1. Process and Scope

Work on performance or competency based standards for a ‘Project Controls’ job family began in October 2011 at GAPPS Thought Leadership Forum No 23 hosted by the BG Group/QGC in Brisbane.  The starting point was a review of existing standards for Project Controls in various forms, initially drawing on the following resources:

  • ProVoc[1]/ ACostE Project Control Qualifications
  • National Occupational Standards for Project Control – UK NVQ 2004
  • Total Cost Management Framework – First Edition, 2006, AACE International
  • South African Qualification Authority standards for project controls
  • APM Introduction to Project Control
  • Competency Standards for Quantity Surveyors, Asia Pacific Region, 2001

It is noted that a number of these resources have since been updated.

Review and comparison of these documents provided a picture of coverage of roles in project controls and formed the basis for input and development over subsequent GAPPS Thought Leadership Forums. Globally representative and experienced project management and project controls professionals (see Appendix A) were asked to focus on what practitioners are required to do when providing project control services and oversight for projects.  At each of the sessions where project controls were addressed the work of previous groups was reviewed and progressed in an ongoing validation process. In 2017 a review of the document was undertaken by several experienced practitioners and their comments addressed during 2018 GAPPS Thought Leadership Forums.

Accepted practice in development of performance based competency standards[2]is to seek input from practitioners on what is considered to be minimum acceptable performance in a particular role. Therefore, the process should start with a definition of the role. This proved to be extremely difficult in the area of project controls where it was agreed that roles are both broad and deep. The roles extend from entry level project support roles to very senior Project Controls Director roles which may be at Board level. Project Controls are also provided by specialist consulting firms and include a wide range of specialist areas including cost, scheduling, risk, quality, estimation, quantity and document control.

Work to date has focused on developing an understanding of a core set of performance based competencies expected of a Project Controller or Project Controls Manager.   This was intended to provide a shared understanding of the ‘job family’ and a basis for further attempts at actually defining the roles.  Once the roles were defined, then it would be possible to return to development of the performance based standards for each role.

At GAPPS Thought Leadership Forum No 38 in London, the core set of performance based competencies were agreed in the draft form provided in this document.  Further work is required but it was considered an adequate basis for thinking about role definition.

A Project Controls Role Definition is provided in Section 1.2 and it is intended that this will be provided in a Wiki via the GAPPS website to enable ongoing development between GAPPS sessions.

[1]ProVoc is the UK National steering Committee raising the profile of Professional level National Vocational Qualifications (NVQs) for Project Management and Project Control staff in industry and commerce.

 

[2]Heywood, L., Gonczi, A., & Hager, P. (1992). A Guide to Development of Competency Standards for Professions. Canberra: Australian Government Publishing Service.

1.1 Role Context

The role of theproject controls managerin this context may be for single or multiple projects. The role of project controls manageris generally to support the project manager(s) to achieve project objectives by establishing the baseline plan, confirming the control basis, metrics and assumptions, identifying deviations and recommending corrective actions.

In some organizations theproject controls manageris a position with that title, while in others, it may be termed differently. This may be a position or an assignment. Whenever a single individual is clearly responsible for providing project controls support to the project manager, that individual can be considered to be a project controls manager for the purposes of this framework.

Incidental notes:

  • Activities referred to in the standard may be undertaken by the Project Controls Manager or by a member of their team or other specialist.
  • Every decision must support business value.
  • The project controls manager is the navigator.Project Manager is the pilot.
  • Project controls have a key role of providing reliable information in a timely manner to enable decision makers to make informed decisions.

 

1.2 Role Definitions for Project Controls

Level At this level you would typically be responsible for: Desirable attributes would include:
Strategic In line with the organisational risk appetite:

  • setting the overall governance and policy framework for controls including roles and responsibilities, reporting and operating structures, assurance processes, tools, compliance and continuous improvement;
  • monitoring performance of the overall project, program or portfolio to identify systemic and cumulative risk,
  •  intervening to maintain strategic alignment;
  • developing and sustaining organisational controls capability;
  • embodying desired values, behaviours and ethics.
  • an interdisciplinary understanding of the business context,
  • credibility that enables engagement with and influence of stakeholders,
  • intuitive insight into control functions
  • maintain confidentiality

Typical role titles:

Head of Project Controls

Controls Director

 

 

Tactical / Integrative

Within strategy, governance and policy framework

  • implementing policy, developing project specific procedures and making tactical level decisions
  • evaluating risks and dependencies within the project and applying appropriate control approaches
  • gathering and making sense of data, monitoring and reporting on performance
  • recommending decisions, approaches and response options
  • managing and developing control teams
  • resolving conflicts as required
  • an interdisciplinary understanding of the controls function
  • interpersonal, influencing, delegating and negotiation skills that enable coordination and timely elicitation of performance data
  • ability to understand the full extent of the project / program
  • an appreciation of systems architecture and tools
  • analytical ability
  • maintain confidentiality
  • Typical role titles:

Controls Manager

Project Controls Manager

Controls Executive Officer

Baseline Manager

Integrative Baseline Manager

Project Controller

 

Discipline specific In one or more of the control disciplines:

  • providing expertise including production, collection, collation, dissemination, synthesis, analysis and meaningful interpretation and administration of data and information
  • providing timely insights, advice and contributions in areas of discipline expertise
  • interfacing effectively with other project disciplines and functions

 

  • technical / sub discipline expertise
  • accuracy and proactive ability to obtain information and apply judgement
  • understanding of their role within the overall controls function
  • ability to identify and communicate pertinent information
  • maintain confidentiality

 

Typical role titles:

Planning / Cost Engineer

Scheduler

Quality Controller/ Quality Controls Manager

Estimator

Risk Controller / Risk Manager

Cost Controller

Cost Schedule Analyst

Cost Account Manager

Figure 1. Descriptions of Role Differentiators

Categories:

Future Thought Leadership Forums

At a GAPPS Thought Leadership Forum you can engage in lively discussion, enjoy intellectual stimulation, share your ideas and collaboratively develop new knowledge.  Get updates on the latest developments in project related standards and join one or more of the following work streams*:

  • Mapping– comparison of project related standards and qualifications
  • Leadership in complexity – review of ICCPM Complex Project Manager standards
  • Project Manager– What’s new in global project manager standards? What’s missing?
  • Program Manager – Reviewing GAPPS Program Manager Framework
  • Project Controls – Finalising GAPPS Project Controls Framework
  • Competency Frameworks for
    • Sustainability
    • Innovation
  • Tell us about topics and frameworks you think need discussion and development

You will also learn more about the latest developments in standards and practice, learn about standards development and mapping processes, get advance access to GAPPS tools, develop your local and international networks.

*Note:   not all of these topics will be addressed at every GAPPS Thought Leadership Forum.   Let us know your areas of interest


TLF45

Date: 23-24 Sep 2019

Location: Cabo San Lucas Mexico

Hosted by: GAPPS at Esperanza Auberge Resort, Punta Ballena

Tickets available here

Categories:

Tools for Assessment

As part of their work in assessment comparison of project based standards, GAPPS has developed Performance Based Competency Standards (PBCS) which complement knowledge based standards by describing what needs to be done in a particular role.  Such standards, also called occupational standards (UK), are particularly useful as a basis for practical work-based assessment.

Assessment against Performance Based Competency Standards (PBCS) requires practitioners to provide evidence of what they have done on projects and how it satisfies the performance criteria for workplace performance.  Assessors would need to consider the specific context and consider:

  • What skills and knowledge are needed to demonstrate this standard of performance?
  • What are the parameters for collecting evidence and assessing performance?

Individuals can use the standards as guidelines for understanding their role and improving performance and organisations can find them useful as a way of understanding what is actually being done by their people in the workplace.

The GAPPS has developed standards and assessment tools for:

and is working on guidelines for

Categories:

Appendix A

Appendix A

Range Statements

(informative)

 

This appendix includes all of the Range Statements from the Units of Competency. It does not include other project management terms, nor does it include performance based competency terms. Where the Range Statements contain lists, the lists are generally illustrative and not exhaustive.

Accepted. The product of the project or the outputs of a prior phase may be accepted with uncorrected variances.

Actions in the context of managing stakeholder relationships may include problem solving, negotiating, accommodating, compromising, collaborating, or cooperating. Actions in the context of managing project progress may include risk responses, corrective measures, and documented exemptions handled outside of the agreed change control processes.

Addressed includes acceptance as is, acceptance with modification, or rejection. Interests, needs, and opportunities may be addressed without being satisfied. Conflicts and variances may be addressed without being eliminated.

Appropriate stakeholders. See stakeholders.

Approval is provided with the expectation that the plan for the project will be updated as the project progresses.

Baselines are the agreed to reference points for measuring performance and progress of the project. Baselines must include a budget and a schedule and may also include scope, work, resources, revenue, cash flow, communication, quality, risk, or other aspects of the project.

Behavioural expectations may include responding to conflict; dealing with differences in skill, background, culture, or other personal characteristics of individuals involved with the project; and may be influenced by the phase of the project life-cycle.

Budgets may be expressed in monetary or other units. Budget detail may vary based on the needs of the project, funds availability, and accounting rules.

Change control processes are used to capture, assess, approve or reject, track, and implement changes to the product of the project. They may be developed as part of the project or may be provided by the project’s parent organisation.

Characteristics of the product of the project may include physical dimensions, quality requirements, or other factors that may affect the use of the product of the project. Desired characteristics may include characteristics that will not be included in the completed product of the project.

Closure activities may include acceptance testing, finalising accounts and contracts, releasing project resources, informing stakeholders, celebrating closure, documenting and communicating knowledge, and capturing lessons learned.

Communication needs may include content required, method used (e.g., electronic, phone, meeting), geographical dispersion, protocols, cultural differences, and confidentiality requirements. They may be documented formally or informally and may be included in other project documentation.

Completion criteria may be identified in the plan for the project or may be contained in descriptions of the product of the project such as specifications; user requirements; quality requirements; health, safety, environment, and community requirements; or other application area specific documents.

Consideration of interests should be done in an ethical manner.

Corrective action may include steps taken to prevent future problems, problem solving, communication, conflict resolution, decision making, preparation of change requests, and implementing risk responses. Where the project manager’s authority is limited, corrective action may also include requests for action directed to the responsible parties.

Desired characteristics. See characteristics.

Determination of evaluation techniques may consider multiple viewpoints and perspectives, cause and effect relationships, validity, sufficiency, reliability, fairness, relevance to project type and context, impact on the project, cost/benefit of the evaluation process, and the use of subject matter experts in the design or conduct of the evaluation process.

Ensuring may include performing, supervising, or directing.

Evaluation may rely on information gained from trend analysis, forecasting, strategic alignment reviews, and reading the internal and external environments.

Evaluation purpose may include who the evaluation is for, what is being evaluated, and what use is to be made of the evaluation. The purpose may be for improvement of current or future projects; for evaluation of project management success, product success, individual or team performance, or organisational capability; or for driving particular aspects of performance.

Evaluation techniques should relate to purpose and may be formative (during the project), summative (at the close of the project), and qualitative or quantitative.

Exclusions are potential work-items, or the results of work-items, that might reasonably be expected by a stakeholder but which will not be included in the work of this project.

External environment may include the organisation in which the project is conducted, inter-project dependencies, technological advances, and legal, social, economic, environmental or political changes. The significance of the external factors will vary in relation to the nature of the project.

Expectations. See interests.

External stakeholders. See stakeholders.

Feedback may be positive or negative and may include follow up activities.

Identified stakeholders See stakeholders.

Improvements may include changes to project management processes and procedures as well as to the product of the project.

Individual development involves enhancing individual skills. Needs are for skills directly related to the work of the project. Opportunities are for skills that benefit the individual or the organisation. Development may be provided in formal or informal contexts.

Interests may include needs, wants, expectations, or requirements. Interests may be stated or implied. Interests may be related to the product of the project or to how the activities of the project are conducted.

Interpersonal skills may include leadership skills, verbal and non-verbal communication skills, decision making, dealing with emotions and stress, conflict management, trust building, negotiating, demonstrating sensitivity to diversity issues, and modelling desired behaviour. The application of interpersonal skills may be influenced by the phase of the project life-cycle.

Knowledge includes information gained and lessons learned from other projects.

Legal requirements may include legislation and regulations; authority approvals; contract and sub-contract provisions; operational health and safety; discrimination; industrial relations; fair trade; internal business controls; and environmental issues. Contractual provisions may need to be addressed from both the buyer’s and the seller’s perspectives.

Lessons learned may apply to a single phase, to the entire project, or to future projects, and may include organisational issues.

Measurement may include feedback obtained from stakeholders, variances from plan, changes in stakeholder interests, and changes in assumptions and constraints.

Monitoring in the project context will generally require paying special attention to potential causes or sources of interpersonal conflict.

Needs. See interests for stakeholder needs. See individual development for development needs.

Opportunities. See individual development.

Outcomes are the result of the delivery of the project outputs and may occur after the project is complete.

Participation may include correspondence, attendance at meetings, or review of documentation.

Performance data may include measures collected and analysed during the project and lessons learned captured during the project.

Phases may also be called stages or iterations. A series of project phases may be called a project life-cycle. Some projects, especially subprojects, may have only a single phase.

Plan for project evaluation should be integrated with the plan for the project.

Prioritisation may be based on probability of occurrence, impact on the project, impact on the business, frequency of occurrence, or other factors.

Processes and procedures may exist within the organisation or may need to be developed. They may be manual or automated and will normally include at least change control and status reporting. They may also include management plans, work authorisation, project governance, and product acceptance.

Product of the project may be a physical item, a service, or other solution and is the primary output of the project at project completion. It may be a component of a larger project. For example preparing a feasibility study or developing a functional specification may be treated as an independent project.

Project closure can occur before planned completion due to unforeseen factors. Premature closure should be authorised and evaluated to determine implications.

Project success criteria are measures that describe how the project will be evaluated. They may be quantitative or qualitative. They may have been defined previously or developed by the project. They may address both the product of the project and the management of the project.

Purpose. See evaluation purpose.

Reflection includes self-evaluation and consideration of the project manager’s personal contributions to the project.

Relevant stakeholder. See stakeholders.

Requirements. See interests.

Resource requirements may include type, quantity, and timing. They may be determined for the overall project or for individual work-items.

Resources may include people, funding, information, time, facilities, supplies and equipment.

Responses. See risk responses.

Risk analysis techniques may be qualitative or quantitative and should be chosen based on the management complexity of the project.

Risk prioritisation. See prioritisation.

Risk responses may include mitigation, acceptance (no action), transfer, assignment, and contingency planning.

Risk. An uncertain event or condition that if it occurs, has a positive or negative effect on the project. Risks may include generic items such as employee turnover or application area specific items such as health, safety, and environmental issues on a construction project.

Roles may encompass responsibilities, accountabilities, authorities, reporting arrangements, and other required aspects of work performance.

Schedule may be developed using durations (work periods) or elapsed time (calendar periods). Schedule detail may vary based on the needs of the project.

Sequence is the logical and practical ordering of work-items.

Stakeholders include those whose interests are affected by the project. This may include team members, clients, sponsors, internal and external parties, decision makers, and others. The appropriate stakeholder may be a client, owner, sponsor, senior executive, or other individual that is vested with the authority to make decisions regarding the project. The relevance of a stakeholder may be affected by the impact of the project on the stakeholder, by the impact of the stakeholder on the project, and by cultural or ethical considerations. Different stakeholders are relevant in different situations. External stakeholders are those outside the project team. They may be internal to or external to the project manager’s organisation. The boundary between the external stakeholders and the project team is often indistinct. Identified stakeholders may include individuals or organisations who are involved in the use of the product of the project such as clients, customers, business owners, and technology owners.

Start-up activities may be planned separately or may be included in the plan for the project.

Transition activities may include stakeholder meetings, document reviews, or product and project reviews.

Variances, within the context of managing product acceptance, are differences from the agreed product characteristics and include changes that have not been approved. Product characteristics may be specified in project documentation, quality guidelines, or other documents and may be absolutes or may have tolerances. Variances that are within tolerances may be ignored. Variances, within the context of managing project progress, may include errors in design or use of processes and procedures. Variances, within the context of managing stakeholder communications, may include missing reports, incorrect or misleading content, and late distribution. Communications that fail to satisfy the stakeholders’ needs may also be considered variances. Variances, within the context of managing external stakeholder participation, may include non-participation, unsolicited or unplanned participation, and other unexpected activities. Minor variances may not require corrective action.

Wants. See interests.

Work-item. A segment of the overall work of the project. Work-items may be called work packages, deliverables, outputs, cost accounts, activities, or tasks. They may be represented in an ordered or unordered list, or graphically through a Work Breakdown Structure (WBS) or similar display.

 

 

Categories:

6. Units of Competency

The table below provides a summary of the Units of Competency while the table on the following page provides an overview of the Units, Elements, and Performance Criteria. Details for all, plus the Range Statements, are provided on the following pages.

 

Units 1-5 are applicable to Global Level 1 project managers while Units 1-6 are applicable to Global Level 2 project managers. Although the Performance Criteria are the same for both levels, the context in which that performance must be demonstrated is different as defined by the level of the project using the CIFTER.

 

Unit No. Unit Title Unit Descriptor
PM01 Manage Stakeholder Relationships This Unit defines the Elements required to manage stakeholder relationships during a project. It includes the Performance Criteria required to demonstrate competence in ensuring the timely and appropriate involvement of key individuals, organisations, and groups throughout the project.
PM02 Manage Development of the Plan for the Project This Unit defines the Elements required to manage development of the plan for the project. It includes the Performance Criteria required to demonstrate competence in determining how to realise the project in an efficient and effective manner.
PM03 Manage Project Progress This Unit defines the Elements required to manage project progress. It includes the Performance Criteria required to demonstrate competence in ensuring that the project is moving constructively toward delivery of the product of the project and in support of the agreed project outcomes.
PM04 Manage Product Acceptance This Unit defines the Elements required to ensure that the product, service, or result of the project will be accepted by relevant stakeholders. It includes the Performance Criteria required to demonstrate competence in ensuring that the product of the project is defined, agreed, communicated, and accepted.
PM05 Manage Project Transitions This Unit defines the Elements required to manage project transitions. It includes the Performance Criteria required to demonstrate competence in getting the project underway, in moving from one project phase to the next, and in closing the project down at its conclusion.
PM06 Evaluate and Improve Project Performance This Unit defines the Elements required to evaluate and improve project performance. It includes the Performance Criteria required to demonstrate competence in ensuring that opportunities for improvement are applied on this project and made available for future projects.

 

 

Summary of Units, Elements, and Performance Criteria

 

Units Elements Performance Criteria
Manage Stakeholder Relationships 1.1   Ensure that stakeholder interests are identified and addressed. 1.1.1  Relevant stakeholders are determined.

1.1.2  Stakeholder interests are investigated and documented.

1.1.3  Stakeholder interests are considered when making project decisions.

1.1.4  Actions to address differing interests are implemented.

1.2   Promote effective individual and team performance. 1.2.1  Interpersonal skills are applied to encourage individuals and teams to perform effectively.

1.2.2  Individual project roles are defined, documented, communicated, assigned, and agreed to.

1.2.3  Individual and team behavioural expectations are established.

1.2.4  Individual and team performance is monitored and feedback provided.

1.2.5  Individual development needs and opportunities are recognised and addressed.

1.3   Manage stakeholder communications. 1.3.1  Communication needs of stakeholders are identified and documented.

1.3.2  Communication method, content, and timing is agreed to by relevant stakeholders.

1.3.3  Information is communicated as planned, and variances are identified and addressed.

1.4   Facilitate external stakeholder participation. 1.4.1  External stakeholder participation is planned, documented, and communicated.

1.4.2  External stakeholder participation is supported as planned, and variances are addressed.

Manage Development of the Plan for the Project 2.1   Define the work of the project. 2.1.1  A shared understanding of desired project outcomes is agreed to with relevant stakeholders.

2.1.2  Processes and procedures to support the management of the project are identified, documented, and communicated to relevant stakeholders.

2.1.3  Work-items required to accomplish the product of the project are determined.

2.1.4  The work-items and completion criteria are agreed to by relevant stakeholders.

2.1.5  Assumptions, constraints, and exclusions are identified and documented.

2.1.6  Relevant knowledge gained from prior projects is incorporated into the plan for the project where feasible.

2.2   Ensure the plan for the project reflects relevant legal requirements. 2.2.1  Relevant legal requirements are identified, documented, and communicated to relevant stakeholders.

2.2.2  Potential for conflicts caused by legal requirements are identified and addressed in the plan for the project.

2.3   Document risks and risk responses for the project. 2.3.1  Risks are identified in consultation with relevant stakeholders.

2.3.2  Risk analysis techniques are used to evaluate risks and then prioritise them for further analysis and response planning.

2.3.3  Responses to risks are identified and agreed to by relevant stakeholders.

2.4   Confirm project success criteria. 2.4.1  Measurable project success criteria are identified and documented.

2.4.2  Project success criteria are agreed to by relevant stakeholders.

2.5   Develop and integrate project baselines. 2.5.1  Resource requirements are determined.

2.5.2  Schedule is developed based on resource requirements, resource availability, and required sequence of work-items.

2.5.3  Budget is developed based on resource requirements.

2.5.4  Conflicts and inconsistencies in the plan for the project are addressed.

2.5.5  The plan for the project is approved by authorised stakeholders and communicated to relevant stakeholders.

Manage Project Progress 3.1   Monitor, evaluate, and control project performance. 3.1.1  Performance of the project is measured, recorded, evaluated, and reported against the project baselines.

3.1.2  Processes and procedures are monitored and variances addressed.

3.1.3  Completed work-items are reviewed to ensure that agreed completion criteria were met.

3.1.4  Corrective action is taken as needed in support of meeting project success criteria.

3.2   Monitor risks to the project. 3.2.1  Identified risks are monitored.

3.2.2  Changes to the external environment are observed for impact to the project.

3.2.3  Applicable legal requirements are monitored for breaches and conflicts.

3.2.4  Actions are taken as needed.

3.3   Reflect on practice. 3.3.1  Feedback on personal performance is sought from relevant stakeholders and addressed.

3.3.2  Lessons learned are identified and documented.

Manage Product Acceptance 4.1   Ensure that the product of the project is defined. 4.1.1  Desired characteristics of the product of the project are identified in consultation with relevant stakeholders.

4.1.2  Characteristics of the product of the project are documented and agreed to by relevant stakeholders.

4.2   Ensure that changes to the product of the project are monitored and controlled. 4.2.1  Variances from agreed product characteristics are identified and addressed.

4.2.2  Requests for changes to the product of the project are documented, evaluated, and addressed in accordance with the change control processes for the project.

4.2.3  Approved product changes are implemented.

4.3   Secure acceptance of the product of the project. 4.3.1  The product of the project is evaluated against the latest agreed characteristics and variances addressed where necessary.

4.3.2  The product of the project is transferred to identified stakeholders and accepted.

Manage Project Transitions 5.1   Manage project start-up. 5.1.1  Authorisation to expend resources is obtained from the appropriate stakeholders.

5.1.2  Start-up activities are planned and conducted.

5.2   Manage transition between project phases. 5.2.1  Acceptance of the outputs of a prior phase is obtained from the relevant stakeholders.

5.2.2  Authorisation to begin work on a subsequent phase is obtained from the appropriate stakeholders.

5.2.3  Transition activities are planned and conducted.

5.3   Manage project closure. 5.3.1  Closure activities are planned and conducted.

5.3.2  Project records are finalised, signed off, and stored in compliance with processes and procedures.

Evaluate and Improve Project Performance 6.1   Develop a plan for project evaluation. 6.1.1  Purpose, focus, and criteria of evaluation are determined.

6.1.2  Relevant evaluation techniques are determined.

6.2   Evaluate the project in accordance with plan. 6.2.1  Performance data is collected and analysed in accordance with the evaluation plan.

6.2.2  Evaluation process engages relevant stakeholders.

6.3   Capture and apply learning. 6.3.1  Knowledge sharing and skill transfer is encouraged among relevant stakeholders.

6.3.2  Results of evaluations are documented and made available for organisational learning.

6.3.3  Potential improvements are identified, documented and communicated to relevant stakeholders.

6.3.4  Improvements agreed for this project are applied.

 

 

PM01                 Manage Stakeholder Relationships
Unit Descriptor      This Unit defines the Elements required to manage stakeholder relationships during a project. It includes the Performance Criteria required to demonstrate competence in ensuring the timely and appropriate involvement of key individuals, organisations, and groups throughout the project.

Application is for the Global Level 1 Role and the Global Level 2 Role as described in Section 3.

 

PM01      Elements
1.1    Ensure that stakeholder interests are identified and addressed.

1.2    Promote effective individual and team performance.

1.3    Manage stakeholder communications.

1.4    Facilitate external stakeholder participation.

 

PM01      Element 1
1.1    Ensure that stakeholder interests are identified and addressed.
Performance Criteria Range Statements
1.1.1 Relevant stakeholders are determined.

1.1.2 Stakeholder interests are investigated and documented.

1.1.3 Stakeholder interests are considered when making project decisions.

1.1.4 Actions to address differing interests are implemented.

a.   Ensuring may include performing, supervising, or directing.

b.   Stakeholders include those whose interests are affected by the project. This may include team members, clients, sponsors, internal and external parties, decision makers, and others.

c.    Interests may include needs, wants, expectations, or requirements. Interests may be stated or implied. Interests may be related to the product of the project or to how the activities of the project are conducted.

d.   Addressed includes acceptance as is, acceptance with modification, or rejection. Interests may be addressed without being satisfied.

e.    The relevance of a stakeholder may be affected by the impact of the project on the stakeholder, by the impact of the stakeholder on the project, and by cultural or ethical considerations. Different stakeholders are relevant in different situations.

f.    Consideration of interests should be done in an ethical manner.

g.   Actions may include problem solving, negotiating, accommodating, compromising, collaborating, or cooperating.

 

PM01      Element 2
1.2    Promote effective individual and team performance.
Performance Criteria Range Statements
1.2.1 Interpersonal skills are applied to encourage individuals and teams to perform effectively.

1.2.2 Individual project roles are defined, documented, communicated, assigned, and agreed to.

1.2.3 Individual and team behavioural expectations are established.

1.2.4 Individual and team performance is monitored and feedback provided.

1.2.5 Individual development needs and opportunities are recognised and addressed.

a.     Interpersonal skills may include leadership skills, verbal and non-verbal communication skills, decision making, dealing with emotions and stress, conflict management, trust building, negotiating, demonstrating sensitivity to diversity issues, and modelling desired behaviour. The application of interpersonal skills may be influenced by the phase of the project life-cycle.

b.     Roles may encompass responsibilities, accountabilities, authorities, reporting arrangements, and other required aspects of work performance.

c.     Behavioural expectations may include responding to conflict; dealing with differences in skill, background, culture, or other personal characteristics of individuals involved with the project; and may be influenced by the phase of the project life-cycle.

d.     Monitoring in the project context will generally require paying special attention to potential causes or sources of interpersonal conflict.

e.     Feedback may be positive or negative and may include follow up activities.

f.      Individual development involves enhancing individual skills. Needs are for skills directly related to the work of the project. Opportunities are for skills that benefit the individual or the organisation. Development may be provided in formal or informal contexts.

g.     Needs and opportunities may be addressed without being satisfied.

 

PM01      Element 3
1.3    Manage stakeholder communications.
Performance Criteria Range Statements
1.3.1 Communication needs of stakeholders are identified and documented.

1.3.2 Communication method, content, and timing is agreed to by relevant stakeholders.

1.3.3 Information is communicated as planned, and variances are identified and addressed.

a.     Communication needs may include content required, method used (e.g., electronic, phone, meeting), geographical dispersion, protocols, cultural differences, and confidentiality requirements. They may be documented formally or informally and may be included in other project documentation.

b.     Variances may include missing reports, incorrect or misleading content, and late distribution. Communications that fail to satisfy the stakeholders’ needs may also be considered variances. Minor variances may not require corrective action.

 

PM01      Element 4
1.4    Facilitate external stakeholder participation.
Performance Criteria Range Statements
1.4.1 External stakeholder participation is planned, documented, and communicated.

1.4.2 External stakeholder participation is supported as planned, and variances are addressed.

a.     External stakeholders are those outside the project team. They may be internal to or external to the project manager’s organisation. The boundary between the external stakeholders and the project team is often indistinct.

b.     Participation may include correspondence, attendance at meetings, or review of documentation.

c.     Variances may include non-participation, unsolicited or unplanned participation, changes in personnel, and other unexpected occurrences. Minor variances may not require corrective action.

 

 

 

PM02                 Manage Development of the Plan for the Project
Unit Descriptor      This Unit defines the Elements required to manage development of the plan for the project. It includes the Performance Criteria required to demonstrate competence in determining how to realise the project in an efficient and effective manner.

Note: The plan for the project may be known by other names specific to the organisation or the application area and will generally include additional supporting detail not described here.

Application is for the Global Level 1 Role and the Global Level 2 Role as described in Section 3.

 

PM02      Elements
2.1    Define the work of the project.

2.2    Ensure the plan for the project reflects relevant legal requirements.

2.3    Document risks and risk responses for the project.

2.4    Confirm project success criteria.

2.5    Develop and integrate project baselines.

 

PM02      Element 1
2.1    Define the work of the project.
Performance Criteria Range Statements
2.1.1 A shared understanding of desired project outcomes is agreed to with relevant stakeholders.

2.1.2 Processes and procedures to support the management of the project are identified, documented, and communicated to relevant stakeholders.

(continued next page)

 

a.    Outcomes are the result of the delivery of the project outputs and may occur after the project is complete.

b.    Stakeholders include those whose interests are affected by the project. This may include team members, clients, sponsors, internal and external parties, decision makers, and others.

c.     The relevance of a stakeholder may be affected by the impact of the project on the stakeholder, by the impact of the stakeholder on the project, and by cultural or ethical considerations. Different stakeholders are relevant in different situations.

d.    Processes and procedures may exist within the organisation or may need to be developed. They may be manual or automated and will normally include at least change control and status reporting. They may also include management plans, work authorisation, project governance, and product acceptance.

 

 

PM02      Element 1 (continued)
2.1    Define the work of the project. (continued)
Performance Criteria Range Statements
2.1.3 Work-items required to accomplish the product of the project are determined.

2.1.4 The work-items and completion criteria are agreed to by relevant stakeholders.

2.1.5 Assumptions, constraints, and exclusions are identified and documented.

2.1.6 Relevant knowledge gained from prior projects is incorporated into the plan for the project where feasible.

e.    A work-item is a segment of the overall work of the project. Work-items may be called work packages, deliverables, outputs, cost accounts, activities, or tasks. They may be represented in an ordered or unordered list, or graphically through a Work Breakdown Structure (WBS) or similar display.

f.     Product of the project may be a physical item, a service, or other solution and is the primary output of the project at project completion. It may be a component of a larger project. For example preparing a feasibility study or developing a functional specification may be treated as an independent project.

g.    Completion criteria may be identified in the plan for the project or may be contained in descriptions of the product of the project such as specifications; user requirements; quality requirements; health, safety, environment, and community requirements; or other application area specific documents.

h.    Exclusions are potential work-items, or the results of work-items, that might reasonably be expected by a stakeholder but which will not be included in the work of this project.

i.     Knowledge includes information gained and lessons learned from other projects.

 

PM02      Element 2
2.2    Ensure the plan for the project reflects relevant legal requirements.
Performance Criteria Range Statements
2.2.1 Relevant legal requirements are identified, documented, and communicated to relevant stakeholders.

2.2.2 Potential for conflicts caused by legal requirements are identified and addressed in the plan for the project.

a.     Ensuring may include performing, supervising, or directing.

b.     Legal requirements may include legislation and regulations; authority approvals; contract and sub-contract provisions; operational health and safety; discrimination; industrial relations; fair trade; internal business controls; and environmental issues. Contractual provisions may need to be addressed from both the buyer’s and the seller’s perspectives.

c.     Addressed includes acceptance as is, acceptance with modification, or rejection. Conflicts may be addressed without being eliminated.

 

PM02      Element 3
2.3    Document risks and risk responses for the project.
Performance Criteria Range Statements
2.3.1 Risks are identified in consultation with relevant stakeholders.

2.3.2 Risk analysis techniques are used to evaluate risks and then prioritise them for further analysis and response planning.

2.3.3 Responses to risks are identified and agreed to by relevant stakeholders.

a.     A risk is an uncertain event or condition that if it occurs, has a positive or negative effect on the project. Risks may include generic items such as employee turnover or application area specific items such as health, safety, and environmental issues on a construction project.

b.     Responses may include mitigation, acceptance (no action), transfer, assignment, and contingency planning.

c.     Risk analysis techniques may be qualitative or quantitative and should be chosen based on the management complexity of the project.

d.     Prioritisation may be based on probability of occurrence, impact on the project, impact on the business, frequency of occurrence, or other factors.

 

PM02      Element 4
2.4    Confirm project success criteria.
Performance Criteria Range Statements
2.4.1 Measurable project success criteria are identified and documented.

2.4.2 Project success criteria are agreed to by relevant stakeholders.

a.     Project success criteria are measures that describe how the project will be evaluated. They may be quantitative or qualitative. They may have been defined previously or developed by the project. They may address both the product of the project and the management of the project.

 

 

PM02      Element 5
2.5    Develop and integrate project baselines.
Performance Criteria Range Statements
2.5.1 Resource requirements are determined.

2.5.2 Schedule is developed based on resource requirements, resource availability, and required sequence of work-items.

2.5.3 Budget is developed based on resource requirements.

2.5.4 Conflicts and inconsistencies in the plan for the project are addressed.

2.5.5 The plan for the project is approved by authorised stakeholders and communicated to relevant stakeholders.

a.     Baselines are the agreed to reference points for measuring performance and progress of the project. Baselines must include a budget and a schedule and may also include scope, work, resources, revenue, cash flow, communication, quality, risk, or other aspects of the project.

b.     Resources may include people, funding, information, time, facilities, supplies and equipment.

c.     Resource requirements may include type, quantity, and timing. They may be determined for the overall project or for individual work-items.

d.     Schedule may be developed using durations (work periods) or elapsed time (calendar periods). Schedule detail may vary based on the needs of the project.

e.     Sequence is the logical and practical ordering of work-items.

f.      Budgets may be expressed in monetary or other units. Budget detail may vary based on the needs of the project, funds availability, and accounting rules.

g.     Approval is provided with the expectation that the plan for the project will be updated as the project progresses (PM03 covers managing project progress).

 

 

PM03                 Manage Project Progress
Unit Descriptor      This Unit defines the Elements required to manage project progress. It includes the Performance Criteria required to demonstrate competence in ensuring that the project is moving constructively toward delivery of the product of the project and in support of the agreed project outcomes.

Application is for the Global Level 1 Role and the Global Level 2 Role as described in Section 3.

 

PM03      Elements
3.1    Monitor, evaluate, and control project performance.

3.2    Monitor risks to the project.

3.3    Reflect on practice.

 

PM03      Element 1
3.1    Monitor, evaluate, and control project performance.
Performance Criteria Range Statements
3.1.1 Performance of the project is measured, recorded, evaluated, and reported against the project baselines.

3.1.2 Processes and procedures are monitored and variances addressed.

(continued next page)

a.     Measurement may include feedback obtained from stakeholders, variances from plan, changes in stakeholder interests, and changes in assumptions and constraints.

b.     Evaluation may rely on information gained from trend analysis, forecasting, strategic alignment reviews, and reading the internal and external environments.

c.      Baselines are the agreed to reference points for measuring performance and progress of the project. Baselines must include a budget and a schedule and may also include scope, work, resources, revenue, cash flow, communication, quality, risk, or other aspects of the project.

d.     Processes and procedures may exist within the organisation or may need to be developed. They may be manual or automated and will normally include at least change control and status reporting. They may also include management plans, work authorisation, project governance, and product acceptance.

e.      Variances may include errors in design or use. Minor variances may not require corrective action.

f.      Addressed includes acceptance as is, acceptance with modification, or rejection.

 

 

PM03      Element 1 (continued)
3.1    Monitor, evaluate, and control project performance. (continued)
Performance Criteria Range Statements
3.1.3 Completed work-items are reviewed to ensure that agreed completion criteria were met.

3.1.4 Corrective action is taken as needed in support of meeting project success criteria.

g.     A work-item is a segment of the overall work of the project. Work-items may be called work packages, deliverables, outputs, cost accounts, activities, or tasks. They may be represented in an ordered or unordered list, or graphically through a Work Breakdown Structure (WBS) or similar display.

h.     Completion criteria may be identified in the plan for the project or may be contained in descriptions of the product of the project such as specifications; user requirements; quality requirements; health, safety, environment, and community requirements; or other application area specific documents.

i.      Corrective action may include steps taken to prevent future problems, problem solving, communication, conflict resolution, decision making, preparation of change requests, and implementing risk responses. Where the project manager’s authority is limited, corrective action may also include requests for action directed to the responsible parties.

j.      Project success criteria are measures that describe how the project will be evaluated. They may be quantitative or qualitative. They may have been defined previously or developed as part of the project. They may address both the product of the project and the management of the project.

 

PM03      Element 2
3.2    Monitor risks to the project.
Performance Criteria Range Statements
3.2.1 Identified risks are monitored.

3.2.2 Changes to the external environment are observed for impact on the project.

3.2.3 Applicable legal requirements are monitored for breaches and conflicts.

3.2.4 Actions are taken as needed.

a.     A risk is an uncertain event or condition that if it occurs, has a positive or negative effect on the project. Risks may include generic items such as employee turnover or application area specific items such as health, safety, and environmental issues on a construction project.

b.     The external environment may include the organisation in which the project is conducted, inter-project dependencies, technological advances, and legal, social, economic, environmental or political changes. The significance of the external factors will vary in relation to the nature of the project.

c.     Legal requirements may include legislation and regulations; authority approvals; contract and sub-contract provisions; operational health and safety; discrimination; industrial relations; fair trade; internal business controls; and environmental issues. Contractual provisions may need to be addressed from both the buyer’s and the seller’s perspectives.

d.     Actions may include risk responses, corrective measures, and documented exemptions handled outside of the agreed change control processes.

 

PM03      Element 3
3.3    Reflect on practice.
Performance Criteria Range Statements
3.3.1 Feedback on personal performance is sought from relevant stakeholders and addressed.

3.3.2 Lessons learned are identified, documented, and shared with relevant stakeholders.

a.     Reflection includes self-evaluation and consideration of the project manager’s personal contributions to the project.

b.     Stakeholders include those whose interests are affected by the project. This may include team members, clients, sponsors, internal and external parties, decision makers, and others.

c.     The relevance of a stakeholder may be affected by the impact of the project on the stakeholder, by the impact of the stakeholder on the project, and by cultural or ethical considerations. Different stakeholders are relevant in different situations.

d.     Lessons learned may apply to a single phase, to the entire project, or to future projects, and may include organisational issues. See also PM06 for Global Level 2.

 

 

 

PM04                 Manage Product Acceptance
Unit Descriptor      This Unit defines the Elements required to ensure that the product, service, or result of the project will be accepted by relevant stakeholders. It includes the Performance Criteria required to demonstrate competence in ensuring that the product of the project is defined, agreed, communicated, and accepted.

Application is for the Global Level 1 Role and the Global Level 2 Role as described in Section 3.

 

PM04      Elements
4.1    Ensure that the product of the project is defined.

4.2    Ensure that changes to the product of the project are monitored and controlled.

4.3    Secure acceptance of the product of the project.

 

PM04      Element 1
4.1    Ensure that the product of the project is defined.
Performance Criteria Range Statements
4.1.1 Desired characteristics of the product of the project are identified in consultation with relevant stakeholders.

4.1.2 Characteristics of the product of the project are documented and agreed to by relevant stakeholders.

a.     Ensuring may include performing, supervising, or directing.

b.     The product of the project may be a physical item, a service, or other solution and is the primary output of the project at project completion. It may be a component of a larger project. For example, preparing a feasibility study or developing a functional specification may be treated as an independent project.

c.      Characteristics may include physical dimensions, quality requirements, or other factors that may affect the use of the product of the project.

d.     Desired characteristics may include characteristics that will not be included in the completed product of the project.

e.      Stakeholders include those whose interests are affected by the project. This may include team members, clients, sponsors, internal and external parties, decision makers, and others.

f.      The relevance of a stakeholder may be affected by the impact of the project on the stakeholder, by the impact of the stakeholder on the project, and by cultural or ethical considerations. Different stakeholders are relevant in different situations.

 

PM04      Element 2
4.2    Ensure that changes to the product of the project are monitored and controlled.
Performance Criteria Range Statements
4.2.1 Variances from agreed product characteristics are identified and addressed.

4.2.2 Requests for changes to the product of the project are documented, evaluated, and addressed in accordance with the change control processes for the project.

4.2.3 Approved product changes are implemented.

a.     Variances are differences from the agreed product characteristics and include changes that have not been approved. Product characteristics may be specified in project documentation, quality guidelines, or other documents and may be absolutes or may have tolerances. Variances that are within tolerances may be ignored.

b.     Addressed includes acceptance as is, acceptance with modification, or rejection. Variances may be addressed without being eliminated.

c.     Change control processes are used to capture, assess, approve or reject, track, and implement changes to the product of the project. They may be developed as part of the project or may be provided by the project’s parent organisation.

 

PM04      Element 3
4.3    Secure acceptance of the product of the project.
Performance Criteria Range Statements
4.3.1 The product of the project is evaluated against the latest agreed characteristics and variances addressed where necessary.

4.3.2 The product of the project is transferred to identified stakeholders and accepted.

a.     The product of the project may be accepted with uncorrected variances.

b.     Identified stakeholders may include individuals or organisations who are involved in the use of the product of the project such as clients, customers, business owners, and technology owners.

 

 

 

PM05                 Manage Project Transitions
Unit Descriptor      This Unit defines the Elements required to manage project transitions. It includes the Performance Criteria required to demonstrate competence in getting the project underway, in moving from one project phase to the next, and in closing the project down at its conclusion.

Application is for the Global Level 1 Role and the Global Level 2 Role as described in Section 3.

 

PM05      Elements
5.1    Manage project start-up.

5.2    Manage transition between project phases.

5.3    Manage project closure.

 

PM05      Element 1
5.1    Manage project start-up.
Performance Criteria Range Statements
5.1.1 Authorisation to expend resources is obtained from the appropriate stakeholders.

5.1.2 Start-up activities are planned and conducted.

a.     Stakeholders include those whose interests are affected by the project. This may include team members, clients, sponsors, internal and external parties, decision makers, and others.

b.     The appropriate stakeholder may be a client, owner, sponsor, senior executive, or other individual that is vested with the authority to make decisions regarding the project.

c.     Start-up activities may be planned separately or may be included in the plan for the project.

 

PM05      Element 2
5.2    Manage transition between project phases.
Performance Criteria Range Statements
5.2.1 Acceptance of the outputs of a prior phase is obtained from the relevant stakeholders.

5.2.2 Authorisation to begin work on a subsequent phase is obtained from the appropriate stakeholders.

5.2.3 Transition activities are planned and conducted.

a.     Phases may also be called stages or iterations. A series of project phases may be called a project life-cycle. Some projects, especially subprojects, may have only a single phase.

b.     The outputs of a prior phase may be accepted with uncorrected variances.

c.     The relevance of a stakeholder may be affected by the impact of the project on the stakeholder, by the impact of the stakeholder on the project, and by cultural or ethical considerations. Different stakeholders are relevant in different situations.

d.     Transition activities may include stakeholder meetings, document reviews, or product and project reviews.

 

PM05      Element 3
5.3    Manage project closure.
Performance Criteria Range Statements
5.3.1 Closure activities are planned and conducted.

5.3.2 Project records are finalised, signed off, and stored in compliance with processes and procedures.

a.     Project closure can occur before planned completion due to unforeseen factors. Premature closure should be authorised and evaluated to determine implications.

b.     Closure activities may include acceptance testing, finalising accounts and contracts, releasing project resources, informing stakeholders, celebrating closure, documenting and communicating knowledge, and capturing lessons learned.

c.     Processes and procedures may exist within the organisation or may need to be developed.

 

 

 

PM06                 Evaluate and Improve Project Performance
Unit Descriptor      This Unit defines the Elements required to evaluate and improve project performance. It includes the Performance Criteria required to demonstrate competence in ensuring that opportunities for improvement are applied on this project and made available for future projects.

Note: This unit differs from PM03, Manage Project Progress, in that it is concerned with generating improvements rather than simply monitoring and controlling them.

Application is for the Global Level 2 Role as described in Section 3.

 

PM06      Elements
6.1    Develop a plan for project evaluation.

6.2    Evaluate the project in accordance with plan.

6.3    Capture and apply learning.

 

PM06      Element 1
6.1    Develop a plan for project evaluation.
Performance Criteria Range Statements
6.1.1 Purpose, focus, and criteria of evaluation are determined.

6.1.2 Relevant evaluation techniques are determined.

a.     The plan for project evaluation should be integrated with the plan for the project.

b.     Purpose may include who the evaluation is for, what is being evaluated, and what use is to be made of the evaluation. The purpose may be for improvement of current or future projects; for the evaluation of project management success, product success, individual or team performance, or organisational capability; or for driving particular aspects of performance.

c.      Evaluation techniques should relate to purpose and may be formative (during the project), summative (at the close of the project), and qualitative or quantitative.

d.     Determination of evaluation techniques may consider multiple viewpoints and perspectives, cause and effect relationships, validity, sufficiency, reliability, fairness, relevance to project type and context, impact on the project, cost/benefit of the evaluation process, and the use of subject matter experts in the design or conduct of the evaluation process.

 

 

PM06      Element 2
6.2    Evaluate the project in accordance with plan.
Performance Criteria Range Statements
6.2.1 Performance data is collected and analysed in accordance with the evaluation plan.

6.2.2 Evaluation process engages relevant stakeholders.

a.     Performance data may include measures collected and analysed during the project and lessons learned captured during the project.

b.     Stakeholders include those whose interests are affected by the project. This may include team members, clients, sponsors, internal and external parties, decision makers, and others.

c.     The relevance of a stakeholder may be affected by the impact of the project on the stakeholder, by the impact of the stakeholder on the project, and by cultural or ethical considerations. Different stakeholders are relevant in different situations.

 

PM06      Element 3
6.3    Capture and apply learning.
Performance Criteria Range Statements
6.3.1 Knowledge sharing and skill transfer is encouraged among relevant stakeholders.

6.3.2 Results of evaluations are documented and made available for organisational learning.

6.3.3 Potential improvements are identified, documented and communicated to relevant stakeholders.

6.3.4 Improvements agreed for the project are applied.

a.    Improvements may include changes to project management processes and procedures as well as to the product of the project.

 

 

 

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