Responsibilities to Customers and the Public

This is the second major rubric of the Code of Professional Conduct.

Qualifications, Experience, and Performance of Professional Service

The Code of Professional Conduct states that a PMP has the "Responsibility to provide accurate and truthful representations to the public in advertising, public statements and in the preparation of estimates concerning costs, services and expected results." The key part of this statement that is new is the preparation of estimates. This is often a very difficult problem to handle and is something that sets apart a professional project manager.

The first task that a project manager must handle is ensuring that the correct Scope Statement is written. Even if no Charter is written, there must be a Scope Statement for the project to progress. This is where all the estimates start. The clearer the Scope Statement, the better the chance for making good estimates. All projects involve estimates because no project is exactly the same as another.

The issue of creating estimates and ways to make estimates closer to reality will be handled in Chapter 11, "Project Cost Management." The Code of Professional Conduct is not about how to do estimates but rather how to be professional in your work. On several occasions, I have been asked as a consulting project manager to look at estimates from outside vendors. Some vendors have a tendency to bid low and then, after receiving the contract for the work, immediately put in change requests. This type of conduct should not be happening if you are a PMP. Put in what is known and correct and be prepared to defend what you have written.

Q.	Offering an estimate that you know will be changed shortly after the contract is signed is:
		A.	Bad practice
		B.	Unprofessional practice
		C.	Bad for both the buyer and seller
		D.	All of the above

The answer is D. It is both bad and unprofessional to knowingly offer an estimate that is incorrect. It is bad for both the buyer and seller because the budget will be affected immediately by the changes. This makes it almost impossible to have good budget and schedule.

There is also a tendency among the people who are getting the estimates to think that the document in front of them is written in stone. You can write the word "estimate" in bold letters and highlight it, and people still expect the estimate to be the final budget. Estimates are just that: they are educated guesses at the correct number. There is a vast difference between submitting a number you know to be an estimate and failing to submit the correct numbers because you believe you will not get the job. The latter is a violation of professional conduct. It will eventually hurt both the vendor and the buyer, and it gives a bad image to the company that allows someone to behave in that fashion. Do not do it. Be a professional.

Q.	Estimates are:
		A.	Always correct
		B.	Written in stone
		C.	Estimates
		D.	Easy to do

The answer is C. Estimates are just that, estimates. The Merriam-Webster Online Dictionary defines estimate as, "to judge tentatively or approximately the value, worth, or significance of." Unless the numbers used to make an estimate are known completely, you are getting an approximate value, not a concrete one.

Q.	Estimates should:
		A.	Never be changed after you write them
		B.	Be the closest to correct as you can get
		C.	Be forgotten as you get into the project
		D.	Be changed immediately when a contract is signed

The answer is B. Given that estimates are roughly the correct number, your task as a PMP is to get as close as you can to the actual costs. This can often be difficult. You owe it to the project sponsor to make a concerted effort to get close to correct every time you do an estimate.

Q.	You have just been assigned to a project that has been ongoing for more than three months. In looking over the project plan, you see deliverables that seem to be impossible to deliver to the client in the specified time frame. You should:
		A.	Stop everything until you have talked this problem over with your project team
		B.	Keep on going
		C.	Talk to the sponsor and explain your concerns for the accuracy of the schedule
		D.	Write down your concerns and keep them in a project file

The correct answer is C. Most of the questions on the exam that are concerned with the code of ethics are like this one. They have several sentences in the explanation, basically a short case study, and then ask you to choose the correct answer. The best way to study for these questions is to go to the PMI Certification Handbook and completely familiarize yourself with the code of professionalism.

The second area of "Qualifications, Experience, and Performance of Professional Services" deals with the "Responsibility to maintain and satisfy the scope and objectives of professional services, unless otherwise directed by the customer." There are really two issues here. First, the overall scope of what you are offering to the customer should be set at the beginning of the engagement and kept throughout. Although services outside of the original scope may be added later in the project, if you are going to change the service scope, you should do so through the direction of the customer. This means that the service scope is under the same scope change control as the rest of the project. There should be some mechanism by which you can make changes, but no changes can be made without the agreement of the customer.

Q.	The final arbiter of any service scope change is the:
		A.	Project manager
		B.	Project team
		C.	Delivery managers
		D.	Customer

The answer is D. The customer has the final say over any service scope change. Without the signoff of the customer, do not make any changes.

Q.	When the project was begun, both the customer and the project manager understood that it was likely that some service scope changes would occur. A few weeks into the project, some services need to be added. Because you, as the project manager, and the customer already have talked over the possibility of this happening, you should follow standard scope change procedure that includes:
		A.	A written request for service scope change
		B.	A tacit understanding agreement so that you can make all appropriate changes
		C.	A new SOW
		D.	Verbal assurances that you will be able to make the scope service change quickly

The answer is A. Even if you have talked with the customer about the possibility of making a service scope change, when it occurs, you must go through a written trail to include in your project records. No changes should occur without having a permanent record of their occurrence.

The second part of this subsection of the Code of Professional Conduct deals with the project objectives. Everyone should agree to the project objectives at the beginning. If the objectives are changed, it should be because the customer wants the changes. The professional project manager manages against the objectives that should be set up as a group of deliverables, not only at the end of the project but also throughout the stages of the project. By agreeing to an objective with the customer at the beginning of the project, the project manager can be certain that what he or she is doing is with the express consent of the customer.

Although there is no specific writing about objective change control, it should be handled the same way as scope change control. The professional project manager always keeps the customer's understanding of project objectives in mind and works to make sure that those objectives are met. Although the objectives may be changed, they can only be changed by the customer and then only through some written system of change control that may include a Change Control Board. Project managers do not have the authority to change objectives by themselves.

Q.	The objectives of the project are agreed to in the ________ phase of the project.
		A.	Execution
		B.	Planning
		C.	Closing
		D.	Control

The answer is B. The customer and the project manager should be in agreement concerning the project objectives before executing the project plan. Thus, one of the first tasks of the project manager is to meet with the customer and make sure that there is agreement on the project objectives.

Q.	If the objectives of the project are changed, these changes are accepted only with the consent of the ________.
		A.	Project manager
		B.	Stakeholders
		C.	Customer
		D.	Project team

The answer is C. This is another example of a question where there are two possible correct answers. The customer is also a stakeholder, but the correct answer is C, not B. The customer has the final say over any objective changes, and without buy-in from the customer, no changes should be allowed.

The final section of the heading "Qualifications, Experience, and Performance of Professional Services" deals with the "Responsibility to maintain and respect the confidentiality of sensitive information obtained in the course of professional activities or otherwise where a clear obligation exists." In some projects, a confidentiality agreement is signed if there is information sensitive enough to warrant one. This constitutes a legal agreement between both parties that forbids any party to give sensitive information to a third party.

In other projects, no such confidentiality agreement is signed, but PMI considers it a matter of professional conduct to maintain the confidentiality of sensitive information without having a written confidentiality agreement. If you are not sure whether the information you are passing on to someone else is confidential, it is better to check with other stakeholders to make sure. Most of the time, it will be made clear what information is sensitive and should not be passed on to others. Here is an example that puts the project manager in a difficult situation that nonetheless can be worked out if all parties are flexible.

Q.	You are a project manager sitting in a meeting with executives of the company for which you work as a contract manager. These executives include the president of the company, who begins the meeting by specifically stating, "What is said in this room at this meeting stays in this room. There are no exceptions to this." This is a clear statement from the president, so you do not report on some issues discussed in the meeting when you file your weekly report to your manager. The manager calls you, asking why you have not filed a complete report, and you reply that the president specifically said that no one outside of the people in the room should hear the information. Your manager replies that both parties have signed a confidentiality agreement, so it is OK for you to report. What do you do to keep both parties satisfied?
		A.	Tell your manager whatever he or she wants to know.
		B.	Have a major lapse of memory.
		C.	Get written permission from the president to give out the information.
		D.	Stall as long as you can, hoping that your manager will forget the whole thing.

The answer is C. If you were invited to the meeting in the first place, it is highly likely that the president knows whom you are. Email him or her, explaining that your manager would like more information, and request a reply. Usually this can get done more quickly if you call the president's assistant and explain what you are trying to do. But do not in any case go against the express wishes of the president of a client company.

If you are not sure whether the information you get may be disseminated, always ask the person giving the information. Doing so is a safeguard against giving out proprietary information that should not be made public.

Conflict of Interest Situations and Other Prohibited Professional Conduct

The Code of Conduct states that a PMP has the "Responsibility to ensure that conflict of interest does not compromise legitimate interests of a client or customer, or influence/interfere with professional judgments."

Sometimes a project manager is put into a position where conflicts of interest arise. These may be found in many different scenarios, including that of a contract project manager or even in conflicts between divisions within a single organization. These conflicts are always hard to resolve. This is one of the rare cases where the answer to a question is not automatically, "the customer is always right." When dealing with conflicts of interest, the customer is not always right.

Q.	You are a contracted PM and are working within an organization. The sponsor of the project comes to you and asks you for some extra work not within the agreed project plan. She makes it clear that she expects it to be done without a change in cost and that this is something that happens often in projects that she sponsors, even suggesting that your company will be removed from the project if you do not comply. Now what?
		A.	There is no single answer to this question.
		B.	Give in because if you do not, you may lose the project.
		C.	Check with your engagement manager before doing anything else.
		D.	Run.

The answer is all of them, except perhaps D. (Running is an option in fight-or-flight response theory but not very often in corporate life.) There is no simple answer to this. The best is C. Check with your own manager. But there are situations where even that is not possible. So, this is one that you have to work out by yourself, considering the situation and the people. I wish it were easier than that. But real life in the project management lane is sometimes uncomfortable. We are not paid for doing the easy parts of the job, only the hard ones. Anyone who tells you differently has not been a project manager.

The last section in the Code states that a PMP has the "Responsibility to refrain from offering or accepting inappropriate payments, gifts or other forms of compensation for personal gain, unless in conformity with applicable laws or customs of the country where project management services are being provided." This issue arose in an earlier question. If you are traveling abroad, make sure you understand as much as you can about local customs concerning scenarios in which you might find yourself. As mentioned earlier, in certain countries, gifts are given to show gratitude for a job well done. To refuse these can be seen as a minor insult. However, in most places that you work, the people who are sponsoring the project will be aware of the country of your origin and also will be aware of acceptable compensation practices in that country.

Much of the problem is based on the size of the gift. If someone buys you lunch, that is acceptable in most countries. If someone gives you a loaded Volvo, that is another issue. In any case, any gifts or extra compensation that seem excessive probably are. It does not take too much awareness on your part about the size of the gift to know whether it is out of line or crosses into the area of prohibited personal conduct.

The second area concerns the giving of gifts. This follows the same basic rules as those just mentioned. If a gift appears to be excessive, it probably is. Here is a scenario that occurred when I was working in the U.S. with a major overseas company.

Q.	The president of a major international firm had just arrived in our city. During our first meetings to go over project expectations, the conversation turned to his favorite sports, and the one that he followed was soccer (European football). It just so happened that the U.S. national team was playing a World Cup qualifying game in our city that evening. I bought tickets and drove him to the game, which he enjoyed immensely. He said it was good to see his home country's sport and was gracious in his thanks. Was I right or wrong to do this?
		A.	Even by revealing this now I should be flayed and sent to jail.
		B.	Because nothing was gained except an enjoyable experience, it was acceptable.
		C.	One little gift could lead to another.
		D.	Did the U.S. win?

The answer is B. The tickets were not particularly expensive, cheaper than those of our football (U.S.) team. There was no intent to influence the man's actions, and in any case, the contract was already signed for the project. He later bought me a lunch, and we were even. I also believe it made him more comfortable with our city and the people in it, and that is good for both sides. (Yes, the U.S. national team did win.)

The issue keeps coming back to the cost of the gift as well as the intent of the gift. When a vendor has offered an inappropriate gift, it should be easy to say no. It may be tempting to accept such a gift sometimes, but we must behave professionally to protect the profession at all times.

I believe that the Code of Professional Conduct is an excellent addition to the overall understanding of how to be a PMP. The Code is still being formulated and will certainly need more depth, but any attempt to show how to act professionally as well as ethically and how to protect the profession will strengthen the profession. In fact, the Code makes project management more of a profession and less of a job.

For the examination, you should memorize the various parts of the Code of Professional Conduct. Some of the questions can be quite long, so there are opportunities for you to reason out the answers. Make sure you read the entire question before answering it. The short narratives that are used as questions will give you clues as to the best answer.