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12.1 Plan Procurement Management
- 2. Plan Procurement Management Coincides with PMBOK 12.1 Process Group and Knowledge Area Mapping Knowledge Areas Initiating Planning Process Group Executing Process Group Monitoring and Controlling Process Group Closing Process Group 4. Project Integration Management 4.1 Develop Project Charter 4.2 Develop Project Management Plan 4.3 Direct and Manage Project Work 4.4 Manage Project Knowledge 4.5 Monitor and Control Project Work 4.6 Perform Integrated Change Control 4.7 Close Project or Phase 5. Project Scope Management 5.1 Plan Scope Management 5.2 Collect Requirements 5.3 Define Scope 5.4 Create WBS 5.5 Validate Scope 5.6 Control Scope 6. Project Schedule Management 6.1 Plan Schedule Management 6.2 Define Activities 6.3 Sequence Activities 6.4 Estimate Activity Durations 6.5 Develop Schedule 6.6 Control Schedule 7. Project Cost Management 7.1 Plan Cost Management 7.2 Estimate Costs 7.3 Determine Budget 7.4 Control Costs 8. Project Quality Management 8.1 Plan Quality Management 8.2 Manage Quality 8.3 Control Quality 9. Project Resource Management 9.1 Plan Resource Management 9.2 Estimate Activity Resources 9.3 Acquire Resources 9.4 Develop Team 9.5 Manage Team 9.6 Control Resources 10. Project Communications Management 10.1 Plan Communications Management 10.2 Manage Communications 10.3 Monitor Communications 11. Project Risk Management 11.1 Plan Risk Management 11.2 Identify Risks 11.3 Perform Qualitative Risk Analysis 11.4 Perform Quantitative Risk Analysis 11.5 Plan Risk Responses 11.6 Implement Risk Responses 11.7 Monitor Risks 12. Project Procurement Management 12.1 Plan Procurement Management 12.2 Conduct Procurements 12.3 Control Procurements 13. Project Stakeholder Management 13.1 Identify Stakeholders 13.2 Plan Stakeholder Engagement 13.3 Manage Stakeholder Engagement 13.4 Monitor Stakeholder Engagement
- 3. What is it? Plan Procurement Management is the process of documenting project procurement decisions, specifying the approach and identifying potential sellers. Why? The key benefit of this process is that it determines whether to acquire goods and services from outside the project and, if so, what to acquire as well as how and when to acquire it. Goods and services may be procured from other parts of the performing organization or from external sources. Plan Procurement Management Coincides with PMBOK 12.1
- 4. Plan Procurement Management Coincides with PMBOK 12.1 Inputs, Tools & Techniques and Outputs Inputs Tools & Techniques Outputs 1. Project charter 2. Business documents • Business case • Benefits management plan 3. Project management plan • Scope management plan • Quality management plan • Resource management plan • Scope baseline 4. Project documents • Milestone list • Project team assignments • Requirements documentation • Requirements traceability matrix • Resource requirements • Risk register • Stakeholder register 5. Enterprise environmental factors 6. Organizational process assets 1. Expert judgment 2. Data gathering • Market research 3. Data analysis • Make-or-buy analysis 4. Source selection analysis 5. Meetings 1. Procurement management plan 2. Procurement strategy 3. Bid documents 4. Procurement statement of work 5. Source selection criteria 6. Make-or-buy decisions 7. Independent cost estimates 8. Change requests 9. Project documents updates • Lessons learned register • Milestone list • Requirements documentation • Requirements traceability matrix • Risk register • Stakeholder register 10. Organizational process assets updates
- 5. Plan Procurement Management Coincides with PMBOK 12.1 12.1 Plan Procurement Management Project Management Plan Enterprise / Organization • Procurement management plan • Enterprise environmental factors • Organizational process assets Project Documents • Procurement strategy • Procurement statement of work • Bid documents • Make-or-buy decisions • Independent cost estimates Project Documents • Scope management plan • Quality management plan • Resource management plan • Scope baseline • Business case • Benefits management plan Business Documents 4.1 Develop Project Charter Project Management Plan 4.6 Perform Integrated Change Control • Lessons learned register • Milestone list • Requirements documentation • Requirements traceability matrix • Risk register • Stakeholder register Enterprise / Organization Procurement Documentation • Change requests • Organizational process assets updates • Milestone list • Project team assignments • Requirements documentation • Requirements traceability matrix • Resource requirements • Risk register • Stakeholder register
- 6. Plan Procurement Management Coincides with PMBOK 12.1 Overview Participants in the procurement process may include personnel from the purchasing or procurement department as well as personnel from the buying organization’s legal department. Typical steps in Procurement Management might be: 1. Prepare the procurement statement of work (SOW) or terms of reference (TOR) 2. Prepare a high-level cost estimate to determine the budget 3. Advertise the opportunity 4. Identify a short list of qualified sellers 5. Prepare and issue bid documents 6. Prepare and submit proposals by the seller 7. Conduct a technical evaluation of the proposals including quality 8. Perform a cost evaluation of the proposals 9. Prepare the final combined quality and cost evaluation to select the winning proposal 10. Finalize negotiations and sign contract between the buyer and the seller
- 7. Plan Procurement Management - Inputs Coincides with PMBOK 12.1 Project Charter The project charter contains the objectives, project description, summary milestones, and the preapproved financial resources.
- 8. Plan Procurement Management - Inputs Coincides with PMBOK 12.1 Business Documents In the first iteration of the Identify Stakeholders process, the business case and the benefits management plan are sources of information about the project’s stakeholders. • Business case. • Benefits management plan.
- 9. Plan Procurement Management - Inputs Coincides with PMBOK 12.1 Project Management Plan Project management plan components include: • Scope management plan • Quality management plan • Resource management plan • Scope baseline • WBS, WBS Dictionary, Statement of Work, Terms of Reference
- 10. Plan Procurement Management - Inputs Coincides with PMBOK 12.1 Project Documents Project documents that can be considered as inputs for this process include: 1. Milestone list 2. Project team assignments 3. Requirements documentation • Technical requirements that the seller is required to satisfy • Requirements with contractual and legal implications 4. Requirements traceability matrix 5. Resource requirements 6. Risk register 7. Stakeholder register
- 11. Enterprise Environmental Factors The Enterprise Environmental Factors that can influence the Plan Procurement Management process include: • Marketplace conditions • Products, services, and results that are available in the marketplace • Sellers, including their past performance or reputation • Typical terms and conditions for products, services, and results or for the specific industry • Unique local requirements, such as regulatory requirements for local labour or sellers • Legal advice regarding procurements • Contract management systems, including procedures for contract change control • Established multi-tier supplier system of prequalified sellers based on prior experience • Financial accounting and contract payments system Plan Procurement Management - Inputs Coincides with PMBOK 12.1
- 12. Organisational Process Assets The organizational process assets that can influence the Plan Procurement Management process include: 1. Preapproved seller lists 2. Formal procurement policies, procedures, and guidelines Plan Procurement Management - Inputs Coincides with PMBOK 12.1
- 13. Organisational Process Assets The various types of contractual agreements used by the organization also influence decisions for the Plan Procurement Management process: 3. Contract types • Fixed-price contracts • Firm fixed price (FFP) • Fixed price incentive fee (FPIF) • Fixed price with economic price adjustments (FPEPA) Plan Procurement Management - Inputs Coincides with PMBOK 12.1
- 14. Organisational Process Assets 4. Cost-reimbursable contracts • Cost plus fixed fee (CPFF) • Cost plus incentive fee (CPIF) • Cost plus award fee (CPAF) 5. Time and material contracts (T&M) Plan Procurement Management - Inputs Coincides with PMBOK 12.1
- 15. Plan Procurement Management – Tools & Techniques Coincides with PMBOK 12.1 Expert Judgement Expertise should be considered from individuals or groups with specialized knowledge or training in the following topics: • Procurement and purchasing • Contract types and contract documents • Regulations and compliance topics
- 16. Plan Procurement Management – Tools & Techniques Coincides with PMBOK 12.1 Meetings Research alone may not provide specific information to formulate a procurement strategy without additional information interchange meetings with potential bidders. By collaborating with potential bidders, the organization purchasing the material or service may benefit while the seller can influence a mutually beneficial approach or product. Meetings can be used to determine the strategy for managing and monitoring the procurement.
- 17. Plan Procurement Management – Tools & Techniques Coincides with PMBOK 12.1 Data Gathering A data-gathering technique that can be used for this process includes but is not limited to market research. Market research includes examination of industry and specific seller capabilities. Procurement teams may leverage information gained at conferences, online reviews, and a variety of sources to identify market capabilities.
- 18. Plan Procurement Management – Tools & Techniques Coincides with PMBOK 12.1 Data Analysis Data analysis techniques that can be used for this process include but are not limited to make-or-buy analysis. A make-or-buy analysis is used to determine whether work or deliverables can best be accomplished by the project team or should be purchased from outside sources. Make-or-buy analysis may use payback period, return on investment (ROI), internal rate of return (IRR), discounted cash flow, net present value (NPV), benefit/cost analysis (BCA), or other techniques in order to decide whether to include something as part of the project or purchase it externally.
- 19. Plan Procurement Management – Tools & Techniques Coincides with PMBOK 12.1 Source Selection Analysis It is necessary to review the prioritization of the competing demands for the project before deciding on the selection method. Since competitive selection methods may require sellers to invest a large amount of time and resources upfront, it is a good practice to include the evaluation method in the procurement documents so bidders know how they will be evaluated.
- 20. Plan Procurement Management – Tools & Techniques Coincides with PMBOK 12.1 Source Selection Analysis Commonly used selection methods include the following: • Least cost • Qualifications only • Quality-based/highest technical proposal score • Quality and cost-based • Sole source • Fixed budget
- 21. The procurement management plan contains the activities to be undertaken during the procurement process. It should document whether international competitive bidding, national competitive bidding, local bidding, etc., should be done. A procurement management plan can be formal or informal, can be highly detailed or broadly framed, and is based upon the needs of each project. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Procurement Management Plan
- 22. The procurement management plan can include guidance for: • How procurement will be coordinated with other project aspects, such as project schedule development and control processes • Timetable of key procurement activities • Procurement metrics to be used to manage contracts • Stakeholder roles and responsibilities related to procurement • Constraints and assumptions that could affect planned procurements; • The legal jurisdiction and the currency in which payments will be made • Determination of whether independent estimates will be used • Risk management issues including identifying requirements for insurance contracts to mitigate some forms of project risk • Prequalified sellers, if any, to be used Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Procurement Management Plan
- 23. Once the make-or-buy analysis is complete and the decision is made to acquire from outside the project, a procurement strategy should be identified, and include: 1. Delivery methods 2. Contract payment types 3. Procurement phases Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Procurement Strategy
- 24. Bid documents are used to solicit proposals from prospective sellers. Terms such as bid, tender, or quotation are generally used when the seller selection decision is based on price, while a term such as proposal is generally used when other considerations such as technical capability or technical approach are the most important. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Bid Documents
- 25. Depending on the goods or services needed, the bidding documents can include: 1. Request for information (RFI) 2. Request for quotation (RFQ) 3. Request for proposal (RFP) Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Bid Documents
- 26. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Procurement Statement of Work The statement of work (SOW) for each procurement is developed from the project scope baseline and defines the scope to be included in the contract. It should be clear and concise. Terms of Reference might include: • Tasks the contractor is required to perform • Standards the contractor will fulfil • Data that needs to be submitted for approval; • Detailed list of all data and services that will be provided to the contractor by the buyer • Definition of the schedule
- 27. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Source Selection Criteria In choosing evaluation criteria, the source selection criteria may include: • Capability and capacity • Product cost and life cycle cost • Delivery dates • Technical expertise and approach • Specific relevant experience • Adequacy of the proposed approach and work plan in responding to the SOW • Key staff’s qualifications, availability, and competence • Financial stability of the firm • Management experience • Suitability of the knowledge transfer program, including training
- 28. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Make or Buy Decisions A make-or-buy analysis results in a decision as to whether particular work can best be accomplished by the project team or needs to be purchased from outside sources. A typical measure is “payback period”, where ongoing cost is measured against the initial cost for each.
- 29. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Independent Cost Estimates The procuring organization may elect to have a cost estimate prepared by an outside professional estimator to serve as a benchmark on proposed responses. Significant differences in cost estimates can be an indication that the procurement SOW was deficient or ambiguous, or that the prospective sellers either misunderstood or failed to respond fully to the procurement SOW.
- 30. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Change Requests A decision that involves procuring goods, services, or resources may require a change request. Changes to the project management plan, its subsidiary plans, and other components may result in change requests that impact procurement actions. Change requests are processed for review and disposition through the Perform Integrated Change Control process (4.6).
- 31. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Procurement Documents Updates Project documents that may be updated as a result of carrying out this process include but are not limited to: • Assumption log • Issue log • Lessons learned register • Risk register • Risk report
- 32. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Organisational Process Assets Updates For projects with few procurements and relatively simple procurements, some of these outputs may be combined. However, for projects with large, complex procurements and where much of the work is done by contractors, there are several different types of documentation
- 33. Plan Procurement Management – Outputs Coincides with PMBOK 12.1 Organisational Process Assets Updates
Notas del editor
- This process is performed throughout the project.
- The procurement strategy and business case need to be aligned to ensure the business case remains valid The benefits management plan describes when specific project benefits are expected to be available, which will drive procurement dates and contract language.
- The scope management plan describes how the scope of work by the contractors will be managed through the execution phase of the project. The quality management plan contains the applicable industry standards and codes the project is required to follow. This information is used in bidding documents such as the RFP and will eventually be referenced in the contract. This information may be used in supplier prequalification or as part of the selection criteria. The resource management plan has information on which resources will be purchased or leased, along with any assumptions or constraints that would influence the procurement. The scope baseline contains the scope statement, WBS, and WBS dictionary. Early in the project, the project scope may still be evolving. The elements of the scope that are known are used to develop the statement of work (SOW) and the terms of reference (TOR).
- This list of major milestones show when the sellers are required to deliver their results. The project team assignments contain information on the skills and abilities of the project team and their availability to support the procurement activities. If the project team does not have the skills to perform the procurement activities for which they are responsible, additional resources will need to be acquired or training will need to be provided, or both. Requirements documentation: that may include health, safety, security, performance, environmental, insurance, intellectual property rights, equal employment opportunity, licenses, permits The requirements traceability matrix links product requirements from their origin to the deliverables that satisfy them. Resource requirements contain information on specific needs such as team and physical resources that may need to be acquired. The risk register provides the list of risks, along with the results of risk analysis and risk response planning. Some risks are transferred via a procurement agreement. The stakeholder register provides details on the project participants and their interests in the project, including regulatory agencies, contracting personnel, and legal personnel.
- Lists of sellers that have been properly vetted can streamline the steps needed to advertise the opportunity and shorten the timeline for the seller selection process. Most organizations have formal procurement policies and buying organizations. When such procurement support is not available, the project team should supply both the resources and the expertise to perform such procurement activities.
- All legal contractual relationships generally fall into one of two broad families: either fixed-price or cost-reimbursable. Also, there is a third hybrid type commonly used called the time and materials contract. The more popular contract types in use are discussed below as discrete types, but, in practice, it is not unusual to combine one or more types into a single procurement. This category of contracts involves setting a fixed total price for a defined product, service, or result to be provided. These contracts should be used when the requirements are well defined and no significant changes to the scope are expected. The most commonly used contract type is the FFP. It is favored by most buying organizations because the price for goods is set at the outset and not subject to change unless the scope of work changes. This fixed-price arrangement gives the buyer and seller some flexibility in that it allows for deviation from performance, with financial incentives tied to achieving agreed-upon metrics. Typically, such financial incentives are related to cost, schedule, or technical performance of the seller. Under FPIF contracts, a price ceiling is set, and all costs above the price ceiling are the responsibility of the seller. This type is used whenever the seller’s performance period spans a considerable period of years, or if the payments are made in a different currency. It is a fixed-price contract, but with a special provision allowing for predefined final adjustments to the contract price due to changed conditions, such as inflation changes or cost increases (or decreases) for specific commodities.
- This category of contract involves payments (cost reimbursements) to the seller for all legitimate actual costs incurred for completed work, plus a fee representing seller profit. This type should be used if the scope of work is expected to change significantly during the execution of the contract. The seller is reimbursed for all allowable costs for performing the contract work and receives a fixed-fee payment calculated as a percentage of the initial estimated project costs. Fee amounts do not change unless the project scope changes. The seller is reimbursed for all allowable costs for performing the contract work and receives a predetermined incentive fee based on achieving certain performance objectives as set forth in the contract. In CPIF contracts, if the final costs are less or greater than the original estimated costs, then both the buyer and seller share costs from the departures based upon a pre-negotiated cost-sharing formula, for example, an 80/20 split over/under target costs based on the actual performance of the seller. The seller is reimbursed for all legitimate costs, but the majority of the fee is earned based on the satisfaction of certain broad subjective performance criteria that are defined and incorporated into the contract. The determination of fee is based solely on the subjective determination of seller performance by the buyer and is generally not subject to appeals. Time and material contracts (also called time and means) are a hybrid type of contractual arrangement with aspects of both cost-reimbursable and fixed-price contracts. They are often used for staff augmentation, acquisition of experts, and any outside support when a precise statement of work cannot be quickly prescribed.
- Factors to consider in the make-or-buy decision include the organization’s current resource allocation and their skills and abilities, the need for specialized expertise, the desire to not expand permanent employment obligations, and the need for independent expertise. It also includes evaluating the risks involved with each make-or-buy decision.
- Least cost. The least cost method may be appropriate for procurements of a standard or routine nature where well-established practices and standards exist and from which a specific and well-defined outcome is expected, which can be executed at different costs. Qualifications only. The qualifications only selection method applies when the time and cost of a full selection process would not make sense because the value of the procurement is relatively small. The buyer establishes a short list and selects the bidder with the best credibility, qualifications, experience, expertise, areas of specialization, and references. Quality-based/highest technical proposal score. The selected firm is asked to submit a proposal with both technical and cost details and is then invited to negotiate the contract if the technical proposal proves acceptable. Using this method, technical proposals are first evaluated based on the quality of the technical solution offered. The seller who submitted the highest-ranked technical proposal is selected if their financial proposal can be negotiated and accepted. Quality and cost-based. The quality and cost-based method allows cost to be included as a factor in the seller selection process. In general, when risk and/or uncertainty are greater for the project, quality should be a key element when compared to cost. Sole source. The buyer asks a specific seller to prepare technical and financial proposals, which are then negotiated. Since there is no competition, this method is acceptable only when properly justified and should be viewed as an exception. Fixed budget. The fixed-budget method requires disclosing the available budget to invited sellers in the RFP and selecting the highest-ranking technical proposal within the budget. Because sellers are subject to a cost constraint, they will adapt the scope and quality of their offer to that budget. The buyer should therefore ensure that the budget is compatible with the SOW and that the seller will be able to perform the tasks within the budget. This method is appropriate only when the SOW is precisely defined, no changes are anticipated, and the budget is fixed and cannot be exceeded.
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- Delivery methods are different for professional services versus construction projects. For professional services, delivery methods include: buyer/services provider with no subcontracting, buyer/services provider with subcontracting allowed, joint venture between buyer and services provider, and buyer/services provider acts as the representative. For industrial or commercial construction, project delivery methods include but are not limited to: turnkey, design build (DB), design bid build (DBB), design build operate (DBO), build own operate transfer (BOOT), and others. Contract payment types are separate from the project delivery methods and are coordinated with the buying organization’s internal financial systems. They include but are not limited to these contract types plus variations: lump sum, firm fixed price, cost plus award fees, cost plus incentive fees, time and materials, target cost, and others. Fixed-price contracts are suitable when the type of work is predictable and the requirements are well defined and not likely to change. Cost plus contracts are suitable when the work is evolving, likely to change, or not well defined. Incentives and awards may be used to align the objectives of buyer and seller. The procurement strategy can also include information on procurement phases. Information may include: Sequencing or phasing of the procurement, a description of each phase and the specific objectives of each phase; Procurement performance indicators and milestones to be used in monitoring; Criteria for moving from phase to phase; Monitoring and evaluation plan for tracking progress; and Process for knowledge transfer for use in subsequent phases.
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- An RFI is used when more information on the goods and services to be acquired is needed from the sellers. It will typically be followed by an RFQ or RFP. An RFQ is commonly used when more information is needed on how vendors would satisfy the requirements and/or how much it will cost. An RFP is used when there is a problem in the project and the solution is not easy to determine. This is the most formal of the “request for” documents and has strict procurement rules for content, timeline, and seller responses.
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- During the Monitor Risks process, new assumptions may be made, new constraints may be identified, and existing assumptions or constraints may be revisited and changed. The assumption log is updated with this new information. Where issues are identified as part of the Monitor Risks process, these are recorded in the issue log. The lessons learned register is updated with any risk-related lessons learned during risk reviews so these can be used on later phases of the project or in future projects. The risk register is updated with information on individual project risks generated during the Monitor Risks process. This may include adding new risks, updating outdated risks or risks that were realized, updating risk responses, and so forth. As new information becomes available through the Monitor Risks process, the risk report is updated to reflect the current status of major individual project risks and the current level of overall project risk. The risk report may also include details of the top individual project risks, agreed upon responses and owners, and conclusions and recommendations. It may also include conclusions from risk audits on the effectiveness of the risk management process.
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