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Phase 2

Storms of Chaos


Step 1 - Waves

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Step 4 - The Storm

Winning Competition


Step 5 - The Ship

Leading Your Ship


Phase 3



Phase 3

Drivers of Change


Step 1 - External Environment

Step 2 - Building People

Human Resources

Step 3 - Organizational Structure

Step 4 - Internal Environment

Step 5 - Systems Thinking


Employee Retention

Future Organization

Phase 4



Phase 4

Systems Loops


Open System


Phase 5



Phase 3

3 Phases of Change


Step 1 - Before the Change

Step 2 - During the Change

Step 3 - After the Change






This page is under construction!


Concept Phase

Ronnie McCoy, UoP 2005


The following excerpt is a great analysis of the startup phase of a project. Defining success is critical to any project, and the article suggests examining variables of success in order to insure the project meets the expectations of everyone. Every project is unique in its characteristics, and assigning weighted variables to each success dimension permits all parties to have satisfaction upon completion. In addition, market conditions and other factors must have weight with the variables of satisfaction in order to measure a project’s success. In the end, the success of a project depends solely upon the definition of success outlined in the beginning. Therefore, many projects do not completely fail. The leaders of the project simply failed to define success. (Shenhar et al., 2001)

Shenhar, A.J., Dvir, D., Ofer, L., & Maltz, A.C. (2001). Project Success: A Multidimensional Strategic Concept. Retrieved September 5, 2005, from,




PMI PMBOK PMP Certification Chart 1


PMP Chart 1

1.1.1.D - Project Charter


The Charter is a document that fully authorizes a project and provides a PM with authority to apply organization resources to project activities.  A(n) initiator/sponsor issues the charter.  This person or group is external to the project and can fund the project.  The performing organization authorizes the charter based on:

1.     Market demand,

2.     Business need,

3.     Customer request,

4.     Technology advance,

5.     Legal requirement, and

6.     Social need.

The charter links the project to business objectives that may include:

1.     requirements overview,

2.     summary milestones,

3.     PM authority level,

4.     constraints and assumptions,

5.     business case justification,

6.     summary budget assumptions,

7.     business case justification, and

8.     summary budget.





Craig A. Stevens, Facilitation on Charters



Project Charter Fundamentals:

1. Set boundaries for the project.
2. It is as concise as possible.
3. Identify names and titles of responsibility.
4. Map out the flow of documentation and information in advance.
5. Establish expectations for change control, budget, and status reports.

Frank Merrell, UoP 2005


Project Charter Links:

  1. (contributed by  Eileen Tremblay YWCA/Trevecca, 2005

1.2.1.D - Preliminary Scope Statement (PSS)

The PSS is a narrative description of the project objectives, scope, constraints and assumptions.  It establishes project vision or future state from sponsor perspective.   It describes what needs to be accomplished on the project and documents characteristics and boundaries of the project and products.  May include:

1.     Objectives

2.     Acceptance criteria

3.     Constraints & assumptions

4.     Project organization

5.     Initial risks

6.     Schedule milestones

7.     Order of magnitude cost estimate

8.     Scope narrative developed from information provided by the project initiator or sponsor.


1.3.1.D - The Project Management Plan (PMP)


The Project Management plan is a formal, approved document defining how the project will be [planned], executed, monitored and controlled, and closed.  The PMP includes:

1.     PM processes elected and level of implementation of each

2.     Descriptions tools and techniques used in each process

3.     Change control and configuration management procedures

4.     How baselines will be maintained and used

The Project Management Plan is composed of subsidiary management plans and documents that include:

1.     Scope management plan,

2.     Schedule management plan,

3.     Cost management plan,

4.     Quality management plan,

5.     Staffing management plan,

6.     Communication management plan,

7.     Risk management plan,

8.     Procurement management plan,

9.     Milestone list,

10.  Resource calendar,

11.  Schedule baseline,

12.  Cost baseline,

13.  Quality baseline, and

14.  Risk register.


Project Management Information Systems (PMIS)


Project Management Information Systems (PMIS) is a tool used throughout the integration process group and is the “Life-support system for the Project Management Plan.”  The PMIS is an automated information system that supports the generation of project planning documents (charter, scope statement, other MPs).  The PMIS is used to facilitate recording and tracking of all project information and to enable updates to all planning documents during execution.  The PMIS includes Configuration Management and Change Control Systems.


PMP Change Control and PMIS


Compare this figure with the way a professional Configuration Manager Might View Change Control.




Real CM


Enterprise Environmental Factors (EEF) – Are the factors that surround and influence project success.  It is input into 16 of the 44 processes[mostly planning].   EEF’s may include:

1.     Company culture & structure,

2.     Regulatory environment,

3.     Industry standards,

4.     Stakeholder risk tolerance,

5.     Available infrastructure, and

6.     Personnel administration.


Organizational Process Assets (OPA) OPA’s are assets used to influence project success.  They represent knowledge from other projects, processes, and organizations.  OPA’s are input into 25 of the 44 processes [mostly planning] and include:

1.     Policies and procedures,

2.     Completed schedules,

3.     Risk data,

4.     WBS, activity list, schedule templates,

5.     Company quality policy, and

6.     Historical information, lessons learned documentation.


PMI PMBOK PMP Certification Chart 2


PMP Chart 2

2.4.1.D – Scope Management Plan


The Scope Manage Plan is a planning document that describes how the project team will project scope will be:

  1. Defined

  2. Documented

  3. Verified

  4. Managed

  5. Controlled


Requirements Documentation

Link to Business Analysis and Requirements Documentation


Craig A. Stevens,  Requirements and an Old PM Joke

2.5.0.P - Scope Definition


Stakeholder Analysis


The Stakeholder Analysis identifies the stakeholders influence and interests.  The analysis documents, quantifies, and prioritizes their needs, wants, and expectations to create the requirements.


Product Analysis


Identifies various feature/function sets that may satisfy project objectives and requirements and may include Value Engineering, Functional Analysis, etc.


Alternatives Identification


Alternative Identification is use to generate different approaches to satisfying project requirements while executing the work of the project.  Value Engineering uses the functional approach to doing this by asking the question…How else we can do this function.  Other tools may include Lateral thinking, brainstorming, “out-of-the-box” thinking, etc.



2.5.1.D – Scope Statement


Scope is the work involved in the design, fabrication and assembly of the components of a project's deliverable into a working product. Scope is the way that the boundaries of the project are described, including what the project will deliver and what it will not deliver.


The Scope Statement describes the project’s deliverables and major objectives developed from information provided by stakeholders.  Scope It is used to reach a common understanding of the project scope and is the basis for more detailed planning.  The Scope Statement may also include either directly or by reference:

·       Acceptance criteria / approval requirements

·       Constraints / assumptions /boundaries

·       Initial risks

·       Schedule milestones

·       Funding limitations


2.6.0.P – Create Work Breakdown Structure (WBS)


This is a critical step. 


The Work Breakdown Structure (WBS) is a deliverable-oriented, hierarchical description of the work of the project. It Represents all the work and only the work of the project and includes unique identifiers for each component. The lowest level is a ‘work package,’ which is the unit of work that can be reliably scheduled, cost estimated, monitored, and controlled. A typical duration for a work package is 1 day to 2 weeks.



Craig A. Stevens Intro to WBS



The Project Manager uses the WBS to:

·       Facilitate the evaluation of cost, time, and technical performance of the organization on a project,

·       Provide to management with information appropriate to each organizational level,

·       Help in the development of the organization breakdown structure (OBS) which assigns project responsibilities to organizational units and individuals,

·       Help him manage plan, schedule, and budget.

·       Show communication channels and assisting in coordinating the various project elements.



Decomposition is the subdividing of the project deliverables into smaller, more manageable components called work packages.  The level of decomposition depends on size and complexity of the project.  Excessive decomposition is inefficient, therefore, the job of the project team to seek balance.  One Heuristic rule is the work packages should be between WP ≈8 and 80 hours of work. 


Recreated from -- Pearce & Robinson. (2005) Strategic management (9th ed.). New York: McGraw-Hill.


Recreated from -- Pearce & Robinson. (2005) Strategic management (9th ed.). New York: McGraw-Hill.



WBS Dictionary:


The WBS Dictionary is a companion document that supports the WBS.  It contains detailed information for each work package including:

  • Responsible organization,

  • Schedule milestones,

  • Contract information,

  • Quality requirements,

  • Technical references,

  • Associated activities,

  • Resource requirements, and

  • Cost estimates.

The WBS Numbering System: 


The WBS numbering system may be the most important part of the WBS.  Without it there is no way to communicate and record all of the details related to your project.  It is like the data in the relational field of a relational database.  The biggest mistake that most PMs make when designing a number system is inflexibility.   Unless the numbers, tasks, deliverables never change, never use a simple sequential numbering scheme (1.0, 1.1. 1.1.1, 1.1.2).  Rather use the same idea and add some flexibility to the systems by counting by tens or hundreds (10, 10.10, 10.20, 10.10.10 etc.).   




A deliverable is any tangible outcome that is produced by the project such as documents, plans, computer systems, buildings, banking products, etc. Internal deliverables are produced as a consequence of executing the project, and are usually only needed by the project team. External deliverables are those that are created for clients and stakeholders.


Deliverables are unique, verifiable products, services, or results that must be produced in order to complete the project.  They are the Items described in WBS/Work Packages and may include both product & project deliverables:

  • Login screen for new web application [product deliverable]

  • Financial review of project expenses [project deliverable]

Scope Baseline:


Think of a baseline as a snapshot in time.  A baseline records as a photo might.  The baseline becomes a record of whatever we are base lining.  A scope baseline records the approved scope statement, WBS, and WBS Dictionary at a specific point in time.  The baseline can and should be updated, but that requires approve changes and corrective actions.   




Craig A. Stevens Facilitates

Teaming During the Concept Phase


2.  Contracts and Procurement

Contracts Links:

  1., (found by Josiah Wedgewood, UoP 2005)

  2., (found by Josiah Wedgewood, UoP 2005)

  3., (found by Josiah Wedgewood, UoP 2005)

  4., (found by Josiah Wedgewood, UoP 2005)


Website Link  owner: Legal Information Institute,


This website explains what a contract is, gives examples of contacts, and provides an education on contracts that the law will enforce. “The law provides remedies if a promise is breached or recognizes the performance of a promise as a duty.”

Frank Merrell, UoP 2005


Procurement is the Acquisition of Goods or Services.

Contracting is a process that involves two (or more) parties with different objectives who interact in a given market segment.

Basic Procurement Strategies:

  1. Corporate Strategy

  2. Project Strategy:

  3. Differ because of Constraints, Availability of Critical Resources, and Specific Customer Requirements

Primary Objectives

  1. Procure all goods/services from a single source

  2. all goods/services from multiple sources

  3. only a small portion of the goods/services

  4. none of the goods/services

Two types of Environment

  1. Macro

  2. Micro

Procurement/Contracting System

1.  Requirement Cycle: Definition of the Boundaries of the Project.  Takes the First Step:

  • Defining the needs for the project. 

  • Starts the Development of the SOW, WBS, Specifications,  (Design Specifications Performance Specifications Functional Specifications),

  • Performing a Make or Buy Analysis (Make or Buy, Lease or Buy, Buy or Rent, Lease or Rent),

  • Laying Out the Milestones, and timing/schedule,

  • Cost Estimation, Including Life Cycle Costing

  • Obtaining Authorization and Approval to Proceed

2.  Requisition Cycle: Once the Requirements have been identified form is sent and sources are Analyzed. Cycle Includes

  • Evaluating/Confirming Specification (Current?)

  • Confirming Sources

  • Reviewing Past Performances of Sources

  • Producing Solicitation Package

3.  Solicitation Cycle:  Three Common Methods of Acquisition are 1. Advertising 2. Negotiation and 3. Small Purchases (i.e. Office Supplies). 

Negotiation may start with:

  • Request for Information (RFI)

  • Request for Quotation (RFQ)

  • Request for Proposal (RFP)

  • Sole-source or Non-competitive Processes

Negotiations Major Factors:

  • Compromise Ability

  • Adaptability

  • Good Faith

Negotiations Activities:

  • Develop Objectives (Min-Max Positions)

  • Evaluate Your Opponent

  • Define Your Strategy and Tactics

  • Gather The Facts

  • Perform a Complete Price/Cost Analysis

  • Arrange “Hygiene” Factors

Solicitation packages may include:

  • Bid Document (Standard)

  • Listing of Qualified Vendors (Expected to Bid)

  • Proposal Evaluation Criteria

  • Bidder Conferences

  • How Change Request Will be Managed

  • Supplier Payment Plan

4.  Award Cycle:

  • Contractor Selection and Contract Award

  • Objective to negotiate a contract type and price that will result in reasonable contractor risk and provide the contractor with the greatest incentive for efficient and economic performance.

Basic Contract Elements:

  • Mutual Agreement (Offer and Acceptance)

  • Consideration (Down Payment)

  • Contract Capability (Contract is binding only if the contractor has capability to perform)

  • Legal Purpose (For Legal Purpose)

  • Form Provided by Law (Reflect the Contractor’s Legal Obligation, or Lack of Obligation, to Deliver End Products)

Types of Contracts:

Completion Contract

  • Required to deliver a definitive end product

  • Upon deliver and formal acceptance by customer, the contract is complete and final payment can be made.

Term Contract

  • Deliver a specific “Level of Effort”

  • When effort is performed, the contractor is under no further obligation.

  • Payment is made irrespective of what is accomplished.

Letter of Intent

  • Preliminary Written Instrument (Not to exceed face value of contract)

Type of Contracts Based on:

  • Overall Degree of Cost and Schedule Risk

  • Type and Complexity of Requirements (Technical Risk)

  • Extent of Price Competition Cost/Price Analysis

  • Urgency of the Requirements

  • Performance Period

  • Contractor’s Responsibility (and risk)

  • Contractor's Accounting System (Is it capable of earned value reporting)

  • Concurrent Contracts (Will it take a back seat to existing work)

  • Extent of Subcontracting (How much work will be out sourced)


  • Target Cost or Estimated Cost

  • Target or Expected Profit

  • Profit Ceiling and Profit Floor

  • Price Ceiling or Ceiling Price

  • Maximum and Minimum Fees

  • Sharing Arrangement or Formula

  • Point of Total Assumption

Contractual Arrangements


  • Percentage Fee

  • Fixed Fee

  • Guaranteed Maximum

  • Guaranteed Maximum and Shared Savings

  • Incentive (Award Fee)

  • Cost Sharing

Fixed price or Lump Sum

  • With nothing

  • With Re-determination

  • Incentive Fee

  • With Economic Price Adjustment

  • Incentive Fee with Successive Target

  • For Services, Material, and Labor at Cost (Purchase orders, blanket agreements)

Time and Material/Labor Hours Only



Joint Ventures

5.  Contract Administration Cycle








Proposal Preparation:



3.  Concept Phase


Company Business Plan


Statement of Work (SOW):




Website owner: University of California Regents,


This website explains that the Statement of Work contains essential information about the work that will be performed by a service provider. Use it as a guide when you describe the services in your request for a service contract.


Frank Merrell, UoP 2005



Project Business Planning 




Business Plan Links:

  1., (Found by Stacie Erickson Cucuzza, UoP 2005)

  2., (Found by Stacie Erickson Cucuzza, UoP 2005)

  3., (Found by Stacie Erickson Cucuzza, UoP 2005)



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