Chapter 4

Executing the Project

The PMP exam content from the Executing the Project performance domain covered in this chapter includes the following:

• Obtain and manage project resources, including outsourced deliverables, by following the procurement plan, in order to ensure successful project execution.
• Maximize team performance through leading, mentoring, training, and motivating team members.
• Execute the tasks as defined in the project plan, in order to achieve the project deliverables within budget and schedule.
• Implement approved changes according to the change management plan, in order to meet project requirements.
• Implement the quality management plan using the appropriate tools and techniques, in order to ensure that work is being performed according to required quality standards.
• Implement approved actions (e.g., workarounds) by following the risk management plan, in order to minimize the impact of the risks on the project.

Executing is the third process group of the five project management process groups. The processes in this group are responsible for executing the work outlined in the project management plan, managing the project resources, and performing the work of the project. Within this process group, you will also see approved changes and actions implemented as well as re-planning and re-baselining as a result of implemented changes.

Executing also involves keeping the project in line with the original project plan. The majority of the project budget and time will be spent in this process group, and the majority of conflicts will relate to the schedule. In addition, the product description will be finalized and contain more detail than it did in the planning processes.

The Executing process group accounts for 30 percent of the questions on the Project Management Professional (PMP®) exam.

Obtaining and Managing Resources

As mentioned previously, the Executing process group involves executing the project work. Naturally, this cannot be accomplished without first acquiring the resources needed to perform the project work. Obtaining resources occurs through the Acquire Project Team process and the Conduct Procurements process. The human resource and procurement management plans play an important role in carrying out these processes because they outline how resources will be acquired, managed, and released throughout the project life cycle.

Acquire Project Team

The Acquire Project Team process involves acquiring and assigning human resources, both internal and external, to the project. It is the project manager’s responsibility to ensure that resources are available and skilled in the project activities to which they’re assigned. This process considers the following factors:

• The process of negotiation with individuals who can provide the needed human resources
• The consequences of not obtaining the human resources
• Alternative resources should the planned resources not be available as a result of circumstances out of the project manager’s control

Figure 4-1 shows the inputs, tools and techniques, and outputs of the Acquire Project Team process.

Inputs of Acquire Project Team

Know the following inputs of the Acquire Project Team process:

Project Management Plan The human resource plan, a subsidiary of the project management plan, is essential to this process. The following are utilized from within this plan:

• Roles and responsibilities
• Project organization chart
• Staffing management plan

The staffing management plan should detail how the team will be acquired.

Enterprise Environmental Factors The enterprise environmental factors used in this process involve taking the following information into account before making assignments:

• Personal interests
• Cost rates
• Prior experience
• Availability of potential team members
• Personnel administration policies
• Organizational structure
• Locations

Organizational Process Assets The organizational process assets input refers to the standard processes, policies, procedures, and guidelines that the organization has in place. This includes policies around acquiring external resources. In particular, recruitment practices should be taken into account.

Tools and Techniques of Acquire Project Team

Be familiar with the following tools and techniques of the Acquire Project Team process:

• Pre-assignment
• Negotiation
• Acquisition
• Virtual teams

Pre-assignment Pre-assignment may take place when the project is put out for bid and specific team members are promised as part of the proposal or when internal project team members are promised and assigned as a condition of the project. Pre-assignments are documented within the project charter.

Negotiation Project managers may use negotiation techniques when dealing with functional managers and other organizational department managers—and sometimes with the vendor to get some of their best people—for project resources and for the timing of those resources.

The following items are typically negotiated:

• Availability
• Competency level of the staff member assigned

Acquisition Acquisition involves hiring individuals or teams of people for certain project activities, as either employees or contract help during the course of the project or project phase or for specific project activities.

Virtual Teams According to the PMBOK® Guide, virtual teams are defined as groups of people with a shared goal who fulfill their roles with little or no time spent meeting face to face. The use of virtual teams makes it possible to draw in resources that wouldn’t otherwise be available. It also reduces travel expenses by allowing teams to work from home. Virtual teams typically connect using technology tools, such as the Internet, email, and videoconferencing.

Communication becomes essential when functioning in a virtual structure. All team members should be made aware of the protocols for communicating in a virtual team environment, understand the expectations, and be clear on the decision-making processes.

Outputs of Acquire Project Team

Know the following three outputs of the Acquire Project Team process:

Project Staff Assignments Project staff assignments are based on the results of negotiating and determining elements such as the roles and responsibilities and reviewing recruitment practices. This output also results in a published project team directory, which lists the names of all project team members and stakeholders.

Resource Calendars Resource calendars show the team members’ availability and the times they are scheduled to work on the project. A composite resource calendar includes availability information for potential resources as well as their capabilities and skills.

Project Management Plan Updates As a result of performing the Acquire Project Team process, updates will be made to the human resource plan and staffing management plan.

Conduct Procurements

In some cases, resources will need to be procured externally. The Conduct Procurements process is concerned with obtaining responses to bids and proposals from potential vendors, selecting a vendor, and awarding the contract. This process is used only when goods or services are obtained from outside of the project’s organization. After this process is conducted, sellers will have been selected, contracts awarded, and project documents updated to reflect the selected vendors.

Figure 4-2 shows the inputs, tools and techniques, and outputs of the Conduct Procurements process.

Inputs of Conduct Procurements

There are several inputs of the Conduct Procurements process that you should know:

• Project management plan
• Procurement documents
• Source selection criteria
• Qualified seller list
• Seller proposals
• Project documents
• Make-or-buy decisions
• Teaming agreements
• Organizational process assets

Project Management Plan The procurement management plan is used within the project management plan to guide how the process will be managed.

Procurement Documents The following procurement documents are typically utilized:

• Requests for proposals (RFPs)
• Requests for information (RFIs)
• Requests for quotations (RFQs)

Source Selection Criteria Source selection criteria includes information on the vendor requirements that the project organization will use to make a decision on which vendor to select.

Qualified Seller List Qualified seller lists are lists of prospective sellers who have been preapproved or prequalified to provide contract services (or provide supplies and materials) for the organization.

Seller Proposals Seller proposals are literally the proposals submitted by sellers in response to a procurement document package.

Project Documents Project documents typically used as an input to this process include the risk register and risk-related contract decisions.

Make-or-Buy Decisions Make-or-buy decisions reflect which project deliverables will be purchased and which will be handled internally within the organization. Buy decisions will go through this process to select the vendor.

Teaming Agreements Existing teaming agreements are predetermined by executive management. In this process, the buyer will prepare the procurement statement of work, and a contract will be negotiated with the seller.

Organizational Process Assets Organizational process assets may contain information on sellers used in past projects. This information is utilized within this process.

Tools and Techniques of Conduct Procurements

Know the following tools and techniques of the Conduct Procurements process:

• Bidder conferences
• Proposal evaluation techniques
• Independent estimates
• Expert judgment
• Advertising
• Internet search
• Procurement negotiations

Bidder Conferences Bidder conferences (also known as vendor conferences), prebid conferences, and contractor conferences are meetings with prospective vendors or sellers that occur prior to the completion of their response proposal. Bidder conferences have the following characteristics:

• They allow all prospective vendors to meet with the buyers to ask questions and clarify issues they have regarding the project and the RFP.
• They are held once.
• They are attended by all vendors at the same time.
• They are held before vendors prepare their responses.

Proposal Evaluation Techniques There are several techniques that can be used to evaluate proposals. The types of goods and services you’re trying to procure will dictate how detailed your evaluation criteria are. Depending on the complexity of the procurements, you may use one or more of the following techniques to evaluate and rate sellers:

• Use the source selection criteria process to rate and score proposals.
• When purchasing goods, request a sample from each vendor to compare quality (or some other criteria) against your need.
• Ask vendors for references and/or financial records.
• Evaluate the response itself to determine whether the vendor has a clear understanding of what you’re asking them to do or provide.

After utilizing the necessary techniques, compare each proposal against the criteria, and rate or score each proposal for its ability to meet or fulfill these criteria. This can serve as your first step in eliminating vendors that don’t match your criteria. The next step is to apply the tools and techniques of this process to further evaluate the remaining potential vendors.

Using a weighting system, you can assign numerical weights to evaluation criteria and then multiply them by the weights of each criteria factor to come up with total scores for each vendor. Screening systems and seller rating systems are also sometimes used.

Independent Estimates Independent estimates, also known as cost estimates, may be compiled by the buyer’s organization to compare to the vendor prices and serve as a benchmark.

Expert Judgment Expert judgment may include experts from all areas of the organization when evaluating proposals and selecting vendors.

Advertising Advertising lets potential vendors know that an RFP is available. It can be used as a way of expanding the pool of potential vendors, or it may be a requirement, such as in the case of government projects. Here are some examples of where advertising may appear:

• The company’s Internet site
• Professional journals
• Newspapers

Internet Search Internet searches can be used for multiple actions by the buyer:

• Find vendors
• Perform research on their past performance
• Compare prices
• Purchase items that are readily available and are generally offered for a fixed price

Procurement Negotiations In procurement negotiations, both parties come to an agreement regarding the contract terms. At a minimum, a contract should include the following items:

• Price
• Responsibilities
• Applicable regulations or laws that apply
• Overall approach to the project

Once agreement is reached and the negotiations are finished, the contract is signed by both buyer and seller and is executed.

Outputs of Conduct Procurements

The Conduct Procurements process contains the following six outputs:

• Selected sellers
• Procurement contract awards
• Resource calendars
• Change requests
• Project management plan updates
• Project document updates

Selected Sellers Selected sellers are vendors that have been chosen to provide the goods or services requested by the buyer.

Procurement Contract Awards A contract is a legally binding agreement between two or more parties, typically used to acquire goods or services. Contracts have several names:

• Agreements
• Memorandums of understanding (MOUs)
• Subcontracts
• Purchase orders

The type of contract awarded depends on the product or services being procured and on the organizational policies.

A contract’s life cycle consists of four stages: requirement, requisition, solicitation, and award. In the requirement stage, the project and contract needs are established and requirements are defined within the statement of work (SOW). The requisition stage focuses on refining and confirming the project objectives and generating solicitation materials, such as the request for proposals (RFP), request for information (RFI), and request for quotations (RFQ). The solicitation stage is where vendors are asked to compete and respond to the solicitation materials. And last, the award stage is where the vendors are chosen and contracts awarded.

The contract should clearly address the following:

• Elements of the SOW
• Time period of performance
• Pricing and payment plan
• Acceptance criteria
• Warranty periods
• Dispute resolution procedures and penalties
• Roles and responsibilities

Resource Calendars Resource calendars will contain the following information on procurement resources:

• Quantity
• Availability
• Dates resources are active or idle

Change Requests Change requests may include changes to the project management plan and its subsidiary plans and components. These changes are submitted to the change control board for review.

Project Management Plan Updates The following elements of the project management plan may need to be updated as a result of this process:

• Procurement management plan
• Cost, scope, and schedule baselines

Project Document Updates The following documents may need to be updated as a result of this process:

• Requirements documentation and requirements traceability matrix
• Risk register

Maximizing Team Performance

Maximizing team performance involves leading, mentoring, training, and motivating team members. The project manager leads these efforts with the guidance of the documented human resource plan. The processes used to achieve maximum team performance include Develop Project Team and Manage Project Team, which are both a part of the Project Human Resource Management Knowledge Area.

To be successful, project managers will need to be familiar with several leadership theories, the stages of team development, motivational theories, and leadership styles. Being familiar with and understanding conflict resolution techniques and types of power are also important when managing teams.

Develop Project Team

The Develop Project Team process is concerned with creating a positive environment for team members; developing the team into an effective, functioning, coordinated group; and increasing the team’s competency levels. The proper development of the team is critical to a successful project. Since teams are made up of individuals, individual development becomes a critical factor to project success.

Figure 4-3 shows the inputs, tools and techniques, and outputs of the Develop Project Team process.

Inputs of Develop Project Team

The Develop Project Team process includes the following inputs:

Project Staff Assignments The list of project team members is obtained through the project staff assignments created from within the Acquire Project Team process.

Project Management Plan The human resource plan, a subsidiary plan of the project management plan, is utilized in this process.

Resource Calendars Resource calendars provide details about the availability of team members. This is important when coordinating team development activities to ensure participation from all team members.

Tools and Techniques of Develop Project Team

Before we review the tools and techniques of the Develop Project Team process, it is helpful to understand some key concepts and theories about leadership, management, and motivation.

Leadership vs. Management

Project managers need to use the traits of both leaders and managers at different times during a project. Therefore, it’s important to understand the difference between the two.

Leaders display the following characteristics:

• Impart vision, motivate and inspire, and are concerned with strategic vision
• Have a knack for getting others to do what needs to be done
• Use and understand the following two techniques:
  • Power, which is the ability to get people to do what they wouldn’t do ordinarily and the ability to influence behavior
  • Politics, which imparts pressure to conform regardless of whether people agree with the decision
• Have committed team members who believe in their vision
• Set direction and time frames and have the ability to attract good talent to work for them
• Are directive in their approach but allow for plenty of feedback and input
• Have strong interpersonal skills and are well respected

Managers display the following characteristics:

• Are generally task-oriented and concerned with issues such as plans, controls, budgets, policies, and procedures
• Are generalists with a broad base of planning and organizational skills
• Have a primary goal of satisfying stakeholder needs
• Possess motivational skills and the ability to recognize and reward behavior

There are four particularly notable theories regarding leadership and management:

Theory X & Y Douglas McGregor defined two models of worker behavior, Theory X and Theory Y, that attempt to explain how different managers deal with their team members. Theory X managers believe the following statements to be true:

• Most people do not like work and will try to steer clear of it.
• People have little to no ambition and need constant supervision.
• People won’t actually perform the duties of their job unless threatened.

As a result, Theory X managers are like dictators and impose very rigid controls over their employees. They believe people are motivated only by punishment, money, or position.

Theory Y managers have the following characteristics:

• Believe people are interested in performing their best given the right motivation and proper expectations
• Provide support to their teams
• Are concerned about their team members
• Are good listeners

Theory Y managers believe people are creative and committed to the project goals, that they like responsibility and seek it out, and that they are able to perform the functions of their positions with limited supervision.

Theory Z Theory Z was developed by William Ouchi. This theory is concerned with increasing employee loyalty to their organization and results in increased productivity. Theory Z has the following characteristics:

• Puts an emphasis on the well-being of the employees both at work and outside of work
• Encourages steady employment
• Leads to high employee satisfaction and morale

Theory Z develops employee loyalty through group decision making, which also results in a sense of being valued and respected.

Figure 4-4 highlights the differences between a Theory X manager, a Theory Y manager, and a Theory Z manager.

Contingency Theory The Contingency theory builds on a combination of Theory Y behaviors and the Hygiene theory. (The Hygiene theory is discussed shortly, in the section “Motivational Theories.”) The Contingency theory says that people are motivated to achieve levels of competency and will continue to be motivated by this need even after competency is reached.

Situational Theory Paul Hersey and Ken Blanchard developed the Situational Leadership theory during the mid-1970s. This theory’s main premise is that the leadership style you use depends on the situation. Both Hersey and Blanchard went on to develop their own situational leadership models. Blanchard’s model, Situational Leadership II, describes four styles of leadership that depend on the situation: directing, coaching, supporting, and delegating.

Leadership Styles

There are various leadership styles that a project manager may use, and in many cases, the appropriate leadership style is based on the situation. The following are examples of leadership styles:

Autocratic All decisions are made by the leader.

Laissez-fair The leader uses a hands-off approach and allows the team to drive the decisions.

Democratic Leaders gather all facts and receive input from the team before reaching a decision.

Situational Based on the Blanchard theory of situational leadership that uses four styles: directing, coaching, supporting, and delegating.

Transactional and Transformational Developed by Bernard Bass. He described transactional leaders as activity-focused and autonomous; they use contingent reward systems and manage by exception. Transformational leaders are described as focusing on relationships rather than activities.

The Power of Leaders

Leaders, managers, and project managers use power to convince others to do tasks a specific way. The kind of power they use to accomplish this depends on their personality, their personal values, and the company culture. Here are five forms of power leaders may use:

• Punishment power, also known as coercive or penalty power, is exerted when employees are threatened with consequences if expectations are not met.

• Expert power is exerted when the person being influenced believes the manager, or the person doing the influencing, is knowledgeable about the subject or has special abilities that make them an expert.
• Legitimate power, also known as formal power, is exerted when power comes about as a result of the influencer’s position.
• Referent power is obtained by the influencer through a higher authority.
• Reward power is the ability to grant bonuses and incentives for a job well done.

Motivational Theories

There are many theories on motivation, and as a project manager, you should understand and tailor the recognition and rewards programs around the project team. The following are some important motivational theories to note:

Maslow’s Hierarchy of Needs Abraham Maslow theorized that humans have five basic sets of needs arranged in hierarchical order. The idea is that each set of needs must be met before a person can move to the next level of needs in the hierarchy. Once that need is met, they progress to the next level, and so on. Maslow’s Hierarchy of Needs theory suggests that once a lower-level need has been met, it no longer serves as a motivator, and the next-higher level becomes the driving motivator in a person’s life. Maslow theorized that humans are always in one state of need or another and they can move up and down the pyramid throughout their lives. The following is a brief review of the needs, as shown in Figure 4-5, starting with the highest level and ending with the lowest:

• Self-actualization—Highest level; performing at your peak potential
• Self-esteem needs—Accomplishment, respect for self, capability
• Social needs—A sense of belonging, love, acceptance, friendship
• Safety and security needs—Your physical welfare and the security of your belongings
• Basic physical needs—Lowest level; food, clothing, shelter

Hygiene Theory Frederick Herzberg came up with the Hygiene theory, also known as the Motivation-Hygiene theory. He postulated that two factors contribute to motivation:

• Hygiene factors, which prevent dissatisfaction, deal with work environment issues and include factors such as pay, benefits, conditions of the work environment, and relationships with peers and managers.
• Motivators, which lead to satisfaction, deal with the substance of the work itself and the satisfaction one derives from performing the functions of the job. According to Herzberg, the ability to advance, the opportunity to learn new skills, and the challenges involved in the work are all motivators.

Expectancy Theory The Expectancy theory, first proposed by Victor Vroom, says that the expectation of a positive outcome drives motivation. People will behave in certain ways if they think there will be good rewards for doing so and if they themselves value the reward. Also note that this theory says the strength of the expectancy drives the behavior. This means the expectation or likelihood of the reward is linked to the behavior. This theory also says that people become what you expect of them.

Achievement Theory The Achievement theory, attributed to David McClelland, says that people are motivated by the need for three things:

• Achievement, as a result of a need to achieve or succeed
• Power, which involves a desire to influence the behavior of others
• Affiliation, as a result of a need to develop relationships with others

Tools and Techniques

You should know the following tools and techniques of the Develop Project Team process:

• Interpersonal skills
• Training
• Team-building activities
• Ground rules
• Co-location
• Recognition and rewards

Interpersonal Skills Interpersonal skills, often referred to as soft skills, include things such as these:

• Leadership
• Influence
• Negotiation
• Communications
• Empathy
• Creativity

By possessing these skills, the project management team can reduce issues within the project team and better manage the team overall.

Training Training is a matter of assessing the team members’ skills and abilities, assessing the project needs, and providing the training necessary for the team members to carry out their assigned activities. Training can sometimes be a reward as well. Training needs may be incorporated into the staffing management plan or scheduled as they are assessed.

Team-Building Activities Part of the project manager’s job is to bring the team together, get its members headed in the right direction, and provide motivation, reward, and recognition. This is done using a variety of team-building techniques and exercises. Team building involves getting a diverse group of people to work together in the most efficient and effective manner possible.

Important to team-building activities are the theories behind team development. Authors Bruce Tuckman and Mary Ann Jensen developed a model that describes how teams develop and mature. According to Tuckman and Jensen, all newly formed teams go through the following five stages of development:

Forming Forming occurs at the beginning stage of team formation, when team members are brought together, introduced, and told the objectives of the project. Team members tend to behave in a formal and reserved manner.

Storming Storming is the stage when action begins. Team members tend to be confrontational with one another as they’re vying for position and control.

Norming Norming is the stage when team members are comfortable with one another and begin to confront project concerns and issues.

Performing Performing is the stage when the team becomes productive and effective. Trust among team members is high, and this is considered to be the mature development stage.

Adjourning The adjourning stage is when the team is released after the work is completed.

Figure 4-6 shows the stages of a team’s development.

Ground Rules Ground rules are expectations set by the project manager and project team that describe acceptable team behavior. Outlining ground rules helps the team understand expectations regarding acceptable behavior and increases productivity.

Co-location Co-location refers to basing team members out of the same physical location. Co-location enables teams to function more effectively than if they’re spread out among different localities. One way to achieve co-location might be to set aside a common meeting room, sometimes called a war room, for team members who are located in different buildings or across town to meet and exchange information.

Recognition and Rewards Recognition and rewards are an important part of team motivation. They are formal ways of recognizing and promoting desirable behavior and are most effective when carried out by the management team and the project manager. Criteria for rewards should be developed and documented, and rewards should be given to team members who go above and beyond the call of duty.

Motivation can be extrinsic or intrinsic:

• Extrinsic motivators are material rewards and might include bonuses, the use of a company car, stock options, gift certificates, training opportunities, extra time off, and so on.
• Intrinsic motivators are specific to the individual. Cultural and religious influences are forms of intrinsic motivators as well.

The recognition and rewards tool of this process is an example of an extrinsic motivator.

Outputs of Develop Project Team

The following two outputs result from the Develop Project Team process:

Team Performance Assessments Team performance assessments involve determining the project team’s effectiveness. Assessing these characteristics helps to determine where (or whether) the project team needs improvements. The following indicators are among those assessed:

• Improvements in the team’s skills
• Improvements in the team’s competencies
• Lower staff attrition
• Greater level of team cohesiveness

Enterprise Environmental Factors Updates Updates to the enterprise environmental factors typically include updates to team records regarding training and skill assessment and any personnel administration updates that resulted from carrying out this process.

Manage Project Team

The Manage Project Team process is concerned with tracking and reporting on the performance of individual team members. During this process, performance appraisals are prepared and conducted, issues are identified and resolved, and feedback is given to the team members. This process involves management skills that promote teamwork and result in high-performance teams.

Figure 4-7 shows the inputs, tools and techniques, and outputs of the Manage Project Team process.

Inputs of Manage Project Team

There are five inputs of the Manage Project Team process:

• Project staff assignments
• Project management plan
• Team performance assessments
• Performance reports
• Organizational process assets

Project Staff Assignments Project staff assignments provide the list of project team members and their assignments for use in this process.

Project Management Plan Within the project management plan, the human resource plan provides the following information that is utilized in this process:

• Staffing management plan
• Roles and responsibilities
• The project organization chart

Team Performance Assessments Team performance assessments, which are an output of the Develop Project Team process, provide necessary information and insight into the performance and issues of the project team. This information is necessary for managing the group and taking action to resolve any issues and to foster improvement.

Performance Reports Performance reports document the status of the project compared to the forecasts. For additional information on performance reports, see the outputs of the Report Performance process in Chapter 5, “Monitoring and Controlling the Project,” in this book.

Organizational Process Assets Organizational process assets utilized within this process include any existing organizational perks and forms of recognition.

Tools and Techniques of Manage Project Team

Know the following tools and techniques of the Manage Project Team process:

• Observation and conversation
• Project performance appraisals
• Conflict management
• Issue log
• Interpersonal skills

Observation and Conversation Observing team performance can be used as an assessment tool. Both observation and conversation help the project management team stay tuned in to the attitudes and feelings of the project team members, making both an important tool for communication.

Project Performance Appraisals Project performance appraisals are typically annual or semiannual affairs where managers let their employees know what they think of their performance and rate them accordingly. These are usually manager-to-employee exchanges but can incorporate a 360-degree review, which takes in feedback from nearly everyone the team member interacts with, including key stakeholders, customers, project manager, peers, subordinates, and the delivery person if they have a significant amount of project interaction.

Performance appraisal time is also a good time to do the following:

• Assess training needs
• Clarify roles and responsibilities
• Set goals for the future

Conflict Management Conflict exists when the desires, needs, or goals of one party are incompatible with the desires, needs, or goals of another party (or parties). Conflict is the incompatibility of goals, which often leads to one party resisting or blocking the other party from attaining their goals. Conflict management is how an individual deals with these types of scenarios or issues.

The following six methods of conflict management are also shown in Figure 4-8:

Forcing One person forces a solution on the other parties. This is an example of a win-lose conflict resolution technique.

Smoothing/Accommodating Smoothing/accommodating is a temporary way to resolve conflict in which the areas of agreement are emphasized over the areas of difference, so the real issue stays buried. This is an example of a lose-lose conflict resolution technique because neither side wins.

Compromise Compromise is achieved when each of the parties involved in the conflict gives up something to reach a solution. This is an example of a lose-lose conflict resolution technique because neither side gets what they wanted.

Confrontation/Problem Solving Confrontation and problem solving are the best ways to resolve conflict. One of the key actions performed with this technique is a fact-finding mission. This is the conflict resolution approach project mangers use most often and is an example of a win-win conflict resolution technique.

Collaborating When multiple viewpoints are discussed and shared and team members have the opportunity to examine all the perspectives of the issue, collaboration occurs. Collaborating will lead to true consensus with team members committing to the decision.

Withdrawal/Avoidance An example of withdrawal/avoidance is when one of the parties gets up, leaves, and refuses to discuss the conflict. This is an example of a lose-lose conflict resolution technique because no solution is ever reached. This is considered to be the worst conflict resolution technique.

The following should also be noted about conflict and conflict resolution:

• In any situation, conflict should be dealt with as soon as it arises.
• According to the PMBOK® Guide, when you have successfully resolved conflict, it will result in increased productivity and better, more positive working relationships.
• Most conflicts are a result of schedule issues, availability of resources (usually the lack of availability), or personal work habits.
• Team members should be encouraged to resolve their own conflicts.
• Ground rules, established policies, and procedures help mitigate conflict before it arises.

Issue Log The issue log is a place to document the issues that prevent the project team from meeting project goals. In addition to the issue, the following should be noted:

• Who is responsible for resolving the issue
• Date the resolution is needed

Interpersonal Skills There are three types of interpersonal skills used most often in this process:

• Leadership
• Influence
• Effective decision making

Outputs of Manage Project Team

The Manage Project Team process includes the following outputs:

• Enterprise environmental factors updates
• Organizational process assets updates
• Change requests
• Project management plan updates

Enterprise Environmental Factors Updates There are two components of the enterprise environmental factors that may need updating as a result of this process:

• Input to organizational performance appraisals from team members who have a high level of interaction with the project and one another
• Personnel skill updates

Organizational Process Assets Updates The organizational process asset updates output has three components:

• Historical information and lessons learned documentation
• Templates
• Organizational standard processes

Change Requests Change requests may result from a change in staffing. Also included within change requests are corrective actions that may result from disciplinary actions or training needs and preventive actions, which may be needed to reduce potential issues among the project team.

Project Management Plan Updates Project management plan updates may include changes that occurred to the staffing management plan or the human resource plan.

Executing the Project Management Plan

Executing the project management plan is carried out through the Direct and Manage Project Execution process, which is a process belonging to the Project Integration Management Knowledge Area. This is where the project work is carried out, according to the plan, as a way of producing the deliverables on time and on budget. The Direct and Manage Project Execution process is also responsible for implementing changes that have been approved by the change control board. Typically, approved changes are implemented according to the change management plan as a way of meeting project requirements.

When implementing the plan, the project manager will need to be proactive in managing project communications. This includes distributing relevant project information in an efficient and effective manner. Managing stakeholder expectations is also important at this stage. Both of these objectives can be accomplished by carrying out the Distribute Information and Management Stakeholder Expectations processes in accordance with the communications management plan.

Direct and Manage Project Execution

The Direct and Manage Project Execution process is responsible for carrying out the project management plan. The project manager oversees the actual work, staying on top of issues and problems and keeping the work lined up with the project plan. Coordinating and integrating all the elements of the project are among the most challenging aspects of this process.

According to the PMBOK® Guide, this process also requires implementing corrective actions to bring the work of the project back into alignment with the project plan, preventive actions to reduce the probability of negative consequences, and repairs to correct product defects discovered during the quality processes.

Figure 4-9 shows the inputs, tools and techniques, and outputs of the Direct and Manage Project Execution process.

Inputs of Direct and Manage Project Execution

Know the following inputs of the Direct and Manage Project Execution process:

• Project management plan
• Approved change requests
• Enterprise environmental factors
• Organizational process assets

Project Management Plan The project management plan documents the collection of outputs of the planning processes and describes and defines the work to be carried out and how the project should be executed, monitored, controlled, and closed.

Approved Change Requests Approved change requests come about as a result of the change request status updates output of the Perform Integrated Change Control process. Approved change requests are then submitted as inputs to the Direct and Manage Project Execution process for implementation. Implementation of approved changes may also include the implementation of workarounds, which are unplanned responses to negative risks that have occurred.

Enterprise Environmental Factors The following enterprise environmental factors are considered when performing the Direct and Manage Project Execution process:

• Company culture and organizational structure
• Facilities available to the project team
• Personnel guidelines and hiring practices
• Risk tolerance levels
• Project management information systems

Organizational Process Assets The following organizational process assets are utilized within the Direct and Manage Project Execution process:

• Historical information from past projects
• Organizational guidelines and work processes
• Process measurement databases
• Issue and defect databases

Tools and Techniques of Direct and Manage Project Execution

You should be familiar with the following tools and techniques of the Direct and Manage Project Execution process:

Expert Judgment Expert judgment is provided by the project manager and project team members as well as by the following sources:

• Industry and professional associations
• Consultants
• Stakeholders
• Other units within the company

Project Management Information System As used in the Direct and Manage Project Execution process, the project management information system (PMIS) provides the ability to connect to automated tools, such as scheduling software and configuration management systems, that can be utilized during project execution.

Outputs of Direct and Manage Project Execution

These five outputs result from carrying out the Direct and Manage Project Execution process:

• Deliverables
• Work performance information
• Change requests
• Project management plan updates
• Project document updates

Deliverables According to the PMBOK® Guide, a deliverable (see Figure 4-10) is defined as any unique and verifiable product, result, or capability to perform a service that must be produced to complete a process, phase, or project.

During the Direct and Manage Project Execution process, the following information regarding the outcomes of the work is gathered and recorded:

• Activity completion dates
• Milestone completions
• Status of the deliverables
• Quality of the deliverables
• Costs
• Schedule progress and updates

Work Performance Information Work performance information involves gathering, documenting, and recording the status of project work. Here are types of information that may be gathered during this process:

• Schedule status and progress
• Status of deliverable completion
• Progress and status of schedule activities
• Adherence to quality standards
• Status of costs (those authorized and costs incurred to date)
• Schedule activity completion estimates for those activities started
• Percentage of schedule activities completed
• Lessons learned
• Resource consumption and utilization

Change Requests Changes can come about from several sources, including stakeholder requests, external sources, and technological advances. Change requests may encompass changes to the following:

• Schedule
• Scope
• Requirement
• Resource changes

Implementation of change requests may incorporate the following actions:

Corrective Actions Corrective actions are taken to get the anticipated future project outcomes to align with the project plan.

Preventive Actions Preventive actions involve anything that will reduce the potential impacts of negative risk events should they occur. Contingency plans and risk responses are examples of preventive action.

Defect Repairs Defects are project components that do not meet the requirements or specifications. Defect repairs are discovered during quality audits or when inspections are performed. A validated defect repair is the result of a reinspection of the original defect repair.

Project Management Plan Updates The following project management plan updates may occur as a result of the Direct and Manage Project Execution process:

• Subsidiary project plans
• Project baselines

Project Document Updates The following project documents may undergo updates as a result of the Direct and Manage Project Execution process:

• Requirements documentation and project logs
• Risk register
• Stakeholder register

Distribute Information

The Distribute Information process is responsible for getting information about the project to stakeholders in a timely manner. It describes how reports, and other information, are distributed and to whom. Executing the communications management plan also occurs during this process.

Figure 4-11 shows the inputs, tools and techniques, and outputs of the Distribute Information process.

Inputs of Distribute Information

Know the following inputs of the Distribute Information process:

Project Management Plan The communications management plan, a subsidiary plan of the project management plan, is put into action during this process.

Performance Reports Performance reports are utilized to distribute performance and status information to the appropriate individuals.

Organizational Process Assets For this process, organizational process assets refer to any policies, procedures, and guidelines that the organization already has in place for distributing information and any existing documents and information that are relevant to the process.

Tools and Techniques of Distribute Information

The tools and techniques of the Distribute Information process include the following two items:

Communication Methods Communication methods include all means feasible to communicate project information to the appropriate individuals:

• Meetings
• Email messages
• Videoconferences
• Conference calls
• Other remote access tools or methods

Information Distribution Tools The following information distribution tools are used to get the project information to the project team or stakeholders:

• Electronic communication
• Electronic project management tools
• Hard copy

Outputs of Distribute Information

There is only one output of the Distribute Information process that you should know: updates to the organizational process assets.

There can be several updates to the organizational process assets as a result of carrying out this process. These updates are listed and described in Table 4-1.

Table 4-1: Organizational process assets updates

Update Item	Description
Stakeholder notifications	Notifications sent to stakeholders when solutions and approved changes have been implemented, the project status has been updated, issues have been resolved, and so on.
Project reports	The project status reports and minutes from project meetings, lessons learned, closure reports, and other documents from all the process outputs throughout the project.
Project presentations	Project information presented to the stakeholders and other appropriate parties when necessary.
Project records	Memos, correspondence, and other documents concerning the project.
Feedback from stakeholders	Feedback that can improve future performance on this project or future projects. The feedback should be captured and documented.
Lessons learned documentation	Information that is gathered and documented throughout the course of the project and can be used to benefit the current project, future projects, or other projects being performed by the organization.

Manage Stakeholder Expectations

The Manage Stakeholder Expectations process is responsible for satisfying the needs of the stakeholders by managing communications with them, resolving issues, improving project performance by implementing requested changes, and managing concerns in anticipation of potential problems.

Figure 4-12 shows the inputs, tools and techniques, and outputs of the Manage Stakeholder Expectations process.

Inputs of Manage Stakeholder Expectations

Know the following inputs of the Manage Stakeholder Expectations process:

• Stakeholder register
• Stakeholder management strategy
• Project management plan
• Issue log
• Change log
• Organizational process assets

Stakeholder Register To manage stakeholder expectations, you need to know who the stakeholders are on the project. The stakeholder register provides this information.

Stakeholder Management Strategy The stakeholder management strategy document contains a tailored strategy assembled for managing stakeholder expectations within the project.

Project Management Plan The communications management plan, which documents stakeholder goals, objectives, and levels of required communication, is utilized from within the project management plan.

Issue Log The issue log, or action log, is used to track and document resolution of any existing stakeholder concerns or issues. Issues are ranked according to their urgency and potential impact on the project and are assigned a responsible party and due date for resolution.

Change Log The change log, in relation to this process, keeps stakeholders updated on changes and their impacts to the project.

Organizational Process Assets The following organizational process assets influence this process:

• Issue management and change control procedures
• Organizational communication requirements
• Information from previous projects

Tools and Techniques of Manage Stakeholder Expectations

Be familiar with the following three tools and techniques of the Manage Stakeholder Expectations process, and how they are used in this process:

Communication Methods The communication methods technique includes specific strategies that were documented within the communications management plan given to the unique stakeholders identified for this project and their communication needs.

Interpersonal Skills Interpersonal skills were introduced with the Develop Project Team process. To manage stakeholder expectations, the project manager utilizes soft skills, such as building trust, establishing relationships, and listening.

Management Skills The project manager utilizes management skills such as negotiation, presentation, speaking, and writing to manage stakeholder expectations and bring about the appropriate outcomes and results.

Outputs of Manage Stakeholder Expectations

The Manage Stakeholder Expectations process results in the following outputs:

• Organizational process assets updates
• Change requests
• Project management plan updates
• Project document updates

Organizational Process Assets Updates The organizational process assets may include the following updates:

• Causes of issues
• Explanations of certain corrective actions
• Lessons learned

Change Requests The following change requests may emerge as a result of this process:

• Changes to the product or project
• Corrective actions
• Preventive actions

Project Management Plan Updates Updates to the project management plan, as a result of carrying out this process, often involve updating the communications management plan.

Project Document Updates The following project documents may need an update as a result of carrying out this process:

• Stakeholder management strategy
• Stakeholder register
• Issue log

Implementing Approved Changes

As described in the previous section, the need for changes will emerge as the project work is executed. All change requests created to deal with this need must first be approved by the change control board before they can be implemented. This occurs through the Perform Integrated Change Control process, which is discussed in Chapter 5, “Monitoring and Controlling the Project,” and must be managed according to the change management plan.

It’s also important to keep in mind that the moment the work enters into the executing stage of the project, monitoring and controlling activities begin and continue concurrently as the work is progressing. Monitoring and controlling activities also identify the need for corrective and preventive actions as well as defect repairs. Once change requests are approved, they are implemented through the Direct and Manage Project Execution process, discussed previously.

Implementing the Quality Management Plan

Implementing the quality management plan occurs throughout the Executing and Monitoring and Controlling process groups. During Executing, quality assurance activities take place. Quality assurance is responsible for auditing quality control activities and the effectiveness of the project management processes. These activities are carried out through the Perform Quality Assurance process.

The Perform Quality Assurance process involves performing systematic quality activities and uses quality audits to determine which processes should be used to achieve the project requirements and to assure that they are performed efficiently and effectively. This process also brings about continuous process improvement through improved process performance and eliminating unnecessary actions. This is done by assessing whether the processes are efficient and whether they can be improved.

Figure 4-13 shows the inputs, tools and techniques, and outputs of the Perform Quality Assurance process.

Inputs of Perform Quality Assurance

Know the following inputs of the Perform Quality Assurance process:

• Project management plan
• Quality metrics
• Work performance information
• Quality control measurements

Project Management Plan The project management plan provides the following documents that are utilized in this process:

• Quality management plan, which guides the process
• Process improvement plan, which describes the steps for analyzing processes to bring about improvement

Quality Metrics Quality metrics provide the necessary information to evaluate the performance and effectiveness of the quality processes.

Work Performance Information Results included within the performance reports are utilized during the audit process.

Quality Control Measurements Quality control measurements contain results of quality control activities and can be used to evaluate the quality processes.

Tools and Techniques of Perform Quality Assurance

You should be familiar with the following tools and techniques of the Perform Quality Assurance process:

Plan Quality and Perform Quality Control Tools and Techniques The Perform Quality Assurance process utilizes tools and techniques also used during the Plan Quality and Perform Quality Control processes. The following tools and techniques are used in the Plan Quality process:

• Cost-benefit analysis
• Cost of quality
• Control charts
• Benchmarking
• Design of experiments
• Statistical sampling
• Flowcharting
• Proprietary quality management methodologies
• Additional quality planning tools

The following tools and techniques are used in the Perform Quality Control process:

• Cause-and-effect diagrams
• Control charts
• Flowcharting
• Histogram
• Pareto chart
• Run chart
• Scatter diagram
• Statistical sampling
• Inspection
• Approved change requests review

Quality Audits Quality audits are independent reviews performed by trained auditors or third-party reviewers either on a regular schedule or at random. The purpose of a quality audit is to identify ineffective and inefficient activities or processes used on the project.

Quality improvements come about as a result of the quality audits, as shown in Figure 4-14.

Quality improvements are implemented by submitting change requests, which may entail taking corrective action.

Process Analysis Process analysis looks at process improvement from an organizational and technical perspective. An example of a process analysis technique is root cause analysis.

According to the PMBOK® Guide, process analysis follows the steps in the process improvement plan and examines the following:

• Problems experienced while conducting the project
• Constraints experienced while conducting the work of the project
• Inefficient and ineffective processes identified during process operation

Outputs of Perform Quality Assurance

The Perform Quality Assurance process results in the following four outputs:

• Organizational process assets updates
• Change requests
• Project management plan updates
• Project document updates

Organizational Process Assets Updates Within the organizational process assets, the quality standards may require updates as a result of carrying out this process.

Change Requests During this process, any recommended corrective actions, whether they are a result of a quality audit or process analysis, should be acted upon immediately. Change requests may involve corrective action, preventive action, or defect repair.

Project Management Plan Updates As a result of this process, the quality management plan may need to be updated. The following documents may also require changes within the project management plan:

• Cost management plan
• Schedule management plan

Project Document Updates Updates may include changes to the following project documents:

• Quality audit reports
• Process documentation
• Training plans

Implementing the Risk Management Plan

As the work of the project is executed, predefined risk triggers may occur and some risks will be realized, calling for the execution of risk response plans, contingency plans, and fallback plans. These responses are defined within the risk register and should be managed according to the risk management plan. The risk management plan is important in reducing the impact of negative risks on the project.

Because the PMBOK® Guide addresses the executing activities of risk management within the Monitoring and Controlling process group, this will be further addressed in Chapter 5 in this book.

Bringing the Processes Together

Let’s briefly review the processes that were covered in this chapter and, more importantly, how these processes work together. You may recall that the primary objective of the Executing process group is to complete the work defined in the project management plan. In addition to this, we also coordinate and manage resources, implement approved changes, and distribute information.

As we went through the processes covered in this chapter, you may have noticed an ongoing theme: human resources. Whether these resources were internal to the organization or external, we covered a lot of information that dealt with the project team, including obtaining the resources and managing them. We also covered the management of stakeholder expectations.

Figure 4-15 shows how people-centric the Executing Process Group really is. Within the realms of this figure, we see the following take place:

• The project information is planned.
• The planned information is handed off to the project team for execution of the project work.
• The project team’s execution of the work generates results, which must be monitored and controlled.
• The results are fed back into the previous processes as necessary to improve the work and make changes and updates as needed.

Clearly, a lot of behind-the-scenes effort goes into the executing stage. For example, the project team must be assembled and managed.

Altogether, we covered eight processes within this chapter, which make up the Executing process group. These processes spanned the following Knowledge Areas:

• Project Integration Management
• Project Quality Management
• Project Human Resource Management
• Project Communications Management
• Project Procurement Management

Next, we will review the process interactions that occur within each Knowledge Area during the Executing process group.

Project Integration Management Knowledge Area Review

During the Executing process group, the Project Integration Management Knowledge Area covers the implementation of the project management plan through a single process known as the Direct and Manage Project Execution process. As Figure 4-16 shows, the project management plan and the approved changes (which occur after the work has already been executed) are carried out through this process. As a result, deliverables and information on the work performance during the project are generated.

Project Quality Management Knowledge Area Review

The Perform Quality Assurance process is the only quality-related process that falls within the Executing process group. As you may recall, this is where auditing takes place, which ultimately leads to implemented changes and continuous process improvement. The following items are among those that are audited:

• Quality requirements
• Results from quality control measurements

Figure 4-17 provides a glimpse into the information needed to perform the quality audits. Quality metrics, which were defined in the Planning process group, provide work performance information and quality measurements. These quality measurements are gathered while the project’s quality is being monitored and controlled. You can see the level of interaction between the three quality processes throughout the life cycle of the project. The processes are iterative.

Project Human Resource Management Knowledge Area Review

Three of the four processes related to human resources occur within the Executing process group. Remember that this process group involves coordinating and managing people, and you cannot implement the project work without a project team. Figure 4-18 shows, step by step, how the project team comes together so that the project work can be rolled out.

Here is an overview of these steps:

Project Communications Management Knowledge Area Review

As the project work is executed, communication becomes more important than ever. All of the planning behind how communication will take place within the project goes into effect. This is where knowing the communication needs and requirements of your stakeholders becomes particularly important. Be sure you place a great level of importance on knowing your stakeholders.

There are two communications-related processes within the Executing process group. The first makes project information available to stakeholders. As you can see in Figure 4-19, the stakeholder communication requirements must be developed before you can distribute information. After all, you cannot meet your team’s communication needs if you do not know what they are. These communication needs and requirements are determined in the Initiating and Planning process groups.

Figure 4-19 also shows how the management of the project stakeholders fits in with the communication processes. This step involves addressing any existing issues and recommending changes to resolve conflicts. It also involves the management of stakeholder expectations with the idea of unifying the project goals.

Project Procurement Management Knowledge Area Review

During the Executing process group, vendors are selected for work that will be handled externally. Conducting procurements is part of obtaining and hiring the resources needed to complete the project work. As you can see, much of project execution involves hiring and managing people resources—internal and external to the organization.

Figure 4-20 shows how the single procurement process that takes place during project execution results in the selection of the project’s sellers and the issuance of procurement contracts. To arrive at this outcome, you will use several planned procurement items:

• Results of the make-or-buy decisions made during the planning phase
• List of qualified vendors (sellers) and their proposals
• Criteria that will be used to select the vendors
• Any agreements or documents impacting vendor selection
• Project management plan, which contains the procurement management plan

As you reflect on the Executing process group, always remember that the key purpose is to complete the project work.

Review Questions

1. Jon is gearing up for his upcoming project, which involves programming a complex system that will allow two programs to talk to each other. The project kicks off in one week, and he had been specifically requested by the customer. As a software architect, this will be his most challenging project yet, and he has been looking forward to the assignment for months. Which of the following options BEST describes Jon’s upcoming project role?

A. Staff assignment

B. Pre-assignment

C. Project team member

D. Acquisition

2. All of the following are benefits of virtual teams EXCEPT:

A. Access to resources otherwise unavailable

B. Reduction in travel expenses

C. Utilization of a war room

D. Reduction in time spent commuting

3. At which stage of team development do employees compete for control?

A. Forming

B. Storming

C. Norming

D. Performing

4. Sally, a junior project manager for Project Red, is in the process of holding a status meeting for the project manager, who stepped out to deal with a procurement issue. The tension in the room has been high as a result of two critical resources who suddenly quit. John and Rick, both team members, have been arguing for five minutes over who will take over the tasks. Sally has tried to interject multiple times with no success. The side conversations don’t make managing the meeting any easier. What is the most likely cause of the inefficient meeting?

A. Absence of the project manager

B. Poorly defined communications management plan

C. Poor recognition and rewards

D. Lack of ground rules

5. Which of the following levels within Maslow’s hierarchy of needs describes the need to belong?

A. Social needs

B. Self-esteem needs

C. Self-actualization

D. Safety and security needs

6. Which of the following conflict management techniques is said to be the BEST strategy?

A. Forcing

B. Smoothing

C. Collaborating

D. Confronting

7. Meetings, email, videoconferences, and conference calls are all examples of which of the following options?

A. Project management tools

B. Communication distribution tools

C. Communication methods

D. Communication types

8. The project team of a new housing expansion project is in a state of frenzy because of a surprise quality audit that is being conducted today on the project. In three days, a major deliverable is due. The project manager explains to the team that the quality audit is important. What reasoning is the project manager likely to give the team for explaining why the quality audits are needed in a project?

A. Quality audits look at problems experienced while conducting the project.

B. Quality audits identify inefficiencies that exist within the processes and activities being performed.

C. Quality audits ensure that the team members are doing their job and are necessary for documenting performance reviews.

D. Conducting quality audits is a legal requirement.

9. Who is responsible for defining Theory X & Y?

A. Douglas McGregor

B. Frederick Herzberg

C. Abraham Maslow

D. Victor Vroom

10. The following are tools and techniques of the Manage Stakeholder Expectations process EXCEPT:

A. Stakeholder register

B. Communication methods

C. Interpersonal skills

D. Management skills

Answers to Review Questions

1. B. Jon’s upcoming role within the project has been pre-assigned. Be sure to keep your eyes open for clues in the question’s scenario. For instance, Jon has been looking forward to this assignment for months, yet the project has not officially begun. This means that Jon would have been included within the project charter as a specific team member assigned to the role of software architect. Although C, project team member, is also correct, the question asks for the BEST answer.

2. C. Options A, B, and D are all benefits of virtual teams. A war room requires team members to be co-located, which means that they are based out of the same physical location. Since virtual teams are spread out in various locations, C is the correct choice.

3. B. Storming, the second of Bruce Tuckman and Mary Ann Jensen’s five stages of team development, is when employees tend to be more confrontational with one another as they are vying for position and control.

4. D. The chaotic meeting scenario is a result of a lack of ground rules. Ground rules determine acceptable team behavior and rules that should be applied during meetings. As the scenario exhibits, a lack of ground rules can lead to poor productivity and waste of time.

5. A. The correct choice is social needs, which is the third level from the bottom in Maslow’s pyramid. This is the level that describes the need to belong, be loved, and be accepted.

6. D. Confronting, also called problem solving, is the best strategy for resolving conflict because it brings about a win-win result.

7. C. Communication methods are a tool and technique of the Distribute Information process and include all means that make it possible to communicate project information to the appropriate individuals.

8. B. Quality audits bring about quality improvements and greater efficiency to how processes and activities are carried out, making B the correct choice. Option A describes process analysis. Although quality audits can reveal information on team performance, the purpose is not to conduct performance reviews. Quality audits ensure that applicable laws and standards are being adhered to, but it is not a legal requirement to conduct them.

9. A. Douglas McGregor is responsible for the Theory X & Y. Frederick Herzberg defined the Hygiene theory; Abraham Maslow created Maslow’s hierarchy of needs theory; and Victor Vroom is responsible for the Expectancy theory.

10. A. The stakeholder register is an input to the process as opposed to a tool and technique. Avoid selecting an answer too fast simply because you recognize a connection between a term and a process.