THE PMP® EXAM CONTENT FROM THE INITIATING THE PROJECT PERFORMANCE DOMAIN COVERED IN THIS CHAPTER INCLUDES THE FOLLOWING:
Much of the focus and content of this book revolves heavily around the information contained in A Guide to the Project Management Body of Knowledge, Sixth Edition (PMBOK® Guide), published by the Project Management Institute (PMI®). Because many exam questions will relate to the content of the PMBOK® Guide, it will be referenced throughout this book, and we’ll elaborate further on those areas that appear on the test.
This chapter lays the foundation for building and managing a project. Understanding project management from a broad and high-level perspective is important and will prepare you to digest the rest of the information in this book. One of the concepts you will learn is that of progressive elaboration, which PMI® defines as an iterative process of increasing the level of detail in a project management plan as information and accurate estimates become available. In this context, we want to start with an overview of the general framework in which projects operate, and then we will get progressively more elaborate with defining what those steps entail.
Pop quiz: How do you tell the difference between a project and ongoing operations? Before delving into the aspects of project management, it’s important to determine whether what you are dealing with is, in fact, a project. Projects are often confused with ongoing operations, and it’s therefore important to understand how to define a project and know its characteristics.
Once you have determined that you are dealing with a project, all stakeholders will need to be identified. To be considered successful, a project must achieve its objectives and meet or exceed the expectations of the stakeholders.
According to the PMBOK® Guide, the characteristics of projects, as shown in Figure 1.1 , are as follows:
FIGURE 1.1 Project
The unique deliverables from a project might include tangible products (a road or a building); well-defined and specific services, such as consulting or project management; and business functions that support the organization. Projects might also produce a result or an outcome, such as a document that details the findings of a research study. The purpose of a project is to achieve its goals and to conclude. Therefore, a project is considered complete when one of the following occurs:
After its completion, a project’s product, service, or result may become part of an ongoing operation.
Operations are ongoing, are repetitive, and involve work that is continuous without an end date. Often, operations involve repeating the same processes and producing the same results. Figure 1.2 shows the characteristics of operations. The purpose of operations is to keep the organization functioning.
FIGURE 1.2 Operations
Unsure whether it is a project or an ongoing operation? Put it through the following test to make a determination:
If you answered yes to each question, then it is a project.
Progressive elaboration means the characteristics of the product, service, or result of the project are determined incrementally and are continually refined and worked out in detail as the project progresses. Product characteristics are typically broad-based at the beginning of the project and are iterated into more and more detail over time until they are complete and finalized.
A stakeholder is any person or group, including formal organizations, who are impacted by the project, who believe themselves to be impacted, or who can directly impact the project. The following are characteristics of various stakeholders:
Identifying who these stakeholders are is not a onetime process, and it’s important to identify stakeholders at the onset of the project. Here are some examples of project stakeholders, as shown in Figure 1.3 :
FIGURE 1.3 Stakeholders
It’s also important to note that stakeholders might have conflicting interests and that it is the project manager’s responsibility to manage stakeholder expectations. When in doubt, stakeholder conflicts should always be resolved in favor of the customer.
The project sponsor, who is also a stakeholder, is generally an executive in the organization with the authority to assign resources and enforce decisions regarding the project. The project sponsor typically serves as the tiebreaker decision maker and is one of the people on the project’s escalation path.
Stakeholders are identified early on within the life of the project and may change as the project evolves. Failure to identify stakeholders can result in failure of the project itself because unidentified stakeholders might not have their expectations satisfied if you do not give them a voice. Understanding the level of influence of each stakeholder is also critical to the success of the project.
A project management framework provides the tools and techniques necessary for the successful initiation, planning, and execution of a project. Project management is the application of that framework to consistently deliver products and services to a stakeholder’s satisfaction. Project management may involve more than a single project. In the bigger picture, a project may be part of a program, a portfolio, and/or a PMO.
According to the PMBOK® Guide, project management is “the application of knowledge, skills, tools, and techniques to project activities to meet the project requirements.”
Project managers are the people responsible for managing the project processes and applying the tools and techniques used to carry out the project activities. It is the responsibility of the project manager to ensure that project management techniques are applied and followed. In addition to this, project management is a process that includes initiating a new project, planning, putting the project plan into action, and measuring and reporting on performance. It involves identifying the project requirements, establishing project objectives, balancing constraints, and taking the needs and expectations of the key stakeholders into consideration.
Project management itself can exist beyond the management of a single project. In some organizations, programs and portfolios are also managed. Figure 1.4 shows the characteristics of a project, program, and portfolio as well as a PMO.
FIGURE 1.4 Project management overview
According to the PMBOK® Guide, programs are groups of related projects, subsidiary programs, and program activities that are managed in a coordinated way to obtain benefits not available from managing them individually.
In many cases, projects within a program have their own project manager(s), who report to a program manager. All the projects are related and are managed together so that collective benefits are realized and controls are implemented and managed in a coordinated fashion. The management of this collection of projects—determining their interdependencies, managing their constraints, and resolving issues among them—is called program management.
Portfolios are collections of projects, programs, subsidiary portfolios, and operations managed as a group to achieve strategic objectives. Programs and projects included as part of a portfolio may not necessarily relate to one another in a direct way.
Portfolio management encompasses managing the collection of programs, projects, other work, and sometimes other portfolios. It also concerns monitoring active projects for adherence to objectives, balancing the portfolio among the other investments of the organization, and ensuring the efficient use of resources.
The project management office (PMO) is a centralized organizational unit that oversees or guides the management of projects and programs throughout the organization.
While there are different types of PMOs, a PMO is generally responsible for the following:
The most common reason a company starts a project management office is to establish and maintain procedures and standards for project management methodologies and to manage resources assigned to the projects in the PMO. Project managers and team members may report directly to the PMO, or the PMO may provide support functions for projects and project management training or simply have experts available to provide assistance.
According to the PMBOK® Guide, there are several types of PMOs:
Figure 1.5 shows the three common types of PMOs.
FIGURE 1.5 Common types of PMOs
The overall purpose of a project manager and PMO differ to a certain extent. A project manager is focused on the project at hand, whereas the PMO takes more of an organizational approach to project management. The project manager is concerned with the project’s objectives; the PMO is concerned with the organizational objectives. Table 1.1 outlines the differences between the overall objectives and perspectives of a project manager and PMO.
TABLE 1.1 Project manager vs. PMO
Project manager | PMO | |
Overall goal | Achieve the project requirements | Achieve goals from an enterprise-wide perspective |
Objective | Deliver project objectives | Deliver organizational objectives |
Resources | Manage project resources | Optimize shared resources |
Reporting | Project reporting | Consolidated reporting |
PMOs can exist in any type of organizational structure. A major benefit for project managers working in an organization that has an existing PMO is the room for advancement that a PMO provides.
Although PMOs are common in organizations today, they are not required in order to apply good project management practices.
To be successful, a project manager must possess general management skills that span every area of management—from accounting and strategic planning to supervision, personnel administration, and so forth. Some projects also require specific skills in certain application areas, such as within an industry group, within a department, or by technical specialty. These skills prepare the project manager to communicate, solve problems, lead, and negotiate throughout a project.
As shown in Figure 1.6 , seven general management skills make up the foundation of good project management practices.
FIGURE 1.6 General management skills
Communication Skills Many forms of communication exist within a project and are critical to its success. It is the job of the project manager to ensure that the information is explicit, clear, and complete. Once the information has been distributed, it is the responsibility of the recipient to confirm that the information has been understood. Good project managers spend up to 90 percent of their time communicating. This makes communication skills a critical asset for a project manager.
Organization and Planning Skills Organization and planning skills are closely related and an important skill set that a project manager should possess. Project managers must track and locate many documents, meetings, contracts, and schedules. Doing so requires time management skills, which is why this skill set is tied closely to organization skills. Because there isn’t any aspect of project management that doesn’t first involve planning, it will be an area discussed extensively throughout this book.
Budgeting Skills Project managers establish and manage budgets and are therefore expected to have some knowledge of finance and accounting principles. Cost estimates are an example of when budgeting skills are put to use. Other examples include project spending, reading and understanding vendor quotes, preparing or overseeing purchase orders, and reconciling invoices.
Conflict Management Skills Conflict management involves problem solving, first by defining the causes of the problem and then by making a decision to solve it. After examining and analyzing the problem, the situation causing it, and the available alternatives, determine the best course of action. The timing of the decision is also important.
Negotiation and Influencing Skills Both negotiation and influencing skills are necessary in effective problem solving and are used in all areas of project management. The following terms are related to this skill set:
Leadership Skills Leadership involves exhibiting characteristics of both a leader and a manager and knowing when to switch from one to the other throughout the project. A leader imparts vision, gains consensus for strategic goals, establishes direction, and inspires and motivates others. Managers focus on results and are concerned with getting the job done according to requirements.
Team Building and Motivating Skills The project manager sets the tone for the project team and walks the team members through various stages of team development to become fully functional. This can involve team-building groundwork and motivating the team even when team members are not direct reports.
PMI® publishes what is referred to as the PMI Talent TriangleTM, which breaks out the skills a project manager needs in order to be effective. As demonstrated in Figure 1.7 , the Talent Triangle consists of three key sets of skills:
FIGURE 1.7 PMI Talent TriangleTM
The role of the project manager is essential to the successful outcome of a project. As noted throughout this chapter, the project manager plays a different role than that of a functional manager or operations manager, although they often interact closely with these other key roles connected to the project. The role of project manager is defined by the PMBOK® Guide as “the person assigned by the performing organization to lead the team that is responsible for achieving the project objectives.”
Project managers are tasked with achieving the objectives of a project and meeting the expectations of stakeholders. This requires that the project manager balance several competing constraints and effectively communicate with various stakeholders within and outside of their project. As noted earlier, communication is a key skill that every effective project manager excels in.
According to the PMBOK® Guide, good project managers work toward achieving the following within their organization:
Like projects, organizations are unique, each with its own style and culture—both have an influence on how projects are performed. Organizations in general can be structured in several different ways, including hybrids of the various types. For example, in some organizational types, the role of the project manager is not formal, and project management responsibilities are absorbed into other functional roles. In others, the role of the project manager is formal, and they may hold a high level of authority. In the past, three organizational structures were highlighted:
According to the PMBOK® Guide, variations and combinations of these organizational structures exist, including multidivisional organizations, virtual, hybrid, and PMO. Figure 1.8 provides a simplified view of the primary three structures and where they fall in relation to one another, including the variations (weak, balanced, and strong) that exist in matrix organizations. Knowing the type of structure that an organization operates within is important and impacts how a project manager may proceed. One of the biggest determining factors of an organization’s structure is the authority that a project manager holds.
FIGURE 1.8 Simplified spectrum of organizational types
Since functional and projectized are the two extreme types of organizational structures, we’ll cover them first.
Of the various organizational structures noted, there are two that reflect opposite ends of the spectrum: functional organizations and projectized organizations, also referred to as project-oriented organizations.
Functional Organizations Functional organizations are the oldest style of organization; the functional style is known as the traditional approach to organizing businesses. These types of organizations have the following characteristics:
Importantly, workers within a functional organization specialize in an area of expertise, which allows them to become very good in a particular specialty (such as accounting, human resources, or engineering).
Within this hierarchical structure, a chain of command exists in which employees report to one manager and one person is ultimately in charge at the top. Each department or group is managed independently and has a limited span of control, therefore requiring that the chain of command be followed when input from another department on a project is needed. The mind-set behind this type of structure is that people with similar skills and experiences are easier to manage as a group, allowing for work assignments to be distributed and managed easily, and supervisors are experienced in the area they supervise.
Table 1.2 highlights the advantages and disadvantages of a functional organization.
TABLE 1.2 Functional organizations
Advantages | Disadvantages |
There is an enduring organizational structure. | Project managers have little to no formal authority. |
There is a clear career path with separation of functions, allowing specialty skills to flourish. | Multiple projects compete for limited resources and priority. |
Employees have one supervisor with a clear chain of command. | Project team members are loyal to the functional manager. |
Projectized Organizations Projectized organizations, also referred to as project-oriented organizations, are nearly the opposite of functional organizations, focusing on the project itself and therefore developing loyalties to the project and not to a functional manager.
Project managers have high to ultimate authority within this type of organization and typically report directly to the CEO. The project manager makes decisions regarding the project, including dealing with constraints. As a side note, project managers in all organizational structures must balance competing project constraints such as these:
Within a projectized organization, teams are often co-located, meaning that team members physically work at the same location and report to the project manager. Once the project is completed, the team is often dissolved and members are either put on the bench or let go. Resource utilization can be inefficient if a highly specialized skill is needed only at given times throughout the project and sits idle during other times.
Table 1.3 highlights the advantages and disadvantages of a projectized organization.
TABLE 1.3 Projectized organizations
Advantages | Disadvantages |
Project managers have high to ultimate authority. | Project team members may find themselves out of work after project completion. |
Project team members are loyal to the project. | There can be inefficiency with resource utilization. |
Matrix Organizations Matrix organizations are a blend of functional and projectized organizations, taking advantage of the strengths of both and combining them into one. Employees report to a functional manager and to at least one project manager.
Functional managers assign employees to projects and handle administrative duties, whereas project managers execute the project and assign project activities to employees. Both share the responsibility of performance reviews.
Within matrix organizations exists a balance of power ranging from that of a functional organization to that of a projectized organization:
Table 1.4 shows the subtle differences between the three types of matrix organizations. The majority of organizations today are a composite of functional, projectized, and matrix structures.
TABLE 1.4 Comparing matrix structures
Weak Matrix | Balanced Matrix | Strong Matrix | |
Project manager’s title | Project coordinator, project leader, or project expeditor | Project manager | Project manager |
Project manager’s focus | Split focus between project and functional responsibilities | Projects and project work | Projects and project work |
Project manager’s power | Minimal authority and power | Balance of authority and power | Significant authority and power |
Project manager’s time | Part-time on projects | Full-time on projects | Full-time on projects |
Organization style | Most like functional organization | Blend of both weak and strong matrix | Most like a projectized organization |
Project manager reports to | Functional manager | Functional manager, but shares authority and power | Manager of project managers |
The project environment is made up of internal and external factors that influence a project. When managing a project, the project manager must consider more than just the project itself. Proactively managing a project involves understanding the environment in which the project must function.
The following are some examples of the elements that make up the project environment:
Organizational Structure The organizational structure itself plays a large role in how a project is managed and is a major influential factor within the project environment. This is intermingled with the company culture.
Physical Environment The physical environment includes considerations such as the following:
Cultural and Social Environment When referencing the cultural environment, consider these various layers:
To communicate effectively with customers, stakeholders, and project team members, it becomes necessary to understand cultural and social factors and how they can impact a project. In particular, cultural differences pose a common communication obstacle within projects. As virtual and global projects become a more common scenario, understanding how to function within this type of environment becomes critical.
A project manager should also understand how the project impacts individuals and how individuals impact the project.
International and Political Environment The international and political environment involves considering the following:
It is important for a project manager to know, from the onset of the project, whether any of the items listed affect their particular project. Something as minor as a time zone difference or as large as the political climate can have a huge impact on a project.
There are other influential factors far beyond those listed here, and the list can become quite extensive. On a basic level, these factors provide you with an overview of a project from a broader perspective.
Most projects begin with an idea. After soliciting support and obtaining approval, a project progresses through the intermediate phases to the ending phase, where it is completed and closed out. As a project passes through this life cycle, it is carried out through a set of project management processes. According to the PMBOK® Guide, these processes are interrelated and dependent on one another; they are divided into five project management process groups:
Each of these process groups displays characteristics that reflect the level of a project’s costs, staffing, chances for successful completion, stakeholder influence, and probability of risk.
Figure 1.9 shows the project management process groups and represents the life cycle of a project or project phase.
FIGURE 1.9 Project management process groups
Most projects are divided into phases. Project phases consist of segments of work, and a project may have one or many phases, depending on the project complexity and industry. The phases that a project progresses through are collectively called the project life cycle. Project life cycles are similar for all projects, and the phases that occur within the project life cycle can vary, such as being sequential or overlapping.
All projects generally follow the same life-cycle structure:
A development life cycle often has one or more phases that are connected to the creation or output of the product, service, or result. According to the PMBOK® Guide, these life cycles can follow predictive, iterative, incremental, adaptive, or hybrid models.
Predictive Life Cycles In a predictive life cycle, planning generally occurs at the front end of the project and changes to scope follow a change control process. These types of life cycles are also commonly referred to as plan driven.
Iterative Life Cycles Iterative life cycles are similar to predictive in that planning occurs at the front end of the project. The difference is that estimates (such as time and cost) are refined as the project proceeds forward and the team gains a greater understanding of the project’s end result. Incremental additions to functionality through repetitive cycles are common.
Incremental Life Cycles Incremental life cycles produce deliverables through a set of iterations that add functionality within an established time frame. The deliverable, or end result, is considered to be complete after the final iteration occurs.
Adaptive Life Cycles In an adaptive life cycle, deliverables are also produced through a set of iterations, similar to an incremental life cycle, although a detailed scope is determined prior to the start of an iteration. With an adaptive life cycle, the end of an iteration produces a usable deliverable. This life cycle is considered to be agile.
Hybrid Life Cycle A hybrid life cycle is a combination of predictive and adaptive. A high level of planning occurs at the front end of the project for known elements of the project; other elements that are unknown at the start are planned in an iterative fashion and follow a more adaptive approach.
Figure 1.10 outlines the characteristics of each of the development life cycles.
FIGURE 1.10 Development life cycles
At the beginning of a phase, a feasibility study may be carried out. At the end of a phase, a phase gate or phase-end review of the accomplished deliverables may be performed before handoff to the next phase can occur. The following list expands further on several key terms used within this description of what occurs within a phase:
Handoffs For the project to progress from one phase to the next, the phase deliverables should be reviewed for accuracy and approved. As each phase is completed, it’s handed off to the next phase. Handoffs, or technical transfers, are phase sequences that signal the end of one phase and typically mark the beginning of the next.
Feasibility Studies Some projects incorporate feasibility studies in the beginning phase. They are completed prior to the beginning of the next phase. A feasibility study determines whether the project is worth undertaking (or worth continuing if it is performed at a project checkpoint) and whether it will be profitable to the organization.
Deliverables Each phase has at least one deliverable that marks the phase completion. A deliverable is a tangible output that can be measured and must be produced, reviewed, and approved to bring the phase or project to completion.
Phase-End Reviews At the end of a phase, a phase-end review may take place so that those involved with the work can determine whether the project should continue on to the next phase. Phase-end reviews (also known as phase exits, phase gates, milestones, stage gates, decision gates, and kill points) give the project manager the ability to identify and address errors discovered during the phase.
Phase-to-Phase Relationships As previously indicated, a project can consist of one or more phases. There are generally three types of phase-to-phase relationships:
The act of overlapping phases to shorten or compress the project schedule is called fast-tracking. This means that a later phase is started prior to completing and approving the phase or phases that come before it.
Project management processes organize and describe the work of the project. As mentioned earlier, the following are the five process groups described in the PMBOK® Guide:
These processes are performed by people; they are interrelated, are dependent on one another, and include individual processes that collectively make up the group. The five process groups are iterative and might be revisited and revised throughout the project’s life as the project is refined.
The project manager and the project team are responsible for tailoring, which involves determining which processes within each process group are appropriate for the project. When the project is tailored, its size and complexity and various inputs and outputs are taken into consideration. The conclusion of each process group allows the project manager and stakeholders to reexamine the business needs of the project and determine whether the project is satisfying those needs.
Initiating Process Group The processes within the Initiating process group occur at the beginning of the project and at the beginning of each project phase for large projects. This process group grants the approval to commit the organization’s resources to working on the project or phase and authorizes the project manager to begin working on the project.
The Initiating process group contains the following actions:
Planning Process Group The Planning process group includes processes that formulate and revise project goals and objectives. It is also where the project management plan that will be used to achieve the goals the project was undertaken to address is created. Within this process group, project requirements are fleshed out and additional stakeholders are identified. Because projects are unique, planning must encompass all areas of project management.
The Planning process group contains the following actions:
Executing Process Group The Executing process group involves putting the project management plan into action, keeping the project plan on track, and implementing approved changes.
The project manager coordinates and directs project resources, and costs are highest here since greater amounts of time and resources are utilized during the Executing processes.
The Executing process group contains the following actions:
Monitoring and Controlling Process Group The Monitoring and Controlling process group is where project performance measurements are taken and analyzed to determine whether the project is aligned with the project plan. This process group tracks the progress of work being performed and identifies problems and variances within a process group and the project as a whole.
Processes from within the Monitoring and Controlling process group contain the following actions:
Closing Process Group The Closing process group includes processes that bring a formal, orderly end to the activities of a project phase or to the project itself. Once the project objectives have been met, all the project information is gathered and stored for future reference. The closing process group contains finalizing the project work to formally complete the project or project phase.
The progression through the project management process groups exhibits the same characteristics as progression through the project phases. Table 1.5 shows the characteristics of the process groups.
TABLE 1.5 Characteristics of the project process groups
Initiating | Planning | Executing | Monitoring and Controlling | Closing | |
Costs | Low | Low | Highest | Lower | Lowest |
Staffing levels | Low | Lower | High | High | Low |
Chance for successful completion | Lowest | Low | Medium | High | Highest |
Stakeholder influence | Highest | High | Medium | Low | Lowest |
Risk probability | Highest | High | Medium | Low | Lowest |
As the project progresses and more information becomes known, the project management processes might be revisited and revised to update the project management plan. Underlying the concept that process groups are iterative is a cycle called the Plan-Do-Check-Act cycle, which was originally defined by Walter Shewhart and later modified by Edward Deming. The idea behind this concept is that each element in the cycle is results oriented and becomes input into the next cycle. The cycle interactions can be mapped to work in conjunction with the five project management process groups.
A PMP® credential comes with several responsibilities that involve decisions and actions you make. By submitting your PMP® application, you agree to abide by the PMI® Code of Ethics and Professional Conduct. This oath touches on several elements within your personal and professional life and includes actions that are mandatory as well as actions and ideals to which we aspire.
Maintaining ethical and professional conduct applies to day-to-day activities and is therefore applicable to everything discussed earlier in this chapter and throughout the rest of the book. Meeting ethical and professional standards is an essential part of building a solid project management foundation. For the exam, you will be expected to be familiar with the code and answer questions based on its contents.
The PMI® Code of Ethics and Professional Conduct addresses the following four elements: responsibility, respect, fairness, and honesty.
Responsibility is a major part of upholding integrity. It involves taking ownership for your actions, being proactive in doing the right thing, and doing what is necessary to resolve a situation that results from an initial lack of responsibility.
As shown in Figure 1.11 , a variety of elements touch on the concept of responsibility:
FIGURE 1.11 Elements of responsibility
Ensuring Integrity As a project manager, one of your professional responsibilities is to ensure integrity of the project management processes, the product, and your own personal conduct. This can entail the following:
Accepting Assignments Accepting appropriate assignments is tied to responsibility and honesty. This involves doing the following:
Following the Rules It is imperative that you follow all applicable laws, rules, and regulations, including these:
Respecting Confidential Information Whether you are a direct employee, a consultant, or a contractor, it is likely that during the course of your project management career you will come across some form of sensitive information. You may collect or be exposed to sensitive information as part of a project. You may be required to provide such information to a contractor. You may have access to this type of information as part of your role. Whatever the situation, it is important that you comply with the PMI® Code of Ethics and Professional Conduct, which states that you agree not to disclose sensitive or confidential information or use it in any way for personal gain.
Handling company data, trade secrets, data from governmental agencies, and intellectual property are typical cases in which you will come across sensitive or confidential information. Don’t forget to ask yourself the key questions shown in Figure 1.12 whenever you handle information. If you are unsure of the answer to any of the questions, find out before you share the information.
FIGURE 1.12 Handling information
Trade Secrets An organization’s trade secrets or private information should not be used for personal gain. Understanding what information may be shared with vendors, other organizations, or even coworkers is important. In practice, there are often gray areas where the breach of information is not as obvious. Being conscious and sensitive about your organization’s information can make a big difference. If ever in doubt, always ask.
Restricted Access Working with the government is a great example of when data sharing can be sensitive. The fines and criminal penalties that can be incurred with breaches can be substantial when dealing with medical, financial, and other personally identifiable data. One governmental agency does not always have access to data from another, separate governmental agency. Depending on the data, others may have restricted access or no access at all. Restricted access isn’t limited to governmental data; similar restrictions occur in the private sector as well. One department within an organization may not always have access to data from another department. Think of the sensitive nature of information housed within the human resources department. An employee’s file may not always be accessible to department heads or others. It is a mistake to assume that others should have access to data because you believe it is logical that they do.
Nondisclosure Agreements It is your responsibility to make sure vendors or organizations that will have access to sensitive data sign and understand the appropriate nondisclosure agreements before you release the data. Clearly, make sure there is key stakeholder support, including from the legal department, in the release of sensitive information.
Intellectual Property You are likely at some point to come into contact with intellectual property. The business or person who created the protected material or item owns the intellectual property. Intellectual property typically includes the following items:
You might have to pay royalties or request written permission to use the property. Intellectual property should be protected just like sensitive or confidential data.
Demonstrating respect involves how you conduct yourself, the way you treat others and the resources around you, and listening to the viewpoints of others. Respect is something that should be exhibited on a personal and professional level. Among other things, the level of respect you earn will be based on how well you do the following:
Exhibiting a professional demeanor is an important part of business. You are responsible for your own actions and reactions. Here are some examples of maintaining a professional demeanor and encouraging professional demeanor within others:
One of the responsibilities that falls to you as a project manager is the responsibility to report violations of the PMP® code of conduct. To maintain integrity of the profession, PMP® credential holders must adhere to the code of conduct that makes all of us accountable to one another. This includes notifying PMI® when you know a violation has occurred and you’ve verified the facts. The PMI® Code of Ethics and Professional Conduct includes the following violations:
As project teams and organizations become increasingly more diverse, the need for a heightened awareness of cultural influences and customary practices becomes critical. Today, it’s common for project teams to be spread out globally. It is rare not to come into contact with someone from another culture. For example, you may encounter some or all of the following:
It is important not to attempt to force your own culture or customs on others. When in a different country, you will need to respect the local customs. At the same time, it is not acceptable to do something that violates your ethics and the ethics of your company.
As part of cultural awareness, you will need to be proactive in protecting yourself and your staff from experiencing culture shock. In order to do this, it becomes important to devote time to diversity training as needed and to always demonstrate respect for your neighbors, as follows:
Culture Shock Working in a foreign country can bring about an experience called culture shock. Culture shock involves a separation from what you would normally expect. This can cause disorientation, frustration, breakdown of communication, and confusion. Here are some ways to prepare yourself and protect against culture shock (Figure 1.13 ):
FIGURE 1.13 Avoiding culture shock
Diversity Training Project team members may be from different countries or cultures. Providing your team members with training helps to prevent cultural or ethical differences from impacting the project.
Diversity training makes people aware of differences between cultures and ethnic groups and helps them gain respect and trust. Training involving the company culture should also be provided so that project team members understand how the organization functions.
Building Relationships Some cultures require that a relationship be established before business can be conducted. Building that relationship may take days, depending on the culture.
Building relationships is valuable, regardless of whether a culture requires it. On the flip side, as you are building relationships, remember that you should not impose your beliefs on others because that is not the purpose of building relationships. Instead, building a relationship with others creates an atmosphere of mutual trust and cooperation. In this environment, all aspects of project planning and management, including negotiating and problem solving, become easier and smoother to navigate.
As part of exhibiting respect, it’s important to be conscious of how experiences are interpreted and perceived. This is relevant on both ends of the communication spectrum. Others may interpret your actions in a way that you did not intend. Likewise, you may misinterpret the actions of others. Remember the following:
According to the PMI® Code of Ethics and Professional Conduct, you have a responsibility to report to the stakeholders, customers, or others any actions or circumstances that could be construed as a conflict of interest. Avoiding conflicts of interest is a part of exhibiting fairness. Fairness includes the following:
A conflict of interest involves putting your personal interests above the interests of the project or using your influence to cause others to make decisions in your favor without regard for the project outcome. As Figure 1.14 illustrates, any of the following could be construed as conflicts of interest and compromise fairness:
FIGURE 1.14 Elements to consider in exhibiting fairness
Associations and Affiliations In maintaining associations and affiliations, it’s important to consider whether any conflicts of interest exist as a result. For instance, sitting on the decision-making committee of a company that wins a bid for a contract relating to your project constitutes a conflict of interest. Even if you do not influence the decision in any way, others will assume that a conflict of interest occurred. This is also the case in personal associations—for instance, awarding a project to a relative, spouse, and so forth.
When these types of situations occur, do the following:
Vendor Gifts Vendor gifts are not uncommon. Vendors and suppliers often provide their customers and potential customers with lunches, gifts, ballgame tickets, and the like. However, some professionals are not allowed to accept gifts in excess of a certain dollar amount. This might be driven by company policy or the department manager’s policy. Accepting vendor gifts may be construed as a conflict of interest—no matter how small the gift is. It is your responsibility to know the policy on accepting gifts and inform the vendor if they go beyond the acceptable limits. Likewise, do not give inappropriate gifts to others or attempt to influence a decision for personal gain.
Stakeholder Influence Some stakeholders have a great deal of authority. As you engage with stakeholders who have a lot of power and influence, you should never use these engagements for your own personal benefit. The interests of the project or organization should be first and foremost when dealing with these powerful stakeholders. This is another potential area for conflict of interest. Keep in mind these guidelines:
Discrimination Maintaining a strong level of fairness is important on many levels, as you have seen so far. In practice, we sometimes fall prey to favoritism without realizing it. When issuing assignments, promotions, and the like, always use strong professional reasoning when making decisions. Choosing someone simply because you enjoy working with them is poor judgment and represents a conflict of interest.
It is also important to be conscious of discriminating against others. Whether based on age, disability, religion, sexual orientation, or personality, discrimination on any level is not acceptable. Remember that the PMI® Code of Ethics and Professional Conduct also requires you to report this type of behavior exhibited by someone else.
You should be aware of several aspects of honesty that you must uphold (as shown in Figure 1.15 ):
FIGURE 1.15 Elements of honesty
Reporting Truthfully Honesty involves information regarding your own background and experience as well as information about the project circumstances. Benefit to the project, and not your personal gain, should be the influencing factor when billing a customer or working on a project. Experiencing a personal gain as a result of your work is positive, but making a project decision simply to result in a personal gain is not.
As a project manager, you are responsible for truthfully reporting all information in your possession to stakeholders, customers, the project sponsor, and the public when required. This includes situations where personal gain is at stake. Always be truthful about the situation and up front regarding the project’s progress. It is important.
Avoiding Deception At times, being honest can feel difficult. In some cases, it may result in the end of a project, losing a job, missing out on a bonus, or other consequences that impact you and your team personally. Deceiving others and making false statements to prevent unfavorable consequences are not acceptable ways of handling situations. In terms of a project, telling the truth is a necessity.
Making Truthful Statements Part of managing a good team involves leading by example. This includes making truthful statements, not just on your PMP® application but in the day-to-day management of a project. In some cases, delicate situations might present themselves; this is where your general management skills come into play. Being truthful doesn’t mean being disrespectful, and a project manager must understand how to present the truth respectfully.
Being honest about your personal experience is just as important as not deceiving others. You may have heard that enhancing a résumé is a standard practice in business. While creating a résumé that greatly highlights your experiences and credentials is recommended, exaggerating experience or clearly embellishing credentials is unacceptable. This is equivalent to making false statements.
Correctly represent yourself on your PMP® application as well. Accurately stating your work experience, credentials, and background is an important part of maintaining high integrity.
The project management community has put together a variety of resources to communicate the values of the PMI® Code of Ethics, including video tutorials describing ethical conduct. Additionally, tools are available to help you work through a dilemma if you find yourself unsure of what to do in a certain situation. For more information, please visit the PMI® website at www.pmi.org/about/ethics.
Promoting good project management and advancing the industry are part of your role as a project management professional. Professional knowledge involves knowledge of project management practices as well as specific industry or technical knowledge required to complete an assignment. As part of maintaining your credential, you have the following responsibilities:
Becoming knowledgeable in project management best practices and staying abreast of the industry are important. Figure 1.16 touches on these responsibilities.
FIGURE 1.16 Elements of industry advancement
Furthering knowledge in the field of project management (your own and others) is a part of your responsibility as a project manager. Project management is a growing field, which makes staying abreast of project management practices, theories, and techniques an ongoing process. For this reason, PMI® requires that once you achieve your PMP® certification, you maintain the credential by earning a given number of professional development units (PDUs) every three years. PDUs ensure that your knowledge of the industry and project management practices remains current. There are several ways to earn PDUs, such as taking project management classes, reading industry books and magazines, speaking on the subject of project management, and so forth. You can find additional details on the PMI® website (www.PMI.org).
Here are some ways that you can further and enhance your project management education:
Remember that as a project manager, you should be proactive in looking for ways to further enhance your skills and knowledge of the industry.
As a project manager you have the responsibility of not only furthering your own level of knowledge and skill set but also contributing to the knowledge base itself. This includes actions such as the following:
Within a project, there can be a small handful to dozens of stakeholders. The greater the number of stakeholders, the more complex project communication and control become. Throughout this book, we review how stakeholders tend to have varying interests. Although everyone wants the project to succeed, the agendas may vary. Ways to promote interaction among stakeholders include the following:
Be sure to apply all of the stakeholder management techniques that we will cover later in this book from within the Project Communications Management Knowledge Area.
The following are characteristics of a project, except:
When is a project considered successful?
You are currently managing multiple projects relating to a high-profile build-out of a major retail center. The project is extensive, with a two-year timeline. Bob is the project manager responsible for the east block of the build-out, and Sally is the project manager responsible for the north block of the build-out. Both Bob and Sally report to you. Your role can best be described as:
Which of the following is the oldest organization type?
A project management office (PMO) is responsible for the following activities, except:
During a planning meeting, a discussion takes place to decide which resource will be assigned to perform an activity that will be fast-tracked. As the project manager, you unilaterally decide to assign Fred to the activity. What type of organizational structure is this?
All of the following are project management process groups, except:
During which process group are costs the highest?
The concept that each element within a cycle is results oriented and becomes an input into the next cycle describes which of the following?
All of the following statements are true, except:
Which of the following best describes the level of authority that a project manager has within a functional organization?
The PMBOK® Guide suggests that projects follow a series of project management phases that make up the project life cycle. Which answer represents the phases of the project life cycle?
General management skills are a necessary foundation for the work of a project manager. Which of the following are not general management skills a project manager would need?
What two actions are performed as a part of the Initiating process group?
What actions are performed as a part of the Closing process group?
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