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1、PMPPMP考前培训考前培训10/18/2002什么是项目？什么是项目？PMBOK1.2 具体目标：明确定义、现实可行的目标(clearly defined realistic objectives)。 临时性或一次性（Temporary）：明确的开始与结束。 独特性（Unique）：创造独特的产品、服务或结果。 相关的活动并消耗资源(Interrelated activities and consume resources)。问题：项目的4个特征中最重要的2个是什么？项目与日常运营的共性与区别？项目有始有终(Temporary) 开始和结束独特的(Unique) 产品或服务由人来实施受制于有
2、限的资源需要计划、实施和控制运营重复的(repetive)进行的(ongoing)项目与运营（项目与运营（Operation）的关系）的关系渐进细化（渐进细化（Progressive Elaboration） PMBOK1.2.3 是临时性与 独特性的综合。渐进：按步骤进行，稳步增加细化：仔细地将内容的细节全面展开。问题：以下哪一个不能被渐进细化？ A：范围 B：风险 C：项目产品 D：项目服务质量质量(Quality, Objective, requirements )成本成本 (Cost, Budget)时间(Time,Schedule)牵一发而牵一发而动全身动全身范围范围风险风险项目的三
3、个约束条件项目的三个约束条件项目管理的定义项目管理的定义q什么是项目管理什么是项目管理通过使用知识、技能、工通过使用知识、技能、工具和方法来组织、计划、具和方法来组织、计划、实施并监控项目活动，使实施并监控项目活动，使之满足项目需要。之满足项目需要。源：PMBOK2000项目管理的特点v过程、管理系统、方法的集合；v有效的计划和控制；v是对项目、项目群、项目组合的管理；v项目管理既是管理科学，也是管理艺术。子项目（子项目（Subproject） PMBOK1.5 项目中某一部分，在一定水平上是独立运作的时候，就称之为“子项目”。可内：Project team.可外：Subcontractor.
4、以一个单独阶段或项目过程为基础。例如：根据过程分：实施人员技能分：工种技术内容分：程序自动测试。大型项目大型项目/项目群（项目群（program） PMBOK1.5一组相关项目。有Ongoing operations运维例如：飞机生产出版报刊杂志单一项目就是项目群的子项目。在很多情况下可以互用。项目组合管理（项目组合管理（Portfolio Management） 公司战略与可用资源有机结合的一种投资管理战略。(Investment Management Strategy coordinating organizations strategic and available resources)
5、选择和支持某些产品生产线项目或大型项目，通过这些项目把公司战略与资源联系在一起。(Selection and support of specific product line projects and programs that link the organizations strategic plan, investments)项目管理办公室（项目管理办公室（PMO） 负责协调许多项目及不同产品交织一起的大型项目。可作为组织的一个部门。设立标准并主要负责以下事物：采购、风险、WBS Dictionary绩效评估资源管理题外话：CAPMPMPAutoCAQSoftware Developmen
6、tPMP+3500Hr+75QuestionsPMO项目生命周期项目生命周期 概念（Concept）开发（Development）实施（Implementation）结束（Termination）问题：冲突在项目生命周期中最多的阶段是？冲突在项目生命周期中次多的阶段是？必须是4个阶段吗？时间人员风险&机会开始结束项目干系人对项目的影响随着时间的推移变得越来越微弱。成功的概率随着时间的推移越来越大每个 阶段的结束以预先定义的可交付成果为标志风险最大影响时段项目生命周期的特性项目生命周期的特性(I)成本项目生命周期的需要注意其他的方面项目生命周期的需要注意其他的方面qPhaseendReview:
7、又叫Phaseexits,Stagegates,Killpoints1.继续吗？Go/nogo.2.CorrectiveAction3.Lessonslearned.q区别projectlifecycle和productlifecycle:项目经理沟通方向及关系项目经理沟通方向及关系项目经理赞助人老板项目团队同事其他PM顾客供应商职能部门经理媒体政府大众强矩阵型平衡矩阵弱矩阵型全时全时部分时间部分时间部分时间项目管理行政人员项目经理/计划经理项目经理/计划经理项目经理/项目主任PM协调员/项目主管PM协调员/项目主管项目经理的头衔全时全时全时部分时间部分时间项目经理85-100%50-95%1
8、5-60%0-25%几乎没有项目全时人员%大到几乎全权中等到大小到中等有限很少或没有项目经理的权威项目型组织矩阵型组织职能型组织组织类型项目特点项目组织结构对项目的影响项目组织结构对项目的影响项目管理项目管理5个过程个过程决定立项依照计划执行执行情况与计划比较调整执行情况计划提供控制基线根据变更调整计划基本思路贯穿在基本思路贯穿在项目的每一个环节项目的每一个环节制约因素制约因素Constrains PMBOK4.1.1.4 Applicable restriction affect the performance of the project. limit teams option on sc
9、ope, staffing, schedule. 问题: 我们能改变制约因素吗? 我们能回避制约因素吗? 制约因素的几个可能的来源是什么?假设假设(Assumptions) PMBOK4.1.1.5 for planning purpose considered to be True, Real or Certain Project team frequently Identify, Document, and Validate assumptions as part of Planning Process.项目计划与项目绩效基线项目计划与项目绩效基线 PMBOK4.1.3.1 项目计划： F
10、ormal, approved document used to manage project execution. Change over time. Includes a lot: 项目绩效基线： Scope Time Cost Changed upon the approved changes on scope of work/deliverable.计划实施的工具和技术计划实施的工具和技术 PMBOK4.2.2 一般管理技术。 产品技能和知识。（resource planning and staff acquisition） 工作授权体系（Work authorization syst
11、em ） 批准项目工作的一个正式程序，用来确保： 按照恰当的时间、顺序完成工作。 状态评审会 PMIS 组织程序计划实施计划实施-工作结果工作结果 Work Result PMBOK4.2.3.1 定义：为完成项目所执行活动的各种结果。（Outcomes of activities performed to accomplish the project.） 提供如下信息： Deliverables 哪个完成，哪个没有 Quality standard 满足程度如何 Cost incurred/Committed (源自绩效报告) Can be Tangible or Intangible, B
12、ut always Measurable. 计划实施计划实施变变更请求更请求 Change Request PMBOK4.2.3.2 通常在项目工作完成时被识别。 例如: 对范围、成本、进度的变更申请。 多种形式：oral/written, direct/indirect, externally/internally initiated, legal/optional 但是，必须是正式的（Formal）集成变更控制集成变更控制 PMBOK4.3 (Integrated Change Controls) 关心的是： 对引起变更的因素施加影响，以保证这些变更是征得同意的。 确定变更已经发生。 当变
13、更实际发生时进行管理。注意：以上3条适用于具体变更控制过程，如：Scope, cost, time 要做的是： 维护performance measurement baseline完整性 确保product scope的变更在Project scope中反映 协调各知识领域的变更。 通过： 拒绝新的变更。 批准变更并修订项目基线。变更控制系统变更控制系统 PMBOK4.3.2.1 (Change Control System) 由以下内容组成： 正式、文档化的程序。 包括正式项目文件变更的步骤。 规定如何对项目绩效进行监督和评估。 包括：1.文书工作（Paperwork）2.跟踪制度和流程（T
14、racking systems and processes）3.授权变更所需的批准级别（Approval level necessary for authorizing changes）控制小组（CCB, ERB, TRB, TAB）“自动”批准变更配置管理配置管理 PMBOK4.3.2.1（Configuration Management） 任何文档化的程序，用于对以下方面进行技术和行政的指挥与监督：识别工作项或系统的物理特性物理特性和功能特征功能特征，并形成文档。控制这些特征的任何变更。记录并报告这些变更及实施状态。审计这些工作项和系统以证实其与需求一致。很多领域是变更控制系统的子集。也可
15、能指对变更进行的任何系统的管理。不能“自动”批准变更产品描述产品描述 Product Description PMBOK5.1.1.1 把项目将要创造的产品或服务的特征编制成文档。应将产品或服务与商业需求或其他导致项目产生原因之间的关系编制成文档。可以随项目的进行渐进细化。在项目初期, be less detail/high level, 然后但是, 又要 detailed enough for project planning当Seller按照与Buyer订立的Contract执行时，最初的产品描述一般由Buyer提供。项目选择方法项目选择方法 PMBOK5.1.2.1 Project Se
16、lection Method 方法：1.效益测量法（Benefit measurement methods）Economic Model, scoring model,2.约束优化法（Constrained optimization methods)Mathematical Model,决策模型 Decision Model:General Techniques(decision trees, forced choice)Specific Techniques(Analytic Hierarchy Process, Logical Framework Analysis,)Apply compl
17、ex project selection criteria in a Sophisticated modeseparate project phase (Feasibility Study phase) Decision Model赢利能力的计算（赢利能力的计算（Profitability Calculation）q投资报酬率投资报酬率( ROI )=Operating income/Investmentq现值现值 (PV) = FV/ (1+r)nq净现值净现值 (NPV)q内部收益率内部收益率 (IRR)使投资现值之和等于收入现值之和的折现率。q回收期（回收期（Payback period
18、）项目章程项目章程 Project Charter PMBOK5.1.3.1 定义：A document that formally authorizes a project. 内容：1.Officially establishes the project.2.Assign the project manager and authorizes the use of organizations resources to accomplish project activities.3.Provides a general description of project objective and b
19、usiness reason for project.问题：以下哪个是销售方（seller）的项目章程？1.Contract3. Statement of requirement2. Scope statement 4. Statement of Objective项目经理的指派项目经理的指派 PMBOK5.1.3.2 Project Managers Assignment 项目可行，越早越好。 最迟不得晚于Execution. Preferable早于项目计划编制完成前。 问题：以上哪个最好？One answering principle, only choose the best fit
20、answer. 范围说明范围说明 Scope Statement PMBOK5.1.3.1 Provides a documented basis for1.Making future project decision2.Confirming or developing common understanding of project scope among the stakeholders. Will be revised or refined to reflect approved scope changes.Includes or reference to:项目论证（Project jus
21、tification） Business needs; a basis for tradeoffs.Projects product product description(5.1.1.1)Project deliverables a list of summary level Sub-products.Project objectives quantifiable criteria to measure successat least: Cost Schedule QualitySMART ObjectiveInvolves subdividing the major project del
22、iverables or sub-deliverables smallermore manageable unitsUntil sufficient detailed defined deliverables toSupport developing Activity.分解分解 Decomposition PMBOK5.2.2.2 Step 1: 识别主要可交付成果 Identify major deliverablesStep 2: Decide if adequate cost and duration estimate can be developedStep 3: Identify c
23、onstituent components(组成元素)Step 4: Verify the correctness 工作分解结构工作分解结构 WBS PMBOK5.3.3.1 面向可交付成果而对项目元素的分组，它组织并定义了整个项目范围。Deliverable-oriented, Not activity oriented.Work not in WBS is outside scope of project.Unique identifier Code of accountWork package Lowest level item of WBS Can be decomposed in a
24、 Subproject WBS. some books: 80 hours.WBS dictionary: work component descriptions. typically include: work package, schedule dates, Cost budget, staff assignment工作分解结构与其他结构的区别工作分解结构与其他结构的区别 PMBOK5.3.3.1 CWBS(Contractual WBS)：合同工作分解结构定义卖方提供给买方报告的层次，不如WBS详细。OBS(Organization breakdown structure)：组织分解结构
25、显示工作被分配到组织单元。RBS (Resource breakdown structure)：资源分解结构OBS的一种变异，将工作元素分配到个人。BOM (Bill of Material)：材料清单制造产品所需零部件等的分级层次。PBS (Project breakdown Structure) ：项目分解结构即WBS，用于某些将BOM称为WBS的领域。范围核实范围核实 Scope Verification PMBOK5.4 是项目干系人正式接受（Formal Acceptance）项目的过程。需要审查Deliverables和Work results，以确保正确圆满完成。项目提前终止，则
26、应对项目完成程度建立文档。注意区别：范围核实与质量控制。范围核实：关心工作结果的“接受Acceptance”质量控制：关心工作结果的“正确性Correctness”Inspection= Review, product reviews, audits, walkthrough变更申请变更申请 Change Request PMBOK5.5.1.3 多种形式：oral/written, direct/indirect, externally/internally initiated, legal/optional但是，必须是正式的（Formal）引起变更申请的原因：1.外部事件2.定义Produ
27、ct scope 时的错误或遗漏（error/omission）3.定义Project scope 时的错误或遗漏（error/omission）4.Value-adding change (尤其在Optional时)5.Riskcontingency plan or workaround plan.(11.6.3.3)Activity Definition 活动定义活动定义 PMBOK6.1分解(Decomposition 6.1.2.1)：将工作包细分为：更小、更易于管理的活动（Activity）。与范围定义中分解的区别:Output 不同：deliverable / activity.活
28、动清单（6.1.3.1）项目执行的所有活动。WBS的延伸。每个活动要有描述。WBS更新（6.1.3.3）。又叫精细化 Refinement.Dependencies 依赖关系依赖关系 PMBOK6.2q Mandatory 强制强制 qOften involve physical or technological limitations (based on the nature of work being done)q也叫硬逻辑，硬依赖关系。q Discretionary 任意任意q Best practiceq 软逻辑 Soft Logic: desirable and customary
29、(based on experience)q 优先 Preferential: preferred or mandated by a customer (also, need of the project sponsor)q Externalq Project activity with nonproject activity.前导图法前导图法 PMBOK6.2.2.1 Precedence Diagramming MethodAON (Activity on Node): Node=activity, Arrow=dependencies One time estimateLead and
30、LagFour relationships: Finish to StartFinish to FinishStart to StartStart to FinishTASK1TASK2TASK1TASK2TASK1TASK2TASK1TASK2ESEFLSLFESEFLSLF箭线图法箭线图法 PMBOK6.2.2.2 Arrow Diagramming MethodAOA (Activity on Arrow)： 双代号网络图，活动在箭线上。有虚拟活动Dummy Activity: 一般用虚线表示, 0 duration.No LagOne relationship: Finish to s
31、tartS1234EABCDEFG计划评审技术计划评审技术 PERT PMBOK6.4.2.1Three time estimate悲观值 Pessimistic最可能值 Most Likely乐观值 OptimisticWeighted Average=(Optimistic + 4*Most likely + Pessimistic)/6Standard deviation(标准差)=(Pessimistic - Optimistic)/6Beta DistributionMost LikelyPERT Weighted Average关键路径法关键路径法 CPM PMBOK6.4.2.1
32、One time estimate Most likelyCalculate forward pass & backward passFloat/Slack 时差Free float= Early Finish - Early start of successor activity(不影响任何紧随活动的ES。)Total Float = Early finish Late finish (不影响项目完工日期。)Critical PathLongestShortestZero条件图法条件图法 PMBOK6.2.2.3 Conditional Diagramming Method GERT：图形评
33、审技术允许回路（LOOP，如：重复多次进行一项测试）或条件分枝 （Conditional branches，如：只有当检测出错误时才进行设计更新）的存在，这是PDM和ADM所不允许的。Conditional and probabilistic treatmentSystem Dynamics Models：系统动态模型工期=7TaskAESEFLSLF工期=6TaskCESEFLSLF工期=3TaskGESEFLSLF工期=3TaskBESEFLSLF工期=3TaskDESEFLSLF工期=2TaskFESEFLSLF工期=3TaskEESEFLSLF工期=2TaskHESEFLSLF开始结束
34、计算计算子网络子网络 Sub Nets Fragnets PMBOK6.2.2.4网络模板（Network templates）使制图过程更便捷。可包括整个项目，也可是其中一部分。网络的一部分称为：子网络。特别用于网络中有重叠或相似内容时。例如：盖楼的每一层、医药临床等。赶工 Crashing: 成本与进度的平衡/折衷。（cost and schedule tradeoff）。确定如何用最小的成本获得最大的工期压缩。通常成本增加。快速跟进 Fast tracking: 将前后顺序变为平行 （change sequence to parallel）。通常风险增加。工期压缩工期压缩 Duratio
35、n Compression PMBOK6.4.2.2 Resource Leveling/Smoothing/Allocation:用在 resources constraint circumstances.将稀缺资源先分配到关键路径上。 Allocate scare resources to the Critical Path Activities first.通常导致比最初进度更长的工期。Often result the longer duration than preliminary schedule.资源重新分配 （Resource Reallocation）:用在 time cons
36、traint circumstances将资源从非关键路径上重新分配到关键路径上，以弥补已经落今后的进度，或尽可能接近原定工期。（Resources reallocated from non-critical to critical activities to bring the schedule back， or as close as possible to its originally intended overall duration.）Extend hours, weekends, multiple shifts.Increase productivity by using diff
37、erent technologies and machinery.启发式资源平衡法启发式资源平衡法 PMBOK6.4.2.4 Resource Leveling Heuristics启发式资源平衡法启发式资源平衡法 PMBOK6.4.2.4 Resource Leveling Heuristics资源逆向分配 （Reverse resource allocation scheduling）:有限或关键资源（Finite and critical resource).从项目结束时间逆推进度（Scheduled backwards from ending date）关键路径资源计划 Critica
38、l Chain resource Planning:A technique modifies the schedule to account for limited resources.Question:Add more people on a task can increase or decrease the productivity?进度更新进度更新 Schedule Updates PMBOK6.5.3.1更新 Update:Modification to scheduleMay or May Not require to adjustments to other aspects of
39、project Plan.修订 Revision:Special category of Update.Change to the start and finish dates in approved project schedule.Generally in response to the scope changes or changes to estimate.重新确定基线 Rebaselining:While schedule severe delay, the original performance measurement baseline not applicableBe care
40、ful, since the historical data will be lost.成本管理成本管理（Cost Management）Whats cost management?Including:Initiate the projectEstimatingOrganizingControllingAnalyzingReportingForecastingTaking necessary corrective action when required.关于成本管理的问题关于成本管理的问题成本管理的目的？确保在批准的预算内完成项目的各个过程。成本管理的方法？资源计划、成本的估算、预算、控制谁
41、对成本在不同时间有不同的需求？管理层（实施结果，奖励与识别），买方（不同的合同类型下）针对不同的管理需要，成本有哪些类型？可控、不可控；固定、变动；直接、间接如何控制与管理变更？纠正措施？S曲线？挣值？成本估算技术成本估算技术（Cost Estimating Techniques）q模拟模拟(类比类比)估算估算 Analogous Estimating “topdown”;usingactualcostsfrompreviousprojectasbasisforestimateReliable when previous projects are similar and individuals
42、 have expertise form of expert judgmentq参数模型参数模型 Parametric Modeling usesprojectcharacteristicsinmathematicalmodelstopredictcosts(e.g.buildinghouses)Reliable when historical information is accurate, parameters are quantifiable, and model is scalable2types:Regressionanalysis,LearningCurveq从下至上的估算从下至上
43、的估算 Bottom Up Estimating rollingupindividualactivitiesintoprojecttotalsmallerworkactivitieshavemoreaccuracy q计算机工具计算机工具 Computerized tools spreadsheets,software估算的准确性估算的准确性 (Accuracy of Estimates）q量级估算OrderofMagnitudeEstimate:-25%to75%;Withoutdetaileddata,Bestguess,usuallymadeduringInitiationPhaseOt
44、herNames:guesstimates,Conceptual,Preliminaryq预算估算BudgetEstimate:-10%to25%;Morebetterdata,usuallymadeduringthePlanningphaseOtherNames:Appropriation,Control,andDesignq确定估算DefinitiveEstimate:-5%to10%;Welldefineddata,usuallybottomup.OtherNames:Check,Lumpsum,Tender,Postcontractchanges.估算的准确性估算的准确性qCost E
45、stimates:量级估算Order of Magnitude (ballpark estimate)：During initial evaluation预算估算Budget : Used to obtain funds and project approval.确定估算Definitive: Proposals, bid evaluation, contract change etc.Order of MagnitudeDefinitiveEstimateBudget Estimate75%-25%25%-10%10%-5%生命周期成本（生命周期成本（Life cycle costing）q
46、开发成本开发成本 Development costq生产成本生产成本 Production costq运维成本运维成本 Operating/ Maintenance costq处置成本处置成本 Discard costDisposalcostwhileproductpasseditspointofusefulness.(e.g.电池，化学品etc.)Time Value of MoneyqPV = amount of payment in N years divided by (1 + interest)n qNPV=Sum of PV of inflow and outflowNPV0, g
47、oNPV=0, considerNPVAC，节约；EVBV，超前；EVBV，滞后。ETC指从今以后一段时间;EAC指工作结束那个点。Quality 质量质量 Quality: 实体中与它满足明确需要和隐含需要的能力相关的所有特性的总和。Totality of characteristics of an entity that bear on its ability to satisfy stated or implied needs.Five misunderstandings about quality:1.Quality means goodness or luxury.2.Quality
48、 is intangible and not measurable.3.Quality is Expensive.4.Quality problem is originated by workers.5.Quality originate in quality department.区别质量与等级：如酒店星级区别质量与镀金（Gold plating）质量目标质量目标 Quality Goals质量的目标是： 适合于使用Fitness for use. (产品或服务能否使用？Is the product or service capable of being used?) 适合于目的Fitnes
49、s for purpose. (产品或服务达到了设计目标？Does the product or service meet its intended purpose?) 顾客满意 Customer satisfaction. (产品或服务满足了顾客的期望？Does the product or service meet the customers expectations?) 符合需求 Conformance to the requirements. (产品或服务是否符合要求？Does the product or service conform to the requirements?) 质
50、量责任质量责任 Responsibility for Quality q高层管理高层管理 Top management负责组织的质量。负责组织的质量。Responsible for Quality of the Organizationq项目经理项目经理Project manager负责项目的质量。负责项目的质量。 Responsible for Quality of the project qIndividual employee负责其所做工作的质量。负责其所做工作的质量。Responsible for the tasks they performedQuality Planning 质量计
51、划质量计划 PMBOK8.1.1 q确定与项目有关的质量标准并确定达到标准的方法。q质量政策（Quality policy）q有组织的最高层正式发布的关于质量的总宗旨和总方向。q如果组织没有正式质量政策，项目团队应该为项目指定质量政策。q项目团队有责任确保干系人全面获知质量政策。q范围说明（Scope statement）q产品描述（Product description）q标准和规范（Standard and regulation）实验设计实验设计 Design of Experiments PMBOK8.1.2.4q一种统计方法，帮助识别哪些因素将影响某种变量。q多用于项目产品上。如：汽车
52、设计中确定哪种悬置与车轮的搭配效果最好，并且价位合理。q项目中的用途成本与进度tradeoff：高级工程师的费用高但用时少，低级工程师则相反。将高级和低级工程师进行多种组合，已确定最佳。Quality Cost 质量成本质量成本 PMBOK8.1.2.5q质量成本指为了达到产品/服务质量而进行的全部工作所发生的所有成本。包括符合要求的成本和不符合要求的成本。(Cost of Conformance/ non-conformance)q典型项目一般设定项目价值的3-5%作为质量管理的成本。质量成本类型质量成本类型 Quality Cost Category:q预防成本预防成本Prevention
53、 Cost-costtoplanandexecuteaprojectsothatitwillbeerror-freeq鉴定成本鉴定成本Appraisal Cost-costofevaluatingtheprocessesandtheoutputsoftheprocessestoensuretheproductiserror-freeq内部失败（故障）成本内部失败（故障）成本 Internal Failure Cost-costincurredtocorrectanidentifieddefectbeforethecustomerreceivestheproductq外部失败（故障）成本外部失败
54、（故障）成本 External Failure Cost-costincurredduetoerrorsdetectedbythecustomer.Thisincludeswarrantycost,fieldservicepersonneltrainingcost,complainthandling,andfuturebusinesslosses.q测量与检测设备成本测量与检测设备成本Measurement and Test Equipment-capitalcostofequipmentusedtoperformpreventionandappraisalactivities.QA and
55、QC Comparison q质量保证(QA):在质量体系中实施的全部有计划、有系统的活动，以提供满足项目相关标准的信心。q质量控制(QC):一个过程，用来监控具体项目结果，以决定他们是否符合相关的质量标准，并识别消除不满意绩效的成因。QAManagerial processOrganizeDesigns programs/processesSets objectivesProvide resourcesDevelops proceduresQCTechnical aspect of QualityExaminesAnalyzesMonitors conformanceProvides rep
56、orting质量控制中要区分以下概念质量控制中要区分以下概念 PMBOK8.3预防预防(prevention)与检查与检查(inspection)特性抽样特性抽样(attribute sampling)与变量抽样与变量抽样(variable sampling)特殊原因特殊原因(special cause)与随机原因与随机原因(random cause)许可的误差许可的误差(Tolerance/Threshold)与控制限度与控制限度(control limits)质量工具质量工具 Quality Tools 流程图流程图曲线图曲线图帕累托图（帕累托图（Pareto Diagram）-80/20
57、定理定理因果图（鱼骨图因果图（鱼骨图/Ishikawa图）图）图表（图表（Graphs）控制图（控制图（Control Charts）核对表（核对表（Checksheets）Sampling q确定样本大小确定样本大小qBefore reject product, benchmark the number of defect(this is the management responsibility).qMethodsAcceptanceAttributeSpecial AttributeContinuous samplingChainSkip-lot Variable sampling 不断
58、改进（不断改进（Continues Improvement Process） PDCA (戴明 Deming):计划Plan 提高当前的实践 improve the present practice 执行 Do 计划的实施implement the plan检查 Check 通过测试来观察是否得到了期望的结果。test to see if desired results are achieved行动 Act 实施纠正行动。Implement corrective Action戴明还阐述说：85%的质量问题应由管理层负责，另外15%由团队成员负责。Deming also stated that
59、85% of poor quality is attributable to the management, 15% to the team members.Taguchis theoryqQualityshouldbedesigned into the product,notinspectedintoit.qQualityisbestachievedbyminimizing the deviation from a target.Theproductshouldbedesignedtobeimmunetouncontrollableenvironmentalfactors.qThecosto
60、fqualityshouldbemeasuredasafunctionofdeviationfromthestandardandthelossesshouldbemeasuredsystem-wide.AAR接受接受ARA测试测试ACR设计设计ACR需求需求EDCBAR负责A协助C审查责任分配矩阵可在各个等级实行责任分配矩阵责任分配矩阵PM Roles and Responsibilitiesq Integrator 集成者是看到项目目标及项目如何融入组织整体计划的人。PM is the most likely person who can view both the project and
61、the way it fits into the overall plan for the organization. 协调项目团队的努力。Must coordinate the efforts of all the units of the project team. q Communicator : 水平，垂直，内外，正式非正式等q Team Leader q Decision Maker q Climate Creator or Builder The PM should attempt to build a supportive atmosphere so that project t
62、eam members work together and not against one another. Seek to avoid unrest and negative forms of conflict by building supportive atmosphere early. 权力的类型权力的类型q 法定法定 （Legitimate or Formal): q基于一个人在公司中的正式地位。Based on a persons formal position in the company. q奖赏奖赏 Reward: q提供好结果的能力。如：提升、涨工资等 Power to g
63、ive positive consequences or outcomes. q强制强制 Coercive (Penalty): q提供坏结果的能力。如：停职、解聘等。Refers to negative consequences that a person can inflict on others. q威望威望 Referent : q通过团队成员将某人视为模范，崇拜并心甘情愿追随而获得的能力。Power gained when team members admire, and willingly follow, an individual as a role modelq专家权威专家权威
64、 Expert : q通过在某方面公认的知识或技能水平而获得的能力。 Refers to earned power through a recognized level of knowledge or skill in a specific area. Also called charisma. 领导风格领导风格/决策模型决策模型Leadership Styles / Decision Modelq Autocratic（独裁型独裁型）: 项目经理很少或根本不从团队那里收集信息。The PM solicits little or no information from team. 独断专行。M
65、akes decision solely. 又被称为：指导型。Also referred to as Directing. qConsultive autocratic（咨询独裁型咨询独裁型）: 从团队那里收集大量信息。Intensive information input is solicited from the team. 但自己作决定。The PM still makes the decisions solely. 又被称为：说服型。May also be referred to as Persuading. 领导风格领导风格/决策模型决策模型Leadership Styles / D
66、ecision Modelq Democratic (民主型民主型) q 将问题交给团队讨论并收集信息。Problem presented to the team for open discussion and information gathering. q团队做决策。Team makes decision. q 又被称为：参与型。 Also referred to as Participating / Consensus Manager. qLaissey Faire (自由放任型自由放任型)q 集体内上下之间很少或没有信息交换 。Little or no information exch
67、ange takes place within the group(Up and down). q 团队有最终决策权。The team has the ultimate authority for the final decision. q又被称为：授权型。 Also referred to as Delegating / Shareholder Manager. q注：这种类型被认为是拙劣的管理。This style is considered to be poor management. Maslow的需求层次理论的需求层次理论q人与人之间存在需求差异。人与人之间存在需求差异。生理生理安全
68、安全爱和归属爱和归属自尊自尊自我实现自我实现动机理论动机理论 Motivation Theoriesq Theory X: (developed by McGregor to describe how managers relate to subordinates) qMost people dislike their work and will avoid it. qMost people lack ambition and have little capacity for problem solving and creativity. qWorkers prefer direction a
69、nd avoid taking responsibility and initiative. qWorkers motivated only by Maslows lower level needs (physiological and safety). qWorkers are self-centered, indifferent to the needs of the organization, and resistant to change.qTheory Y: (also developed by McGregor) qMost people meet high performance
70、 expectations if appropriately motivated and the climate supportive. qMost people are creative, imaginative, ambitious, and committed to meeting the organizations goals. qMost people are self-disciplined, can direct and control themselves, desire responsibilities, and accept them willingly. qWorkers
71、 are motivated by Maslows higher level needs (self esteem and self actualization) 动机理论动机理论 Motivation Theoriesq Theory Z: (Developed by Ouchi. The source was the Japanese workplace) qSimilar characteristics as Theory Y. qManagement deems workers as trustworthy and capable of working without close su
72、pervision. qWorkers are motivated by self esteem and self actualization. qJapanese management provides a supportive environment with lifetime employment, consensus decision making, and collective responsibility. q Ouchi theorized that to the extent lifetime employment, consensus decision making, and
73、 collective responsibility, then worker productivity and motivation would improve. qContingency Theory: (Developed by Morse and Lorsch) qPeople have a central need to develop a sense of competence. This need continues to motivate even after competence has been achieved. qProject managers should ensu
74、re that there is a good match between team members skills and their assignments and that the organizational climate is conducive to meeting team members needs and achieving a sense of competence. 动机理论动机理论 Motivation Theoriesq Goal Setting Theory: (Developed by Latham and Locke) qWorking towards a go
75、al is a major source of job motivation. qIndividuals have an internal desire to achieve goals. qClear, specific, concise, and challenging goals motivate team members. qProject participants must be allowed to participate in setting goals, formulating plans and implementation strategies in order to ga
76、in participants acceptance and commitment to meeting project goals. q期望理论期望理论 Expectancy Theory: (Developed by Victor Vroom) qPeople think seriously about how much effort they should put into a task before doing it. qMotivation occurs if there is an expectation of a favorable outcome. qA persons beh
77、avior is based on the strength of their expectation that an act will be followed by a desired outcome or good performance. qA persons behavior is based on their expectation that good performance will be rewarded. The attractiveness of the reward to the individual also influences a persons behavior.
78、qProject managers should try to ascertain the most important needs of their team via informal communication and by developing interrelationships with team members. 动机理论动机理论 Motivation Theoriesq Hygiene Theory 卫生理论: (Fredrick Herzberg) qHygiene factor (卫生因素)：工资、主管的态度、工作环境，可防止不满，但不是激励。qMotivator(激励因素)
79、：能领先、有机会学习新事物、工作本身的挑战。qEquity Theory 公平理论: (Developed by Adams) qPeople are motivated by their desire to be treated equitably. qPeople compare their jobs and compensation with those of others on the project. Inequities can influence the degree of effort they exert. qInequities can result in conflict
80、s and problems, thus requiring considerable effort from the project manager, functional managers, and human resources personnel to resolve. qProject managers must ensure that all project participants are compensated fairly for their contributions to project success. Team Building Process 团队建设过程团队建设过
81、程qTheprocessofgettingadiversegroupofindividualstoworktogethereffectivelyasateam.1.团队建设计划2.同成员磋商3. 组织团队4. 召开“开工大会”5. 获得成员的承诺6. 建立沟通联系7. 实施团队建设活动8. 将团队建设活动与项目所有活动结合起来Team Building Activities 团队建设活动团队建设活动 PMBOK9.3.2.1qPrimarilytoimproveteamperformance.q2ndeffectisenhanceteamperformance.Kick off Meeting
82、Tight Matrix (Collocation)War RoomSymbols / CodesCelebrateOff Site MeetingTeam Charter冲突管理冲突管理 Conflict ManagementqWithdrawal（回避）: qRetreating from actual or potential disagreements and conflict situations. qAppropriate only in certain situations such as when a cooling-off period is needed. qA tempo
83、rary tactic: does not resolve the conflict, only delays it. qSmoothing（缓和） : qDe-emphasizes differences and emphasizes commonalities. qKeeps the atmosphere friendly. qA temporary tactic: does not resolve the conflict, only delays it. qShould be used in conjunction with another method. qCompromising/
84、 Collaboration（妥协/合作） : qConsiders various issues and searches for solutions which bring some degree of satisfaction to the conflicting parties. qThis method is considered to be a lose-lose. Both parties must give up something that is important to them; however, this method usually provides some acc
85、eptable form of resolution. Conflict ManagementqForcing（强制）: qExerts ones viewpoint at the potential expense of another party. qThis method provides resolution but is considered to be a win-lose. q PMI suggest it is the last resort.qProblem Solving: (confrontation) 解决问题qDirectly addresses disagreeme
86、nts. qConflict is treated as a problem. The problem is defined; information is collected; alternatives are identified and analyzed, and the most appropriate alternative is selected. qTheoretically considered the best because both parties can be satisfied if they work together to solve the problem. q
87、Both parties must want to solve the problem and be willing to work together. qTime-consuming method. qThis method is considered to be a win-win. 冲突管理总结冲突管理总结ResolutionConcerns ForMode方法Style风格Personal Goals个人目的Relationships关系ForceWin - LostHighLowSmoothLose - LoseLowHighWithdrawLose - LoseLowLowComp
88、romiseLose - LoseMediumMediumProblem SolvingWin WinHighHigh第第3方冲突解决方冲突解决 3rd Party Conflict ResolutionqMediation（调停）: q各方不必遵守建议。Parties dont have to abide by recommendations.qArbitration（仲裁）：q各方达成协议，Parties agreed in advanceq 并遵守这个决定。Abide by the decision.qAdjudication (裁定)： q暂时的决定 Temporary decisio
89、nq可能在将来再讨论 。Maybe reopen at a later date.Interpersonal CommunicationTo ensure messages are received and understood, two-way communication is necessary. Interpersonal communication is the process of sharing information with others. 沟通的要素：沟通的要素： 1.发送者：Thesender(orencoder)ofthemessage.2.消息：Thesignalort
90、hemessage.3.渠道：Thechannelisthemediaused.4.接收者：Thereceiver(ordecoder)ofthemessage.沟通过程沟通过程 Process of interpersonal communication: 1.Senderdetermineswhatinformationtoshareandwithwhomandencodesthemessage.2.Sendertransmitsthemessageasasignaltothereceiver.3.Thereceiverreceivesthemessage.4.Thereceiverdec
91、odesthemessagetodetermineitsmeaningandthenrespondsaccordingly.5.Communicationissuccessfulifthedecodedmessageisthesameasthesenderintended.Methods of CommunicationVerbal:Threestagesofeffectiveverbalcommunicationandpresentation:Theintroduction:Tellthemwhatyouregoingtotellthem.Theexplanation:Tellthem.Th
92、esummary:Tellthemwhatyoujusttoldthem.Non-verbal:Encodingamessagewithoutusingwords.Usuallydonethroughbodylanguage.TotalMessageImpact=Words(7%)+Vocaltones(38%)+Facialexpressions(55%)PMsmaycombinevocalandnonverbalfactorsbutmustbecarefulthatthetwodonotpresentcontradictorymessages.Written communication:T
93、hemainaimofbusinesswritingisthatitshouldbeunderstoodclearlywhenreadquickly.Themessageshouldbewellplanned,simple,clear,anddirect.Effective ListeningEffectivelisteningisoneofthemostimportantskillsforaPMtoacquireandpractice.Ithelpsdevelopmutualrespect,rapport,andtrustamongprojectparticipants.Verballist
94、eningbehaviors:Askingquestionstoclarifyandgathermoreinformation.Paraphrasingwhatthespeakerhassaid.Summarizingatintervalswhatthespeakerhassaidtoconfirmwhatyouhaveunderstood.Askingthespeakerforexamples.Ascertainingthespeakersfeelingsandacknowledgingthem.(Youseemangry.)Directingthespeakertothemostappro
95、priatelistener.(Georgecanbesthelpyouwiththat.)Non-verballisteningbehaviors:Makingeyecontact.Beingexpressiveandalert.Movingclosertothespeaker.Listeningfortheintentionbehindthespeakerscommunication.Facialexpressions,touching,useofspace,useoftime.Communication StylesConcrete-sequential: (Mr./Ms. Fix-it
96、)Personlikestofocusonideasandtasks,thinkssystematicallyandpredictably.Personwantstocompletetasksandminimizechange.Abstract-sequential: (Organizer)Personwhoreliesonlogicalanalysisandsystematicplanningtosolveproblems.Thesecommunicatorsarepeopleandtask-oriented,whichmakesthemeffectteambuilders.A-Scommu
97、nicatorsprefertohaveallinformationbeforemakingadecision,andtheyknowhowtocontrolresourcesandinformation.Concrete-random: (Explorer/entrepreneur)Personreliesonpeopleandtechnology,findspracticalusefortheoriesandmodels.C-Rcommunicatorsmakedecisionsafterthoroughanalysisandevaluationandexcelatfacilitating
98、planningsessions,discussions,andchanges.Abstract-random: (Intuitive free thinker) Personviewsexperiencesfromdifferentperspectivesandseesthebigpictureandthelong-termview.A-Rcommunicatorsmakegoodbrainstormerbecausetheycanlistenactivelyandenjoytheprocessofgeneratingnewideas.PARCS 模型模型 - 管理冲突管理冲突Priorit
99、y有一个明确的PriorityAgreement达成明确的协议Recognition认可好的绩效Confront直面坏的绩效Sandwich将好消息坏消息混合项目经理的时间项目经理的时间 How PMs Spend their Time项目经理的时间70-90%都用于沟通。在这些沟通时间中，又有45%左右用于倾听。OfthePMstimespendcommunicating,approximately45%isspentlistening.另外30%用于交谈。Another30%isspenttalking.项目经理花费50%的时间在会议上。PMsspend50%oftheirtimeinme
100、etings.Performance ReportingStatusreportingProgressreportingForecastingProfessional Code of Professional Conduct职业行为准则职业行为准则1.保证诚信（Integrity）与职业操守(Professional Conduct)。Conflict of interest:利益冲突，以权谋私。亲戚/下属、厂商礼物、干系人影响。无法控制他人的诚信！真实地报告、遵纪守法、保护机密（公司数据、知识产权等）Reasonable and Factual Basis2.贡献职业知识。3.加强个人能力。
101、4.平衡项目干系人的利益。客户满意，在constraints中取得平衡。5.职业与合作的态度跟团队及项目干系人交往。尊重差别(文化、习惯)。文化冲击 Culture shockRisk Management 风险管理风险管理q 风险管理是对项目风险进行识别、分析、应对的系统的过程。 q 风险：一种不确定的事件或条件，一旦发生，会对项目目标产生正面正面或负面负面的影响。它既包括对项目目标的威胁，也包括对这些目标进行提高的机会。q 成因 Cause后果 Consequence q 威胁和机会（Threats and opportunity）q 已知风险 Known risk- 已识别并制定计划进行
102、管理。q 未知风险 Unknown risk-未识别，无法管理。Types of Risk 风险类别风险类别qBusiness Risk：得到收益或受到损失的正常风险。NormalrisksthatoffergainandlossqPure (insurable) Risk 只有损失。OnlyLoss.尽可能多的进行保险。InsureasMuchasPossible.可保险的类型有：直接财产损失（火，水）间接（第3方）损失（废墟清理，设备更换）法律责任（项目失败，设计错误，公众损害）人员（替换，工伤）Risk Planning 风险计划风险计划 PMBOK11.1q项目章程q组织的风险管理政策
103、q定义角色与责任q干系人的风险承受度q组织的风险管理计划模板qWBSq计划编制会议q风险管理计划Risk Identification 风险识别风险识别q 风险因素（Risk Factors）: 风险事件： 风险概率：发生的可能性。 损失量 (Amount at stake)：q 风险分类（Risk Categories）: 技术、质量或操作风险 项目管理风险 组织的风险 外部风险q 触发器（Trigger）:风险征兆或预警信号。注：当风险事件被识别后，用原因（cause）而不是影响（effect/impact）来分类。Risk Identification Techniques 风险识别技术
104、风险识别技术qBrainingStormingqDelphiTechniqueqInterviewing/ConferencingonetoonediscussqSWOTqSensitivityAnalysisqMonteCarlo/SimulationqDecisionTreeqExpertValueqProbabilityDistribution(PERT)qChecklistqCauseandeffectdiagramqSystem/processflowchartqInfluencediagrams定性风险分析定性风险分析 PMBOK11.3.2q评估以识别风险的影响和可能性的过程。q
105、要根据风险的可能影响排序。q工具：q风险概率和影响：q风险概率：某一风险发生的可能性。q风险后果：对项目目标的影响。q适用于具体风险事件，而不是用于项目整体。q概率/风险影响评分矩阵。q项目假设测试q数据精度排序5 Step Process -风险分析风险分析5步法步法第第1步：步：排定风险事件优先级排定风险事件优先级Screening，排除项目范围之外的事件，排除项目范围之外的事件是否可保险？是否可保险？第第2步：步：确定风险事件的概率（方法多样：确定风险事件的概率（方法多样：decision tree, ）仅是预估（仅是预估（estimate）,最好根据类似项目最好根据类似项目/good
106、experience第第3步：步：评估后果和严重性评估后果和严重性 （Assess consequences and severity）损失量（损失量（Amount at Stake）关键程度关键程度第第4步：步：为每一项风险事件制定减轻战略（为每一项风险事件制定减轻战略（Mitigation strategy）根据实施成本根据实施成本/重要性对减轻战略排序重要性对减轻战略排序第第5步：步：结构累计，形成结构累计，形成“结论与建议结论与建议”Risk Response Planning 风险应对计划风险应对计划q风险应对计划应准备多套。q战略制定后，相应贯彻执行活动也要制定出来。q战略要按顺序
107、选。（primaryandbackupstrategy）战略包括:qAvoidance（回避）qTransference=Deflect(转嫁)qMitigation（减轻）qAcceptance（接受）回避回避 Avoidanceq改变项目计划，以消除风险或其存在的条件，或保护项目目标不受其影响。q有些风险事件在项目早期发生，可以通过澄清要求、获取信息、加强沟通或取得专家意见等方法处理。如：缩小范围，回避高风险活动。增加资源或延长工期。采用熟悉的方法。尽量不用不熟悉的分包商。转嫁转嫁 Transferenceq力图将后果连同应对的责任转移给第3方承担。q不是消除风险。q最适合用在财务风险上（
108、如：票据贴现）。q总会涉及为风险承担支付保险费。q方法有：保险，履约保证书，担保书，保证书Insurance,performancebonds,warranties,guarantees合同本身可以将详细、明确的责任转嫁给第3方。q转嫁Transference又叫Deflection减轻减轻 Mitigationq力图降低不利风险事件发生的概率和/或影响后果(impactconsequences)，到可接受的临界点（Threshold）。q及早采取措施比事后努力弥补要有效得多。q风险减轻可以采取实施新的能减少问题的行动方针。采用不复杂的流程。进行更多的检测，或选择更稳定的销售方。q包括变更条件
109、（changecondition）来降低风险发生概率。接受接受 Acceptanceq项目团队决定不改变项目计划。有2种类型：q被动接受（PassiveAcceptance）没有措施。当风险发生时由项目团队去解决。q主动接受（ActiveAcceptance）事先制订应急计划（contingency plan），一旦风险发生就可实施。后备权变计划（fallbackplan）：当风险的影响很大，或所选战略不完全奏效时。触发机制（Trigger）要被明确定义和跟踪。如：错过的里程碑。最常见的风险接受是为已知风险建立一个偶发事件补贴金（allowance）或储备金(reserves)，包括：时间、金
110、钱和资源。风险的其他概念风险的其他概念q残留风险（Residualrisk）采取规避、转移或缓解措施后余留的风险。包括次要风险。q二次风险(Secondaryrisk)采取风险应对措施而产生的风险。q权变风险(Workaroundrisk)对前期未识别/接受的风险的出现采取未计划的应对。Procurement Planning 采购计划采购计划q采购计划采购计划回答了:Whether,How,What,Howmuch,Whenq采购管理计划采购管理计划ProcurementManagementPlanDescribeshowprocurementprocesswillbemanagedType
111、ofcontractIndependentestimatesneeded?AutonomyofprojectteamStandardizeddocumentsMultipleprovidermanagement?Incorporatewithotherprojectaspects(schedulingandperformancereporting)采购计划的工具和技术采购计划的工具和技术 PMBOK12.1.2qMakeorBuyanalysisdetermineiftheservicecanbeprovidedfromwithinIncludedirectandindirectcostsFa
112、ctorongoingneedforitemsvs.1-timeusageqExpertJudgmentassessinputqContracttypeselection固定总价合同FixedPrice(lumpsum,orfirmfixedprice)成本补偿合同CostReimbursable(CR)时间和材料合同TimeandMaterials（T&M）Make or Buy?q3个主要考虑方面:1.成本Costconsideration2.能力CapabilityIssues3.市场MarketplaceIssuesBuy todecreaserisk(cost,schedule,pe
113、rformance,scopeofwork)MakeIdleplantorworkforceRetaincontrolProprietaryinformation/proceduresBuyvs.leasequestions(useX=numberofdayswhenpurchaseandleasecostsareequal)Contract Typesq成本补偿合同成本补偿合同 Cost Reimbursable (CR)Sellerscostarereimbursed;buyerbearshighestrisk(costincreases)CPFFcostplusfixedfee,buye
114、rpaysallcosts+fee(profit)establishedCPPCcostpluspercentageofcosts;badforbuyers(sellernotmotivatedtocontrolcosts)CPIFcostplusIncentiveFee;sellercosts+fee+bonusformeeting/exceedingtarget(incentiveclause)q固定总价合同固定总价合同 Fixed Price (lump sum, or firm fixed price) Mostcommon(1priceforallwork),riskofcostsi
115、suponsellerFPIFFixedPriceIncentiveFeeFPEPAFixedPriceEconomicPriceAdjustmentlongdurationprojectsq时间和材料合同时间和材料合同 Time and Materials（T&M）是fixedpricecontractandcostreimbursablecontracts的混合体。总价不确定，但单价确定buyerhasmediumriskCost-Plus-PercentageofCost(CPPC)Sellerisreimbursedforallowablecostsofperformingthecon
116、tractandreceivesasprofitanagreeduponpercentageofthecosts.Nolimitonthesellersprofit.Ifthesellerscostincreases,sodoestheprofit.Mostundesirabletypeofcontractfrombuyersstandpoint.Prohibited for federal government use.Used in private industry, particularly construction projects.Susceptibletoabuse.Nomotiv
117、ationforsellertodecreasecosts.Thebuyerbears100%oftherisk.Thebuyerprojectmanagermustpayparticularattentiontothecontrolofthelaborandmaterialcostssothatthesellerdoesnotpurposelyincreasethesecosts.Bottomline:no limit on sellers profit!Sample:Estimatedcost:$1,000KPercentage:10%($100K)Estimatedtotalprice:
118、$1,100K(Estimatedcost+10%*Estimatedcost)Ifcostincreasesto$1,100Kthetotalpricewouldbe$1,100Kplus10%oftheactualcosts=$1,210K.Cost-Plus-FixedFee(CPFF)Sellerisreimbursedforallowablecostsofperformingthecontractandreceivesasprofitafixedfeepaymentbasedonthepercentageoftheestimatedcosts.Thefixedfeedoesnotva
119、rywithactualcostsunlessthescopeofworkchanges.Susceptibletoabuseinthatthereisaceilingonprofit,butnomotivationtodecreasecosts.Primarilyusedinresearchprojectswheretheeffortrequiredtoachievesuccessisuncertainuntilwellafterthecontractissigned.Bottomline:limitonprofitbutnoincentivetocontrolcosts.Sample:Es
120、timatedcost:$1,000KPercentage:10%($100K)Estimatedtotalprice:$1,100K(Estimatedcost+10%*Estimatedcost)Ifcostincreasesto$1,100Kthetotalpricewouldbe$1,100Kplus10%oftheoriginalestimatedcosts=$1,200K.Cost-Plus-IncentiveFee(CPIF)Sellerispaidforallowableperformancecostsalongwithapredeterminedfeeandanincenti
121、vebonus.Ifthefinalcostsarelessthantheexpectedcosts,boththebuyerandsellerbenefitbythecostsavingsbasedonapre-negotiatedsharingformula.Thesharingformulareflectsthedegreeofuncertaintyfacedbyeachparty.Primarilyusedwhencontractsinvolvealongperformanceperiodwithasubstantialamountofhardwaredevelopmentandtes
122、trequirements.Riskissharedbybothbuyerandseller.Bottomline:providesincentivetosellertoreducecostsbyincreasingprofitpotential.Sample:Estimatedcost:$1,000KPredeterminedfee:$100K(Minimum$10K,Maximum$200K)Sharingformula:85/15(buyerabsorbs85%andthesellerabsorbs15%oftherisk)Actualcost:$800KSharing:$200K*.1
123、5=30KFee:100KSellergets:$930K(Actualcost+Fee+15%*Savings)Buyersaves:$170K 问题：如果实际成本为2，000K呢？$200KFixedPrice-Plus-IncentiveFee(FPI)Mostcomplextypeofcontract.Consistsoftargetcost,targetprofit,targetprice,ceilingprice,andshareratio.Foreverydollarthesellercanreducecostsbelowthetargetcost,thesavingswillb
124、esharedbythesellerandbuyerbasedontheshareratio.Theshareratioisanegotiatedformulawhichreflectsthedegreeofuncertaintyfacedbyeachparty.Ifthecostsexceedtheceilingprice,thesellerreceivesnoprofit.Regardlessoftheactualcosts,thebuyerpaysnomorethantheceilingprice.Riskissharedbybothbuyerandseller,butriskisusu
125、allyhigherforseller.Usuallyusedwhencontractsareforasubstantialsumandinvolvealongproductiontime.Bottomline:providesincentivetodecreasecostswhichinturnincreasesprofits.Ifcostsexceedaceiling,thencontractorispenalized.MustHave:TargetCost，TargetFee，TargetPrice，SharingRatio(buyer/seller)，ActualCostFee=(Ta
126、rgetCostActualCost)xSellerRatio(%)TotalFee=Fee+TargetFeeFinalPrice=ActualCost+TotalFeeFixedPrice-Plus-IncentiveFee(FPI)-ContSample:目标成本Targetcost:$1,000K目标利润Targetprofit:$100K(Sellersfee)目标价格Targetprice:$1,100K封顶价格Ceilingprice:$1,300K(Themaximumpayouttotheseller)分享比例Shareratio:70/30例1:实际成本Actualcost
127、:$800K分享Sharing:$200K*30%=60K费用Fee:100K卖方获得Sellergets:$960K(Actualcost+fee+30%*savings)买方节约Buyersaves:$140K(1100-960)例2:实际成本Actualcost:$1,400K卖方获得Sellergets:$1,300K(noprofitanda$100Klossoncosts)买方损失Buyerloses:$200K问题：如果实际成本为1,200K呢？Firm-FixedPrice(FFP)Selleragreestoperformaserviceorfurnishsuppliesat
128、theestablishedcontractprice.Willalsobecalledlump sum.Sellerbearsthegreatestdegreeofrisk.Sellerismotivatedtodecreasecostsbyproducingefficiently.Bestspecificationsareavailableandcostsarerelativelycertain.Commontypeofcontract.Sample:Price:$1,000KExampleA:Actualcost:$700KSellermakesaprofitof$300K(Price-
129、ActualCost)ExampleB:Finalcost$1,100KSellerloses$100KoncontractStatement of Work (SOW)工作说明工作说明 PMBOK12.1.3.2 q工作说明工作说明 Statement of work(SOW)又可被称为需求说明（SOR）“Sufficientdetail”,使卖方确定是否有能力完成。“Sufficientdetail”实际是一种主观判断。所以可基于事项的自然属性、买方需要和预期合同格式有所变化。尽可能：清楚、完整和精确。（clear,completeandconcise）可被修订和精炼(reviseandr
130、efine)。一个采购项有一个SOW;但多个产品或服务可能被组成一个采购项，就有仅一个SOW。q工作说明与目标说明（工作说明与目标说明（SOO）SOW-采购的是清晰并详细说明的产品或服务。SOO-采购的事项是一个要解决的问题。采购文档采购文档 PMBOK12.2.3.1q用于从可能的卖主中索要建议书。q投标邀请书(InvitationforBid-IFB)q询价书(RequestforQuote-RFQ)最好的价格q建议书邀请函(RequestforProposalRFP)详细需求，要求谈判q征集信息书(InvitationforInformation)仅征集信息，不请求报价q以便于卖主做出准
131、确、全面答复为目的进行结构设计。应该包括：SOW,对期望答复形式的说明、必要的合同条款（保密条款）Maybedefinedbyregulation（政府采购）严格（Rigorousensureconsistent,comparableresponse）灵活（Flexibletoallowsellersuggestions）评估标准评估标准 PMBOK12.2.3.2q用于对建议书进行排序或评分。可以是客观或主观的。Rateproposals;objectiveorsubjective(previousexperience,seldomstraight-forward)例如：价格Price(lo
132、westpricemaynotalwaysresultinlowestprojectcost)理解卖方的需要。Understandingofneedbyseller总成本/生命周期成本。Overall/LifeCyclecost(purchaseplusoperatingcost)技术能力TechnicalCapability管理方法ManagementApproach财务能力FinancialCapacity技术与商务的比较Technical(approach)mercial(price)Bidders Conference 投标人会议投标人会议 PMBOK12.3.2.1q又叫：承包商会议
133、contractorconference,供货商会议vendorconferences,标前会议pre-bidconferenceq准备建议书之前，保证所有的卖主对采购有清楚和共同的理解。q问题的答复可作为补充并入采购文档。q要注意的是：防止勾结（Collusion）卖主不要在其竞争对手面前提问。Sellersnotaskingquestionsinfrontoftheircompetition确保所有问题（和答案）都是书面的，并交到所有卖主手中。Makesureallquestionsandanswersareinwritingandissuedtoallsellers(respondtos
134、amescopeinwork)Contract Negotiation 合同谈判合同谈判 PMBOK12.4.2.1q谈判的目的：NegotiationObjectives获得一个公平合理的价格。Obtainafairandreasonableprice与卖方发展友好关系。Developmentagoodrelationshipwithseller项目经理一定要参与。Projectmanagermustbeinvolvedq谈判的主要条款：MainTermstonegotiate责任Responsibilities权力Authority适用的法律ApplicableLaw技术与商务管理的方法T
135、echnicalandBusinessManagementapproaches合同融资ContractFinancing价格Priceq复杂采购项目的合同谈判可能是一个独立的过程，有独立的输入和输出。 供方选择的其他工具和技术供方选择的其他工具和技术 PMBOK12.4.2q加权系统Weightingsystemq筛选系统ScreeningSystem最低绩效标准Establishminimumperformancecriteriaq独立估算IndependentEstimates“Shouldcost”estimates,又称“标底”Contract 合同合同q合同合同 Contract:规
136、定卖方履行提供指定产品和买方履行支付义务的双规定卖方履行提供指定产品和买方履行支付义务的双方相互约束的协议。（方相互约束的协议。（Mutuallybindingagreementobligatessellerprovidegoodsandservicesandbuyertomakepayment.）q合同的要素是什么？合同的要素是什么？What forms a contract？qUnilateral ContractqBilateral Contract1. Legality法律2. Capacity能力(able to contract)3. Consideration对价 (comply
137、 with the contract)4. Offer （提议）5. Acceptance（接受）卖方买方Contract Administration 合同管理合同管理q确保卖方履行合同要求的过程。Ensuringthatthesellersperformancemeetscontractualrequirements项目团队必须意识到所采取的行动的法律含义。ProjectTeammustbeawareoflegalimplicationsofallactionstaken在合同关系中应用适当的项目管理过程，并将这些过程的输出集成到项目的集成管理中。Applyprojectmanagemen
138、tprocessestocontractualrelationshipsandintegrateoutputswithintheprojectProjectPlanExecution(authorizework)PerformanceReporting(monitorcost,schedule)QualityControl(verifycontractorsoutput)ChangeControlFinancialManagement 结束合同的结束合同的3种方式种方式1.成功完成（成功完成（Successful Completion）2.双方协商同意（双方协商同意（Mutual Agreem
139、ent）No cost settlement3. 实质性违约（实质性违约（Material Breach）Contract Closeout合同收尾合同收尾 (PMBOK12.6)q采购审计Procurementaudit对从采购计划编制到合同管理的全过程的结构性审查。目的：经验教训lessonslearned，成功和失败事项。q产品核实（Productverification）全部工作正确并满意地完成？q行政收尾（Administrativecloseout）q正式验收：要求一般在合同中订立。Administrative Closure行政收尾行政收尾 (PMBOK10.4)q关键活动：收集
140、并发布信息使项目正式收尾。q发生在每个阶段末。q不是所有项目都进行合同收尾，但都进行行政收尾。q项目档案（projectarchives）:包括任何项目文档。注意：财务记录的归档。1。合同项目2。项目中有大型采购。9、静夜四无邻，荒居旧业贫。2024/9/212024/9/21Saturday, September 21, 202410、雨中黄叶树，灯下白头人。2024/9/212024/9/212024/9/219/21/2024 2:33:45 AM11、以我独沈久，愧君相见频。2024/9/212024/9/212024/9/21Sep-2421-Sep-2412、故人江海别，几度隔山川
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