | | | |

| | |2. Parametric modeling | | | |

| | |3. Bottom up estimating | | | |

| | |4. Computerized tools | | | |

| | |5. Other cost estimating methods | | | |

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| | |Outputs: | | | |

| | |1. Cost estimates | | | |

| | |2. Supporting details | | | |

| | |3. Cost management plan | | | |

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| | |Notes: | | | |

| | |Analogous estimating is generally less | | | |

| | |costly and less accurate than other | | | |

| | |techniques. Bottom up estimating accuracy| | | |

| | |is driven by size of work items being | | | |

| | |estimated. Smaller items increase both | | | |

| | |cost and accuracy. Formulas to remember | | | |

| | |include: | | | |

| | |SV = BCWP – BCWS | | | |

| | |CV = BCWP – ACWP | | | |

| | |SPI = BCWP / BCWS | | | |

| | |CPI = BCWP / ACWP | | | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Quality | |Quality Planning |Quality Assurance |Quality Control | |

|(3) | |Identifying which quality standards are |Evaluating overall project performance |Monitoring specific project results to | |

|(3F) | |relevant to the project and determining |on a regular basis to provide |determine if they comply with relevant | |

| | |how to satisfy them. |confidence that the project will |quality standards and identifying ways to | |

| | | |satisfy the relevant quality standards.|eliminate causes of unsatisfactory | |

| | | | |performance. | |

| | | |Inputs: | | |

| | |Inputs: |1. Quality management plan |Inputs: | |

| | |1. Quality policy |2. Results of quality control |1. Work results | |

| | |2. Scope statement |measurements |2. Quality management plan | |

| | |3. Product description |3. Operational definitions |3. Operational definitions | |

| | |4. Standards and regulations | |4. Checklists | |

| | |5. Other process outputs | | | |

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| | |Tools: |Tools: |Tools: | |

| | |1. Benefit / Cost analysis |1. Quality planning tools and |1. Inspection | |

| | |2. Benchmarking |techniques |2. Control charts | |

| | |3. Flow-charting |2. Quality Audits |3. Pareto diagrams | |

| | |4. Design of experiments | |4. Statistical sampling | |

| | |5. Cost of quality | |5. Flow-charting | |

| | | | |6. Trend analysis | |

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| | |Outputs: | |Outputs: | |

| | |1. Quality management plan |Outputs: |1. Quality improvement | |

| | |2. Operational definitions |1. Quality Improvement |2. Acceptance decisions | |

| | |3. Checklists | |3. Rework | |

| | |4. Inputs to other processes | |4. Completed checklists | |

| | | | |5. Process adjustments | |

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| | |Notes: | |Notes: | |

| | |1. Quality: the totality of |Notes: |1. Variable: characteristic to be measured| |

| | |characteristics of an entity that bear on |1. Kaizen (Continued improvement): |2. Attribute: the measurement (pound, | |

| | |its ability to satisfy stated or implied |Small improvements in products or |inch…) | |

| | |needs. |processes to reduce costs and ensure |3. Statistical independence: the | |

| | |2. Customer satisfaction: conformance to |consistency of products or services. |probability of 1 event occurring does not | |

| | |requirements, specifications, and fitness |2. ISO 9000: an international standard |affect the probability of another event | |

| | |for use |that describes a recommended quality |occurring. | |

| | |3. Quality is planned in, not inspected |system. Does not include quality | | |

| | |in. |procedures or forms. |+/- 1 sigma = 68.26% | |

| | | |3. Heuristic is a rule of thumb. |+/- 2 sigma = 95.46% | |

| | | | |+/- 3 sigma = 99.73% | |

| | | | |+/- 6 sigma = 99.99% | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|HR | |Organizational Planning |Team Development | | |

|(3) | |Identifying, documenting, and assigning |Developing individual and group skills | | |

|(3F) | |project roles, responsibilities and |to enhance project performance. | | |

| | |performing relationships. | | | |

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| | |Inputs: |Inputs: | | |

| | |1. Project interfaces |1. Project plan | | |

| | |2. Staffing requirements |2. Project staff | | |

| | |3. Constraints |3. Staffing management plan | | |

| | | |4. Performance reports | | |

| | |Tools: |5. External feedback | | |

| | |1. Templates | | | |

| | |2. HR practices |Tools: | | |

| | |3. Organizational theory |1. Team building activities | | |

| | |4. Stakeholder analysis |2. General management skills | | |

| | | |3. Reward and Recognition systems | | |

| | |Outputs: |4. Collocation | | |

| | |1. Role & Responsibility assignments |5. Training | | |

| | |2. Staffing management plan | | | |

| | |3. Org chart |Outputs: | | |

| | |4. Supporting detail |1. Performance improvements | | |

| | | |2. Input to performance appraisals | | |

| | |Notes: | | | |

| | |PM Forms of Power |Notes: | | |

| | |1. Formal (Legitimate) Position Based |Maslow’s Hierarchy of Need | | |

| | |2. Reward (Given on Merit) |1. Physiological (Lowest) | | |

| | |3. Penalty (Coercive) |2. Safety | | |

| | |4. Expert (Based on Knowledge) |3. Social | | |

| | |5. Referent (Using Others Power) |4. Esteem | | |

| | | |5. Self-Actualization (Highest) | | |

| | |Staff Acquisition | | | |

| | |Getting the human resources needed |MacGregor’s Theory X – people need to | | |

| | |assigned to and working on the project. |be watched every minute. They are | | |

| | | |incapable, avoid responsibility, and | | |

| | |Inputs: |avoid work. | | |

| | |1. Staffing management plan | | | |

| | |2. Staffing pool descriptions |MacGregor’s Theory Y – people are | | |

| | |3. Recruitment practices |willing to work without supervision and| | |

| | | |want to achieve. | | |

| | |Tools: | | | |

| | |1. Negotiations | | | |

| | |2. Preassignments | | | |

| | |3. Procurements | | | |

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| | |Outputs: | | | |

| | |1. Project staff assigned | | | |

| | |2. Project Team directory | | | |

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| | |Notes: | | | |

| | |Conflict Resolution | | | |

| | |1. Problem Solving (Confront) BEST | | | |

| | |2. Compromising | | | |

| | |3. Withdrawal | | | |

| | |4. Smoothing | | | |

| | |5. Forcing (Worst) | | | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Comms | |Communications Planning |Information Distribution |Performance Reporting |Administrative Closure |

|(4) | |Determining the information and |Making needed information available to |Collecting and disseminating performance |Generating, gathering, and |

|(2C/2F) | |communications needs of the stakeholders. |project stakeholders in a timely |information. This includes status |disseminating information to |

| | | |manner. |reporting, progress measurements and |formalize phase or project |

| | | | |forecasting. |completion. |

| | |Inputs: | | | |

| | |1. Communications requirements |Inputs: |Inputs: |Inputs: |

| | |2. Communications technology |1. Work results |1. Project plan |1. Performance measurement |

| | |3. Constraints |2. Communications management plan |2. Work results |documentation |

| | |4. Assumptions |3. Project plan |3. Other project records |2. Product documentation |

| | | | | |3. Other project records |

| | |Tools: | | | |

| | |1. Share holder analysis |Tools: |Tools: |Tools: |

| | | |1. Communications skills |1. Performance reviews |1. Performance reporting tools and |

| | | |2. Information retrieval systems |2. Variance analysis |techniques |

| | | |3. Information distribution methods |3. Trend analysis |2. Project reports |

| | | | |4. Earned value analysis |3. Project presentations |

| | | | |5. Information distribution tools and | |

| | | | |techniques | |

| | |Outputs: | | | |

| | |1. Communications management plan |Outputs: |Outputs: |Outputs: |

| | | |1. Project records |1. Performance reports |1. Project archives |

| | | |2. Project reports |2. Change requests |2. Project closure |

| | | |3. Project presentations | |3. Lessons learned |

| | |Notes: | | | |

| | |Communications Management Plan may include|Notes: |Notes: |Notes: |

| | |the following: |Communications Methods: |Performance Reporting Tools: |Admin closure should be done for each|

| | |1. What information needs to be collected |1. Formal Written |1. Status Reports |phase of the project. |

| | |and when. |2. Formal Verbal |2. Progress Reports | |

| | |2. Who will receive the information |3. Informal Written |3. Trend Reports |Inputs include: |

| | |3. Methods to gather the information |4. Informal Verbal |4. Forecasting Reports |1. Performance Measurement |

| | |4. Who may talk to whom | |5. Variance Reports |Documentation |

| | |5. Reporting relationships |Communications Channel: |6. Earned Value |2. Documentation of the product of |

| | |6. Schedule for distribution |N(N-1)/2 where N = the number of | |the project |

| | | |people. | |3. Other project records |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Risk | |Risk Identification | |Risk Monitoring and Control | |

|(4) | |Determining which risks are likely to | |Responding to changes in risk over the | |

|(4F) | |affect the project and documenting the | |course of the project. | |

| | |characteristics of each. | | | |

| | | | | | |

| | |Inputs: | |Inputs: | |

| | |1. Product description | |1. Risk management plan | |

| | |2. Other planning outputs | |2. Actual risk events | |

| | |3. Historical information | |3. Additional risk identification | |

| | | | | | |

| | |Tools: | |Tools: | |

| | |1. Checklists | |1. Workarounds | |

| | |2. Flowcharting | |2. Additional risk response development | |

| | |3. Interviewing | | | |

| | | | | | |

| | |Outputs: | |Outputs: | |

| | |1. Sources of Risk | |1. Corrective action | |

| | |2. Potential risk events | |2. Updates to risk management plan | |

| | |3. Risk symptoms | | | |

| | |4. Inputs to other processes | | | |

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| | |Notes: | |Notes: | |

| | |Types of Risk: | |Workarounds – unplanned responses to | |

| | |1. Business Gain / Loss | |negative risk events | |

| | |2. Pure (Insurable) – Only loss | | | |

| | | | |Contingency Plans – planned responses to | |

| | |Sources of Risk: | |risks. Proper risk management should make| |

| | |1. Schedule | |contingency plans more frequent than | |

| | |2. Cost | |workarounds. | |

| | |3. Quality | | | |

| | |4. Performance | | | |

| | |6. Scope | | | |

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| | |Risk Factors: | | | |

| | |1. Probability it will occur | | | |

| | |2. Range of possible outcomes | | | |

| | |3. Expected timing | | | |

| | |4. Anticipated frequency | | | |

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| | |Risk Quantification | | | |

| | |Evaluating risk and risk interactions to | | | |

| | |assess the range of possible project | | | |

| | |outcomes. | | | |

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| | |Inputs: | | | |

| | |1. Stakeholder risk tolerance | | | |

| | |2. Sources of risk | | | |

| | |3. Potential risk events | | | |

| | |4. Cost estimates | | | |

| | |5. Activity duration estimates | | | |

| | | | | | |

| | |Tools: | | | |

| | |1. Expected monetary value | | | |

| | |2. Statistical sums | | | |

| | |3. Simulation | | | |

| | |4. Decision Trees | | | |

|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Risk (cont) | |5. Expert judgment | | | |

|(4) | | | | | |

|(4F) | |Outputs: | | | |

| | |1. Opportunities to pursue, threats to | | | |

| | |respond to. | | | |

| | |2. Opportunities to ignore, threats to | | | |

| | |accept | | | |

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| | |Notes: | | | |

| | |Risk Quantification involves determining | | | |

| | |the following: | | | |

| | |1. Probability | | | |

| | |2. Amount at stake | | | |

| | |3. Ranking of risks | | | |

| | | | | | |

| | |Two methods used to determine probability | | | |

| | |and the amount at stake: | | | |

| | |1. Qualitative: Educated guess (High, | | | |

| | |Medium, Low) | | | |

| | |2. Quantitative: Estimation by calculation| | | |

| | |(20k or 2 week period) | | | |

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| | |Risk Response Development | | | |

| | |Defining enhancement steps for | | | |

| | |opportunities and responses to threats. | | | |

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| | |Inputs: | | | |

| | |1. Opportunities to pursue, threats to | | | |

| | |respond to. | | | |

| | |2. Opportunities to ignore, threats to | | | |

| | |accept | | | |

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| | |Tools: | | | |

| | |1. Procurement | | | |

| | |2. Contingency Planning | | | |

| | |3. Alternative strategies | | | |

| | |4. Insurance | | | |

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| | |Outputs: | | | |

| | |1. Risk Management Plan | | | |

| | |2. Inputs to other processes | | | |

| | |3. Contingency plans | | | |

| | |4. Reserves | | | |

| | |5. Contract agreements | | | |

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| | |Notes: | | | |

| | |Response Categories: | | | |

| | |1. Avoidance – Eliminate threat by | | | |

| | |eliminating cause | | | |

| | |2. Mitigation – Reduce EMV of risk by | | | |

| | |reducing probability of occurrence | | | |

| | |3. Acceptance – accept consequences | | | |

| | |4. Deflection – make another party | | | |

| | |responsible | | | |

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| | |Reserves (Contingency) – formulating the | | | |

| | |amount of cost / time for risk. | | | |

|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Procurement | |Procurement Planning |Solicitation | |Contract Closeout |

|(6) | |Determining what to procure and when. |Obtaining quotations, bids, offers or | |Completion and settlement of the |

|(1C/5F) | | |proposals as appropriate. | |contract including resolution of all |

| | |Inputs: | | |open issues. |

| | |1. Scope statement |Inputs: | | |

| | |2. Product description |1. Procurement documents | |Inputs: |

| | |3. Procurement resources |2. Qualified seller list | |1. Contract documentation |

| | |4. Market conditions | | | |

| | |5. Other planning outputs |Tools: | |Tools: |

| | |6. Constraints |1. Bidder conferences | |1. Procurement audits |

| | |7. Assumptions |2. Advertising | | |

| | | | | |Outputs: |

| | |Tools: |Outputs: | |1. Contract file |

| | |1. Make-or-Buy analysis |1. Proposals | |2. Formal acceptance and closure |

| | |2. Expert judgment | | | |

| | |3. Contract type selection |Notes: | |Notes: |

| | | |Things to be aware of at a bidders | |Centralized Contracting – a separate |

| | |Outputs: |conference: | |contracting office handles contracts |

| | |1. Procurement management plan |1. Collusion | |for all projects. |

| | |2. Statement of Work |2. Sellers not asking questions in | | |

| | | |front of the competition. | |Decentralized Contracting – a |

| | |Notes: |3. All Q&A is put in writing and issued| |contract administrator is assigned to|

| | |Main reason to buy (over make) is to |to all potential sellers as an addendum| |each project. |

| | |decrease risk (cost, schedule, and |to the procurement documentation. | | |

| | |performance or scope of work. | | |Contract documentation is the only |

| | | |Source Selection | |input into Contract Closeout. |

| | |Contract Type Selection: |Choosing from among potential sellers. | | |

| | |1. CR – Cost reimbursable. Buyer bears | | | |

| | |highest risk for cost. |Inputs: | | |

| | |2. FP – Fixed price. Buyer has least cost|1. Proposals | | |

| | |risk. |2. Evaluation criteria | | |

| | |3. T&M- (Unit Price) Time and Materials. |3. Organizational policies | | |

| | |Buyer has moderate cost risk. | | | |

| | | |Tools: | | |

| | |Incentives – help bring sellers objectives|1. Contract negotiation | | |

| | |in line with buyer’s objectives. |2. Weighting system | | |

| | | |3. Screening system | | |

| | |Solicitation Planning |4. Independent estimates | | |

| | |Documenting project requirements and | | | |

| | |identifying potential sources. |Outputs: | | |

| | | |1. Contract | | |

| | |Inputs: | | | |

| | |1. Procurement management plan |Notes: | | |

| | |2. Statement of Work |Objectives of Negotiation: | | |

| | |3. Other planning outputs |1. Obtain a fair and reasonable price | | |

| | | |2. Develop a good relationship with the| | |

| | |Tools: |seller (win-win situation) | | |

| | |1. Standard forms | | | |

| | |2. Expert judgment |Items to negotiate: | | |

| | | |1. Responsibilities | | |

| | |Outputs: |2. Authority | | |

| | |1. Procurement documents |3. Applicable law | | |

| | |2. Evaluation criteria |4. Tech / Business Approaches | | |

| | |3. Statement of Work updates |5. Financing / Price | | |

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|Knowledge Areas |Process Groups |

| |Initiating |Planning |Executing |Controlling |Closing |

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|Procurement | |Notes: |Contract Administration | | |

|(cont) (6) | |RFP (Request for Proposal) – requests |Managing the relationship with the | | |

|(1C/5F) | |detailed proposal on how work will be |seller. | | |

| | |accomplished. | | | |

| | | |Inputs: | | |

| | |RFI (Request for Information) – request |1. Contract | | |

| | |for information about a product or service|2. Work results | | |

| | | |3. Change requests | | |

| | |RFQ (Request for Quotation) – request from|4. Seller invoices | | |

| | |a price quote per item, hour, etc. | | | |

| | | |Tools: | | |

| | |IFB (Invitation for Bid) – requests one |1. Contract change control system | | |

| | |price for all work. |2. Performance reporting | | |

| | | |3. Payment system | | |

| | |Procurement documents: | | | |

| | |1. Info for Sellers |Outputs: | | |

| | |2. Scope of Work |1. Correspondence | | |

| | |3. Proposed terms and conditions for |2. Contract charges | | |

| | |contract. |3. Payment requests | | |

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| | | |Notes: | | |

| | | |Usually a third party controls the | | |

| | | |contract and is the only one with | | |

| | | |authority to change it. This can lead | | |

| | | |to conflict between the project manager| | |

| | | |and the contracting officer. | | |

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Blue = Core Process (C)

Green = Facilitating Process (F)

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