01 - 1 - PMBOK Foundations - 2021PMP - 102920

INTRODUCTION
TO
PMBOK
© 2021, PM Training. All rights reserved

PMI, the PMI logo, PMP, the PMP logo, and PMBOK are registered marks of Project Management Institute. 1
PROJECT MANAGEMENT
OVERVIEW

Code of Ethics and Professional Conduct
• The Code of Ethics and Professional Conduct is aligned with the four values that
were identified as most important to the project management community
• Responsibility Respect
• Fairness Honesty
• Code of Conduct includes two types of standards:
1. Aspirational Standards
• Describes the conduct that we strive to uphold as practitioners. Although adherence to
the aspirational standards is not easily measured, conducting ourselves in accordance
with these is an expectation that we have of ourselves as professionals— it is not
optional.
2. Mandatory Standards
• Establish firm requirements, and in some cases, limit or prohibit practitioner behavior,
which if not followed will make a person subject to disciplinary actions by the PMI’s
Ethics Review Committee.

FOUNDATIONAL CONCEPTS

What is a Project?
• A temporary endeavor with a definite beginning and an end.
• Creates a unique product, service, or result (P,S,R).
• Temporary Endeavor – (However, temporary does not mean a short duration.) The
project ends when:
• Projects objectives have been achieved (or when objectives cannot be met).
• Funding or resources are exhausted or unavailable.
• Project is no longer needed or is terminated.
• Unique – Fulfilling an objective by producing the deliverables such as:

• Product – a new item, a component, improvement or correction to an item
• Service – a service or capability to perform a service
• Result – an outcome, document, or developed knowledge
• Combination of one or more of the above.

Project Basics
• Projects enable business value creation
• *Business Value - The net return of benefits from a business endeavor.
• In the form of elements such as time, money, goods, or intangibles.

• (The total sum of all tangible and intangible elements)
• Business value is unique to each organization.
• Successful business value realization begins with comprehensive

strategic planning and management.

Project Basics
Why do we start projects?

Project Stakeholders
• * Stakeholder is a person, group or
organization that may affect, be
affected by, or perceive itself to be
affected by a decision, activity, or
outcome of a project .
• They may be internal or external to

the project , they may be an active or
passive in their involvement in the
project or even unaware of the
project
• Stakeholders can a positive or

negative impact on the project.

Importance of Project Management
*Project Management – The application of knowledge, skills, tools, and
techniques to project activities to meet project requirements. Used to:
• Meet business objectives • Provide timely risk responses
• Satisfy stakeholders • Optimize resources
• Resolve problems and issues • Manage changes better
• Deliver the right products at the • Identify, recover, or terminate
right time failing projects
Companies embrace project management to allow them to do more

with less, deliver better business value, and remain competitive.

RELATIONSHIP OF
PORTFOLIOS, PROGRAMS,
PROJECTS

The Relationships Among Portfolios, Programs,
and Projects
• Portfolio - refers to a grouping of non-related programs, projects, sub
portfolios, and operations managed in a coordinated fashion to achieve
strategic objectives.
• Programs – refers to a grouping of related projects, subprograms, and

program activities managed in a coordinated way to obtain benefits not
available from managing them individually.
• Projects - can be either within or outside of a program are still part of a

portfolio.

Comparative
Overview

ORGANIZATIONAL
INFLUENCES
AND
DEVELOPMENT LIFE CYCLE

Organizational & Project Governance
• Organizational Governance is a structured approach to provide the
needed direction and control through the use of policies and processes
so that meet defined strategic and operational goals.
• Enforce legal, regulatory standards and compliance requirements
• Define operational, risk, and legal polices.
• Project Governance is the framework, functions, and processes that give

the project the needed guidance to execute the activities needed by the
project to achieve the organizational, strategic, and operational goals.
• Guiding and overseeing the project work
• Enforcement of polices, standards, and guidelines.

Project Management Office
• *Project Management Office (PMO) – A management structure that
standardizes the project-related governance processes and facilitates the
sharing of resources, methods, tools and techniques. May take one of three
roles:
1. Supportive: Provides requested policies, training, lessons learned, and

templates for projects within the organization. (Low control.)
2. Controlling: Provides support and requires compliance. May involve adopting

project management frameworks or methodologies, using specific templates,
forms and tools, or conformance to governance. (Moderate control.)
3. Directive: Provides the project managers and takes control of various projects,
directly managing projects, and is responsible for the results of those projects.
(High control.)

Components of the Guide
• For The Exam : Know the key components shown below:
• :

PMBOK Key Components in Projects
• Generic Project Life Cycle

Project Development Life Cycle
• Project Development Life Cycle - The phases associated with the
development of the product, service, or result (the approach).
• Predictive
• Incremental
• Iterative
• Adaptive
• Hybrid model

Predictive Life Cycles
• Predictive Life Cycles
• In a predictive life cycle, the project scope, time, and cost required to deliver
are determined as early in the project life cycle as practically possible. Also
called a plan – driven life cycle.

Iterative and Incremental Life Cycles
• Iterative and Incremental Life Cycles
• Each iteration of the project phases intentionally repeats one or more project
activities as the project team’s understanding of the product increases.
• Incremental: each portion or segment produced is complete and adds

functionality. Project complete after final iteration delivery.
• Iterative: repeating until reaching a desired goal. Scope is known early, but
time and cost change.

Incremental vs Iterative

Adaptive Life Cycle
An Adaptive Life Cycle is intended to respond to high levels of rapid
change and ongoing stakeholder involvement. Scope is defined before
each iteration.
• Known as Agile or change driven

• Releases with rapid iterations or
sprints (with fixed time & costs)
• Product feature backlog
• Lite estimation of tasks
• Standing meetings
• Retrospective iteration reviews

Hybrid Life Cycle
• Hybrid Life Cycle - A blend of predictive and adaptive life cycle.
Elements
Predictive
well-known or
Fixed requirements Life Cycle
Elements evolving or Adaptive

changing Life Cycle
• Project life cycle flexibility may be achieved by:

• Identifying the processes for each phase
• Performing the processes in the right phases
• Adjusting the attributes of a phase
(name, duration, exit criteria, and entrance criteria)

Project Phase
• *Project Phase - a collection of logically related project activities that
culminates in the completion of one or more deliverables.
• Attributes are measurable and unique to a specific phase and include:
Attributes Examples
Name Phase A, Phase 1, Proposal Phase
Number Three Phases in a Project
Duration One Week, One Month
Resource requirements People, Buildings, Equipment
Entrance criteria to move into Specific Approvals, Specific Documents
phase Completed
Exit criteria to complete a phase Documented Approvals, Completed
Documents, and Completed Deliverables

Phase Gate
• A Phase Gate is held at the end of a phase. The project performance and
progress are compared to the project business documents including:
Project business case Project charter
Project management plan Benefits management plan
• Names for a phase gates include:

Phase review Stage gate
Kill point Phase entrance or exit.
• The comparison results in a (go/no–go) decision such as:

Remain in the phase Repeat that phase or elements of it
Continue to next phase Continue to the next phase with modification
End the project

PROJECT MANAGEMENT
PROCESS GROUPS

Process groups and 49 processes
• The five Process Groups contain 49 logically grouped project

management processes which are used to manage the project and meet
objectives:
• Initiating
• Planning
• Executing
• Monitoring and Controlling
• Closing
See Table 1-4 PMBOK 6th edition page 25

Project Management Process Groups
• Project management process groups help to achieve a specific project
objectives. The project flows throughout the life cycle by leveraging five
Process Groups.
• Initiating Process Group: to define, document, and authorize a new project or

phase of a project, and identify and analyze the stakeholders.
• Planning Process Group: define scope, refine objectives, to define courses of action
and document how you will manage the project.
• Executing Process Group: actual work is completed to the plan.
• Monitoring and Controlling Process Group: to measure actual project performance
against the plan and initiate plan changes as required.
• Closing Process Group: to finalize all activities and formally close the project,
phases or contract.
• These five Process Groups comprise 49 different processes.

Process Groups

PROJECT MANAGEMENT
KNOWLEDGE AREAS

Knowledge Areas
1. Project Integration Management - Processes and actions to identify,
define, combine, unify, and coordinate the various processes and PM
activities within the process groups.
2. Project Scope Management - Processes required to ensure the project
includes all work required, and only the work required to complete the
project successfully.
3. Project Schedule Management - Processes required to manage the
timely completion of the project.
4. Project Cost Management - Processes involved in planning, estimating,
budgeting, financing, funding, managing, and controlling costs for
completion within the approved budget.
5. Project Quality Management - Processes for incorporating the
organizations quality policy regarding planning, managing, and controlling
projects and product quality requirements to meet stakeholder
expectations.

Knowledge Areas (cont.)
6. Project Resource Management - Processes to identify, acquire, and manage
resources needed for the successful project completion.
7. Project Communication Management - Processes required to ensure timely
and appropriate planning, collection, creation, distribution, storage, retrieval,
management, control, monitoring, and ultimate disposition of project
information.
8. Project Risk Management - Processes for conducting risk management
planning, identification, analysis, response planning, response implementation,
and monitoring of risk on a project.
9. Project Procurement Management - Processes necessary to purchase or
acquire products, services, or results from outside the project team.
10. Project Stakeholder Management - Processes required to:
• identify the people, groups, or organizations that could impact or be impacted by the
project, or perceive themselves to be impacted
• to analyze the stakeholder expectations and their impact on the project,
• and to develop strategies for effectively engaging stakeholders in the project.

PROJECT MANAGEMENT KEY
CONCEPTS

Project Data, Information, and Reports
• PMI defines project information using three (3) terms:
• Work Performance Data: raw data observations and measurements.
• Activities A, B & C finished in 35 days
• Actual costs to date $223,000
• Work Performance Information: performance data analyzed in context.

• Using EVM schedule and cost are analyzed against the plan SV, CV, CPI, SPI
• Work Performance Reports: physical or electronic representation of work

performance information.
• Published reports e.g. Status, Progress, Performance reports, Dashboards or KPI

Project Data, Information, and Reports

Tailoring
• PMBOK is a recommended reference for tailoring projects as it recognizes
good practices (Study p. 28, PMBOK 6th ed.).
• “Good practice” does not mean the knowledge described should always
be applied uniformly to all projects.
• Project management methodology may be:

• Developed by experts within the organization
• Purchased from vendors
• Obtained from professional associations
• Acquired from government agencies

Tailoring
• Tailoring defined as selecting the appropriate project management
processes, inputs, tools, techniques, outputs, and life cycle phases for
each unique project.
• Tailoring should consider:

• Levels of governance
• Culture of the organization
• Internal or External customer
• And constraints

Project Management Artifacts Within Life Cycle

Examples of Project Artifacts
Know definition of each and where created

Overview
• Two major categories of influence on projects are:
Enterprise Organizational
Environmental Process Assets
Factors (EEF) (OPA)

Organizational Process Assets
• Organizational Process Assets (OPA’s) are
processes, procedures, policies, plans, and knowledge bases specific to
and used by the performing organization.
• OPAs include:
• Artifacts, practices or knowledge
• Lessons learned, historical Info
• Grouped into two main categories:

• Processes, policies, and procedures
• Organizational knowledge base

Organizational
Structure Types

ROLE OF PROJECT MANAGER

Role of the Project Manager
• *Project Manager - the person assigned by the
performing organization to lead the team responsible
for achieving the project objectives
• Plays a critical visible leadership role on the project

team.
• From initiating to closing the project manager works

to:
• Meet customer needs.
• Evaluate and analyze activities prior to project initiation.
• Improve organizational performance.
• Manage business analysis or business case development.
• Follow-up on activities to get business benefits.
• Advance ideas and strategic objectives with executive
and business unit leaders.

The Organization
• The Project Manager interacts with other PM’s concerning impacts to the
project including:
• Demands on the same resources
• Priorities of funding
• Receipt or distribution of deliverables
• Alignment of project goals and objectives with the organization
• Developing relationships to help the team achieve goals, and objectives
• Advocacy role to address strategic issues with managers, and sponsor
• PM works to:
• Increase competency and capability
• Provide knowledge transfer, and integration initiatives
• Demonstrate the value of project management
• Increase acceptance of project management in the organizations
• Advance the value of the PMO to the organization

The Industry
• PM stays informed about current industry trends including:
• Product and technology development
• New and changing market niches
• Standards (project management, quality, information security)
• Technical support tools
• Economic forces that impact the project
• Influences affecting the project management discipline
• Process improvement and sustainability strategies

Role in Integration Management
• The Project Manager role in Integration
1. Project managers work with the project sponsor to understand the strategic
objectives and ensure the alignment of the project objectives with those of
the portfolio, program, and business areas.
2. Project managers are responsible for guiding the team to work together and
focus on what is really essential at the project level. Using integration of
processes, knowledge, and people.

PROJECT MANAGER
COMPETENCIES

PMI Talent Triangle
• Project managers need to have a balance of three skill sets:

Overview
• PMI’s Talent Triangle. Project Managers need to have a balance of these
three skill sets.
• Technical Project Management – The knowledge, skills, and behaviors related

to the management of the specific domains of project, program and portfolio
management.
• Leadership – The knowledge, skills, and behaviors needed to guide, motivate,

and direct a team to meet organizational business goals.
• Strategic and Business Management – The knowledge and expertise in the

industry and organization that enhance performance and deliver better
business outcomes.

VIEW OF A PROJECT BY
PROCESS GROUP

INITIATING PROCESS GROUP

Initiating Process Group
• The group consists of the processes performed to define a new project or
phase of an existing project.
• The purpose is to ensure the alignment of the stakeholders’ expectations

and the project purpose, make clear the scope and objectives to the
stakeholders, and determine how to get your stakeholders fully engaged
to ensure their expectations are met.
• The key benefits are

• Only project that are aligned with organizational strategic objectives are
authorized.
• That the business case, benefits and stakeholders are considered from the
start

• The project manager will be involved in the creation of the business case
and will help write the project charter in many organizations.
• In other organizations the Sponsor, PMO, or other stakeholders' groups

will be the lead on the pre-project work.
• It is assumed that the project has been approved before this point by the
Sponsor or other decision-making body and that they have reviewed the
business case and benefits management plan before authorizing the
project.

Project Boundaries

• Initiating provides a point to verify the project charter, business
documents, and success criteria with the stakeholders.
• Involving the sponsors, customer, and other stakeholders during initiation

of the project creates a common understanding and shared vision for
success and acceptance at completion.


4.1 Develop Project Charter
• *Project Charter - A document issued by the project initiator or sponsor
to formally authorize a project and provides the project manager with
the authority to apply organizational resources.
• Key Benefit:
• Provides a direct link between the project and the organization’s strategic
objectives.
• Creates a formal record of the project and shows organizational commitment.
• The charter is:

• Performed once or at predefined points in the project.
• Authored, owned, and signed by the sponsor.
• Co-developed by the sponsor and the Project Manager.

4.1 Develop Project Charter
Inputs Outputs
1. Business Documents 1. Project Charter
2. Agreements 2. Assumption Log
3. Enterprise environmental
factors
4. Organizational process assets

13.1 Identify Stakeholders
• *Identify Stakeholders - the process of identifying project stakeholders
regularly, analyzing and documenting their relevant information
regarding:
Interest Involvement
Influence Impact
Interdependencies
• Key Benefit : Enables the project team to identify the appropriate focus
for engagement of each stakeholder or group of stakeholders.
• The identification is performed periodically throughout the project as

needed.

13.1 Identify Stakeholders
Inputs Outputs
1. Project charter 1. Stakeholder register
2. Business documents 2. Change request
3. Project management plan 3. Project management plan
4. Project documents updates
5. Agreements 4. Project documents updates
factors

PLANNING PROCESS GROUP

Planning Process Group
• The group consists of the processes that establish the total scope of the
effort, define and refine the objectives, and develop the plan of action
required to succesfully complete the objectives of the project.
• The processes develop the different components of the project

management plan and project artifacts.
• There is ongoing refinement of the project management plan as data on

the project us updated or changed.
• The key benefit is to define the course of action to successfully complete

the project or phase.

4.2 Develop Project Management Plan
• *Project Management Plan – process of defining, preparing, and
coordinating all plan components and consolidating them into an
integrated project management plan.
• Key Benefit: the production of a comprehensive document that defines the

basis of all project work and how the work will be performed
• Defines how the project work will be performed.
• This process is done once or at predetermined points on the project.

4.2 Develop Project Management Plan
Inputs Outputs
1. Project charter 1. Project management plan
2. Outputs from other processes
factors

5.1 Plan Scope Management
• *Plan Scope Management - the process of creating a scope management
plan that documents how the project and product scope will be defined,
validated, and controlled.
• Key Benefit: provides guidance and direction on how scope will be managed
throughout the project

5.1 Plan Scope Management
Inputs Outputs
1. Project charter 1. Scope management plan
2. Project management plan 2. Requirements management
3. Enterprise environmental plan
factors

5.2 Collect Requirements
• *Collect Requirements - the process of determining, documenting, and
managing stakeholder needs and requirements to meet objectives.
• Requirements include:
• Quantified and documented needs and expectations of the sponsor,
customer, and other stakeholders.
• Requirements need to be gathered, analyzed and documented at a

detailed level to be in the scope baselines and then measured as the
work is executed,
• Requirements are the foundation of the WBS, cost, schedule, quality,
and procurement areas
• Requirements are collected from ALL stakeholders.

5.2 Collect Requirements
Inputs Outputs
1. Project charter 1. Requirements documentation
2. Project management plan 2. Requirements traceability
3. Project documents matrix
4. Business documents
5. Agreements
factors

5.3 Define Scope
• *Define Scope – developing a detailed description of the product and
project scope.
• Key Benefit: describes the project, service, or result boundaries, and

acceptance criteria.
• Selects the final project requirements from the requirements

documentation developed during Collect requirements.
• Define Scope can be highly iterative.
• Key output is the creation of the project scope statement.

5.3 Define Scope
Inputs Outputs
1. Project charter 1. Project scope statement
2. Project management plan 2. Project documents updates
3. Project documents
4. Business documents
factors

PMI, the PMI logo, PMP, the PMP logo, and PMBOK are registered marks of Project Management Institute.
5.4 Create WBS
• The process of breaking down the project deliverables and project work
into smaller more manageable components.
• Key benefit is that provides a framework of what has to be delivered.

5.4 WBS Definitions
• *Work Breakdown Structure (WBS) – a hierarchical decomposition of the
total scope of work to be carried out by the project team to accomplish
the project objectives and create the required deliverables.
• *Work Packages - the work defined at the lowest level of each branch of
the WBS for which cost, and duration are estimated and managed.

Create WBS
• WBS organized by deliverables
Planning Process Group

5.4 Create WBS
Inputs Outputs
1. Project management plan 1. Scope baseline
2. Project documents 2. Project documents updates
factors

6.1 Plan Schedule Management
• *Plan Schedule Management – describes how to establish the policies,
procedures, and documentation for planning, developing, managing,
executing, and controlling the project schedule.
• Key Benefit : provides guidance and direction on how the project

schedule will be managed throughout the project.

6.1 Plan Schedule Management
Inputs Outputs
1. Project charter 1. Schedule management plan
2. Project management plan
factors

6.2 Define Activities
• *Define Activities – the process of identifying and documenting the
specific actions to be performed to produce the project deliverables.
• The key benefit is that it breaks down the work packages in the WBS into
specific schedule activities used for estimating, executing, monitoring and
controlling the project work.

6.2 Define Activities
Inputs Outputs
1. Project management plan 1. Activity list
2. Enterprise environmental 2. Activity attributes
factors 3. Milestone list
3. Organizational process assets 4. Change requests
updates

6.3 Sequence Activities
• *Sequence Activities - the process of identifying and documenting the
relationships between the activities.
• Key Benefits: Work is defined logically to obtain the most efficient schedule
given all project constraints.
• Project Schedule Network Diagram
Start
A
C

6.3 Sequence Activities
Inputs Outputs
1. Project management plan 1. Project schedule network
2. Project documents diagram
3. Enterprise environmental 2. Project documents updates
factors

6.4 Estimate Activity Durations
• *Estimate Activity Durations - the process of estimating the number of
work periods needed to complete individual activities with the estimated
resources
• Key Benefit: Provides the amount of time each activity will take to
complete.
• Estimating durations uses data from the scope statement, resource skill,
experience and number to determine the activity durations.
• Should be done by the person or group most familiar with the work.
• Progressively elaborated as information becomes known.

6.4 Estimate Activity Durations
Inputs Outputs
1. Project management plan 1. Duration estimates
2. Project documents 2. Basis of estimates
factors

6.5 Develop Schedule
• *Develop Schedule - process of analyzing activity sequences, durations,
resource requirements, and schedule constrains to create the project
schedule model for the project execution and monitoring and controlling.
• The key benefit is that it generates a schedule model with the planned
dates for completing the project activities.
• Developing a realistic and acceptable schedule to the team and

stakeholders is an iterative process.
• Revising and maintain the schedule continues throughout the project in

order to ensure stakeholders are fully informed on the status of the
project.
6.5 Develop Schedule
Inputs Outputs
1. Project management plan 1. Schedule baseline
2. Project documents 2. Project schedule
3. Agreements 3. Schedule data
4. Enterprise environmental 4. Project calendars
factors 5. Change requests
5. Organizational process assets 6. Project management plan
updates

7.1 Plan Cost Management
• *Plan Cost Management – the process of defining how the project cost
will be estimated, budgeted, managed, monitored, and controlled.
• Key Benefit: Provides guidance and direction on how the project costs
will be managed throughout the project.

7.1 Plan Cost Management
Inputs Outputs
1. Project charter 1. Cost management plan
factors

7.2 Estimating Costs
• *Estimating Costs- process of developing an approximation of the cost of
resources needed to complete the project work.
• Key benefit is that it determines the monetary resources required for the
project.
• Usually stated in units of currency however may use staffed hours.
• Cost estimates should be reviewed and refined during the course of the
project to reflect any additional information.

7.2 Estimating Costs
Inputs Outputs
1. Project management plan 1. Cost estimates
factors

7.3 Determine Budget
• *Determine Budget is the process of aggregating the estimated costs of
the activities or work packages to establish an authorized cost baseline.
• The key benefit is to determine the cost baseline and then ensure
performance against it is monitored and controlled throughout the life of
the project.

7.3 Determine Budget
Inputs Outputs
1. Project management plan 1. Cost baseline
2. Project documents 2. Project funding requirements
3. Business documents 3. Project documents updates
4. Agreements
factors

8.1 Plan Quality Management
• *Plan Quality Management – the process of identifying quality
requirements and/or standards for the project and its deliverables and
documenting how the project will demonstrate compliance with quality
requirements and/or standards.
• The key benefit is that it provides guidance and direction on how quality
will be managed and verified throughout the project.

8.1 Plan Quality Management
Inputs Outputs
1. Project charter 1. Quality management plan
2. Project management plan 2. Quality metrics
3. Project documents 3. Project management plan
4. Enterprise environmental updates
factors 4. Project documents updates

9.1 Plan Resource Management
• *Plan Resource Management - the process of defining how to estimate,
acquire, manage, and utilize physical and team resources.
• Key Benefit: Establishes the approach and level of management effort

needed based on type and complexity of the project.
• Used to determine and identify a plan to make sure we have sufficient

resources available for successful completion of the project.
• Resources may be internal or external, and other projects may be

competing for the same resources.

9.1 Plan Resource Management
Inputs Outputs
1. Project charter 1. Resource management plan
2. Project management plan 2. Team charter
factors

9.2 Estimate Activity Resources
• The process of estimating team resources and the type and quantities
of equipment, material, and supplies necessary to perform project
work.
• Key Benefit: Identifies the type, quantity and characteristics of

resources required to complete the activities in a project.

9.2 Estimate Activity Resources
Inputs Outputs
1. Project management plan 1. Resource requirements
3. Enterprise environmental 3. Resource breakdown structure

10.1 Plan Communications Management
• *Plan Communications Management –
• Developing an appropriate approach and plan for project communication
based on the information needs of each stakeholder or group, available
organizational assets, and the project needs.
• Key Benefit: Effectively and efficiently engage stakeholders by presenting

relevant information in a timely manner.
• Effective communication management plan recognizes the diverse

information need of the stakeholders. This should be done early in the
project while stakeholders are being identified.

10.1 Plan Communications Management
Inputs Outputs
1. Project charter 1. Communiation management
2. Project management plan plan
updates

11.1 Plan Risk Management
• *Plan Risk Management – A process of defining how to conduct risk
management activities for a project.
• The key benefit is to make sure that the degree, type, and visibility of risk
management must be in line with both the risk and the importance of
the project to the organization.

11.1 Plan Risk Management
Inputs Outputs
1. Project charter 1. Risk management plan
factors

11.2 Identify Risks
• *Identify Risks – process of identifying individual project risk and sources of
overall project risk, and then documenting their characteristics.
• The key benefit is that there is a documented record of the existing individual
risks and the sources of overall project risk.
• Identification of risk is a team event, and it is critical that ALL stakeholders are
involved and are responsible for risks for the life of the project.
• The process begins with the charter continues until close and is very much an
iterative process.
• The majority of risk identification is done during planning using three critical
components; WBS, cost estimates and time estimates.

11.2 Identify Risks
Inputs Outputs
1. Project management plan 1. Risk Register
2. Project documents 2. Risk report
3. Agreements 3. Project documents updates
4. Procurement documentation
factors

11.3 Perform Qualitative Risk Analysis
• *Perform Qualitative Risk Analysis – process of prioritizing individual
project risks for further analysis or action by assessing their
probability of occurrence and impact.
• Key benefit to this process is that we focus on the high-priority risks

that have been identified.
• This is a subjective approach, and we need to guard against

stakeholder bias.
• We will establish the priority of the individual project risks and

identify a risk owner who will take responsibility for on going
monitoring and planning the appropriate response.

11.3 Perform Qualitative Risk Analysis
Inputs Outputs
factors

11.4 Perform Quantitative Risk Analysis
• *Perform Quantitative Risk Analysis – is the process of numerically
analyzing the combined effect of identified individual project risks and
other sources of uncertainty on overall project objectives.
• The key benefit of the process is that it quantifies overall risk exposure
with other supporting quantitative risk data to support the needed
response.
• Key items to consider:

• Not required for all projects but when done is its done from start to finish
• Must have high quality data about the risk and uncertainty.
• More appropriate for large or complex projects

11.4 Perform Quantitative Risk Analysis
Inputs Outputs
factors

11.5 Plan Risk Responses
• *Plan Risk Responses – The process of developing options, selecting
strategies, and agreeing on actions to address the overall project risk
exposure, and to treat individual project risks.
• The key benefit to the process is that it identifies the best ways to
address overall and individual project risks with specific activities and
resources as needed into project documents and plans.
• Responses should be appropriate for the significance of the risk and realistic
to the constraints of the project
• Secondary risk should be identified as a result of implementing the response.

11.5 Plan Risk Responses
Inputs Outputs
1. Project management plan 1. Change requests

12.1 Plan Procurement Management
• *Plan Procurement Management – process of documenting project
procurement decisions, specifying the approach, and identifying
potential sellers.
• The key benefit of the process is that it determines whether to acquire

goods, services from outside the project, and if so:
What to acquire? How to acquire it?
When to acquire it?

12.1 Plan Procurement Management
Inputs Outputs
1. Project charter 1. Procurement management
2. Business documents plan
3. Project management plan 2. Procurement strategy
4. Project documents 3. Bid documents
5. Enterprise environmental 4. Procurement statement of
factors work
6. Organizational process assets 5. Source selection criteria
6. Make-or-buy decisions
7. Independent cost estimates
8. Change requests
updates

13.2 Plan Stakeholder Engagement
• *Plan Stakeholder Engagement - process of developing approaches to
involve stakeholders based on their needs, expectations, interests, and
potential impact on the project.
• The key benefit is that it provides a clear, actionable plan to interact

effectively with project stakeholders.
• An effective plan recognizes the diverse information needs of the

stakeholder early in the project life but is also reviewed throughout the
project as the stakeholders change.
• Be aware of the many triggers of stakeholder change in the project

lifecycle.

13.2 Plan Stakeholder Engagement
Inputs Outputs
1. Project charter 1. Stakeholder engagement plan
4. Agreements
factors

EXECUTING PROCESS GROUP

Executing Process Group
• The group consists of the processes needed to complete the work as
defined in the project management plan to satisfy the project
requirements that were approved.
• The process involves coordinating resources, managing stakeholder

engagement, and doing the work per the approved project plan.
• The key benefit is that the work is done here to meet the project
requirements which is also why a large part of the budget , resources and
time is used in the process.
• This process may generate change requests that will need to be

processed as part of Integrated Change Control process.

4.3 Direct and Manage Project Work
• *Direct and Manage Project Work - process of leading and performing
the work defined in the Project Management Plan and implementing
approved changes to achieve the projects objectives.
• The key benefit is that it provides overall management of the project

work and deliverables.
• During execution of the project, work performance data is collected

and communicated to the applicable controlling processes.

4.3 Direct and Manage Project Work
Inputs Outputs
1. Project management plan 1. Deliverables
2. Project documents 2. Work performance data
3. Approved change requests 3. Issue log
4. Enterprise environmental 4. Change requests
factors 5. Project management plan
5. Organizational process assets updates
updates

4.4 Manage Project Knowledge
• *Manage Project Knowledge –process of using existing knowledge and
creating new knowledge to achieve the project’s objectives and
contribute to organizational learning.
• Thew key benefits are:

• Prior organizational knowledge is leveraged to produce or improve the project
outcome.
• Knowledge created by the project is available to support organizational
operations and future projects or phases..
• This is about making sure the skills, experience and expertise of the
project team and other stakeholders are used before, during and after
the project.

4.4 Manage Project Knowledge
Inputs Outputs
1. Project management plan 1. Lessons learned register
3. Deliverables updates
4. Enterprise environmental 3. Organizational process assets
factors updates

8.2 Manage Quality
• *Manage Quality – the process of translating the quality management
plan into executable quality activities that incorporate the organizations
quality policies into the project.
• The key benefit is that it increases probability of meeting the quality

objectives and identifying inadequate processes and causes of poor
quality.
• Manage Quality uses the data and results from the control quality
process to reflect the overall quality status of the project to the
stakeholders.

8.2 Manage Quality
Inputs Outputs
1. Project management plan 1. Quality Reports
2. Project documents 2. Test and evaluation documents
3. Organizational process assets 3. Change requests
updates

9.3 Acquire Resources
• *Acquire Resources - Process of obtaining team members, facilities,
equipment, materials, supplies, facilities, and other resources necessary
to complete the project work.
• The key benefit is that it outlines and guides the selection of resources and
assigns them to their respective activities.
Functional or Procurement
Resource Process
Manager
Internal External
Resources Resources

9.3 Acquire Resources
Inputs Outputs
1. Project management plan 1. Physical resource assignments
2. Project documents 2. Project team assignments
3. Enterprise environmental 3. Resource calendar
factors 4. Change requests
updates
7. Enterprise environment factor
updates
updates

9.4 Develop Team
• *Develop Team - process of improving competencies, team member
interaction, and the overall team environment to enhance project
performance.
• The key benefits of this process are:

• Improved teamwork
• Enhanced people skills and
competencies
• Motivated employees
• Reduced attrition
• Improved overall project performance

9.4 Develop Team
Inputs Outputs
1. Project management plan 1. Team performance
2. Project documents assessments
3. Enterprise environmental 2. Change requests
5. Enterprise environment factor
updates
updates

9.5 Manage Team
• *Manage Team:
• Process of tracking team member performance, providing feedback, resolving
issues, and managing team changes to optimize the project performance.
• The key benefit is that it influences the team’s behavior, manages conflict,
and resolves issues.
• Managing the project team requires a variety of management and leadership

skills to bring the team together in order to achieve a high-performing project
team.

9.5 Manage Team
Inputs Outputs
2. Project documents 2. Enterprise environmental
3. Work performance reports factors
4. Team performance 3. Project management plan
assessments updates
5. Enterprise environmental 4. Project document updates
factors

10.2 Manage Communications
• *Manage communications – the process of ensuring timely and
appropriate collection, creation, distribution, storage, retrieval,
management, monitoring, and the ultimate disposition of project
information.
• The key benefit is that it enables an efficient and effective information

flow between the project team and the stakeholders.

10.2 Manage Communications
Inputs Outputs
1. Project management plan 1. Project communications
3. Work performance reports updates
factors 4. Organizational process assets

11.6 Implement Risk Responses
• *Implement Risk Responses – The process of implementing an agreed
upon risk response plan.
• The key benefit of this process is that it ensures that agreed upon risk
responses are executed as planned to address overall project risk
exposure as well as minimize individual threats and maximize project
opportunities.

11.6 Implement Risk Responses
Inputs Outputs

12.2 Conduct Procurements
• *Conduct Procurements is the process of obtaining sellers responses,
selecting a seller, and awarding a contract.
• The key benefit of this process is that it selects a qualified seller and
implements the legal agreement for delivery.

12.2 Conduct Procurements
Inputs Outputs
1. Project management plan 1. Selected sellers
2. Project documents 2. Agreements
3. Procurement documentation 3. Change requests
4. Seller proposals 4. Project management plan
6. Organizational process assets 6. Organizational process assets
updates

13.3 Manage Stakeholder Engagement
• *Manage Stakeholder Engagement is the process of communicating and
working with stakeholders to:
• Meet their needs and expectations.
• Address issues as they occur.
• Foster appropriate stakeholder involvement.
• The key benefit is that it allows the project manager to increase support
and minimize resistance from stakeholders.

13.3 Manage Stakeholder Engagement
Inputs Outputs

MONITORING & CONTROLLING
PROCESS GROUP

Monitoring & Controlling Process Group
• The group consists of those processes required to track, review, and
regulate the progress and performance of the project
• Identify any areas in which changes to the plan are required;
• Initiate the corresponding changes.
• Monitoring is about collecting project performance data, producing

performance measures, and reporting and distributing to stakeholder's
performance information
• Controlling is about comparing the actual performance with the planned

performance, analyzing variances, assessing trends and datemarking if any
corrective actions are needed.

4.5 Monitor and Control Project Work
• *Monitor and Control Project Work - the process of tracking, reviewing,
and reporting overall progress to meet the performance objectives
defined in the project management plan.
• The key benefit is that it allows stakeholders to understand the current state
of the project, recognizing actions taken to address performance issues, to
have visibility into future project status using cost and schedule forecasts.

4.5 Monitor and Control Project Work
Inputs Outputs
1. Project management plan 1. Work performance reports
2. Project documents 2. Change requests
3. Work performance information 3. Project management plan
4. Agreements updates
factors

4.6 Perform Integrated Change Control
• *Perform Integrated Change Control - The process of reviewing all
change requests; approving changes and managing the changes to
deliverables, organizational process assets, project documents, and the
project management plan then communicating the decisions.
• This process reviews all requests for change to project documents, deliverables or
the project management, and determines the resolution of the change request.
• The key benefit is that it allows for documented changes within the project to be
considered while addressing overall project risk which can happen from changes
made without the consideration of the overall project objectives and plans.
• Changes may be initiated verbally but should be documented in writing and

entered into the change management system.
• When required, change requests and impacts are sent to the Change Control
Board (CCB) to be approved, deferred, or rejected.

Changes should be documented in writing (even if the change was
initiated verbally) Change Requests are an output of most processes.
• Except… “Unsigned”
Change Requests are an Input to
Perform Integrated Change Control.
• Analyzed and approved by:

• Responsible Individual
• When identified in procedures or the PM plan. Change
Log
• Or Change Control Board (CCB)
•If required by the procedures or the PM plan.
• Approved Change Requests are an

Output of Perform Integrated
Change Control process.

Inputs Outputs
1. Project management plan 1. Approved change requests
4. Change requests 3. Project documents updates
factors

5.5 Validate Scope
• *Validate Scope - the process of formalizing acceptance of the completed
final or intermediate project deliverables.
• The key benefit is that it brings objectivity to the acceptance process and
increases the chance of final acceptance by validating each deliverable.

5.5 Validate Scope
Inputs Outputs
1. Project management plan 1. Accepted deliverables
2. Project documents 2. Work performance information
3. Verified deliverables 3. Change requests
4. Work performance data 4. Project documents updates

5.6 Control Scope
• *Control Scope - the process of monitoring the status of the product
scope and project scope and managing changes to the scope baseline.
• The key benefit is that it allows the scope baseline to be maintained

throughout the project.
• Ensures all requested changes, (corrective or preventive actions) are

processed through Integrated Change Control.

5.6 Control Scope
Inputs Outputs
1. Project management plan 1. Work performance information
3. Work performance data 3. Project management plan

6.6 Control Schedule
• *Control Schedule - process of monitoring the status of the project to
update the project schedule and managing changes to the schedule
baseline.
• The key benefit is that the schedule baseline is maintained throughout

the project.

6.6 Control Schedule
Inputs Outputs
2. Project documents 2. Schedule forecasts
3. Work performance data 3. Change requests
updates

7.4 Control Costs
• *Control Costs - process monitors the status of the project to update the
project costs and manage changes to the cost baseline.
• The key benefit is that it cost baseline is maintained throughout the

project.

7.4 Control Costs
Inputs Outputs
2. Project documents 2. Cost forecasts
3. Project funding requirements 3. Change requests

8.3 Control Quality
• *Control Quality - process of monitoring and recording results of
executing the quality activities to assess performance and ensure the
project outputs are complete, corrected, and meet the customer
expectations.
• The key benefit of this process is verifying that project deliverables and
work meet the requirements detailed by the key stakeholders for final
acceptance.

8.3 Control Quality
Inputs Outputs
1. Project management plan 1. Quality control
2. Project documents measurements
3. Approved change requests 2. Verified deliverables
4. Deliverables 3. Work performance
information
5. Work performance data
4. Change requests
updates

9.6 Control Resources
• *Control Resources – the process of ensuring that the physical
resources assigned and allocated to the project are available as planned,
as well as monitoring the planned vs. actual utilization of resources in
performing corrective action as necessary.
• The key benefit is ensuring the right resources are available at the right
time, in the right place, in the right amount, and are released when no
longer needed.

9.6 Control Resources
Inputs Outputs
4. Agreements updates
5. Organizational process assets 4. Project documents updates

10.3 Monitor Communications
• Monitor Communications - the process of ensuring that the
information needs of the project and stakeholders are met.
• They key benefit is the optimal information flow as defined in the

communication management plan and the stakeholder engagement
plan.

10.3 Monitor Communications
Inputs Outputs

11.7 Monitor Risks
• *Monitor Risks - the process of monitoring the implementation of
agreed-upon risk response plans, tracking identified risks, identifying
and analyzing new risks, and evaluating risk process effectiveness
throughout the project.
• The key benefit is that it enables project decisions to be based on

current information about overall project risk exposure and individual
project risk.

11.7 Monitor Risks
Inputs Outputs
updates

12.3 Control Procurements
• *Control Procurements - manages the procurement relationships,
monitors contract performance, makes contract changes or corrections
and closes out contracts.
• The key benefit is that it ensures both the seller’s and buyer’s
performance meet procurement requirements per the terms of the legal
agreement.

12.3 Control Procurements
Inputs Outputs
1. Project management plan 1. Closed procurements
2. Project documents 2. Work performance information
3. Agreements 3. Procurement documentation
4. Procurement documentation updates
5. Approved change requests 4. Change requests
updates
8. Organizational process assets 7. Organizational process assets
updates

13.4 Monitor Stakeholder Engagement
• *Monitor Stakeholder Engagement - the process of monitoring project
stakeholder relationships and tailoring strategies for engaging
stakeholders through modifying engagement strategies and plans.
• The key benefit is that it maintains or increases the efficiency and

effectiveness of stakeholder engagement activities as the project evolves,
and the environment changes.

13.4 Monitor Stakeholder Engagement
Inputs Outputs

CLOSING PROCESS GROUP

Closing Process Group
• The group consists of the processes to formally complete or close a
project, phase or contract.
• The group verifies that the defined processes are completed within the
Process Groups to close the project or phase and formally establishes
that the project or phase is complete
• The key benefit is that phases, projects, and contracts are closed out
appropriately.
• The group may also address the early closure of the project such as a
cancelled project.

4.7 Close Project or Phase
• *Close Project or Phase - the process of finalizing all activities for the
project, phase, or contract.
• The key benefits are the project or phase information is archived, the planned
work is completed, and the organizational team resources are released to
pursue new endeavors.

4.7 Close Project or Phase
Inputs Outputs
1. Project charter 1. Project documents updates
2. Project management plan 2. Final product, service, or result
3. Project documents transition
4. Accepted deliverables 3. Final report
5. Business documents 4. Organizational process assets
updates
6. Agreements
7. Procurement documentation

TOOLS AND TECHNIQUES

Tools and Techniques
• Data gathering
• Data analysis
• Data representation
• Decision-making
• Communication skills
• Interpersonal skills

Data Gathering
• Benchmarking • Influence diagrams
• Brainstorming • Iteration burndown chart
• Check sheets • Make or buy analysis
• Checklists • Performance reviews
• Focus Groups • Process analysis
• Interviews • Proposal evaluation
• Market research • Regression analysis
• Questions and surveys • Reserve analysis
• Statistical sampling • Risk data quality assessment
• Alternative analysis • Root cause analysis
• Assessment of other risk parameters • Sensitivity analysis
• Assumption and constraint analysis • Simulation
• Cost of quality • Stakeholder analysis
• Cost benefit analysis • SWOT analysis
• Decision tree analysis • Technical performance analysis
• Document analysis • Trend analysis
• Earned value analysis • Variance analysis
• What-if scenario analysis

Data Representation
• Affinity diagram • Mind mapping
• Cause and effect diagram • Probability and impact matrix
• Control charts • Scatter diagrams
• Flowcharts • Stakeholder engagement assessment
• Hierarchical charts matrix
• Histograms • Stakeholder engagement assessment
matrix
• Logical data model
• Stakeholder mapping/representation
• Matrix diagram
• Text oriented formats
• Matrix based charts

Decision Making
• Multicriteria decision analysis
• Voting

Communication Skills
• Feedback
• Presentations

Interpersonal & Team Skills
• Active listening • Leadership
• Communication styles • Meeting management
assessment • Motivation
• Conflict management • Negotiation
• Cultural awareness • Networking
• Decision making • Nominal group technique
• Emotional intelligence • Observations / conversation
• Facilitation • Political awareness
• Influencing • Team building

Ungrouped
• Advertising • Communication technology
• Agile release planning • Context diagram
• Analogues estimating • Contingent response strategies
• Audits • Cost aggregation
• Bidders conference • Critical path method
• Bottom-up estimating • Decomposition
• Change control tools • Dependency degermation and
• Claims administration integration
• Colocation • Design for X
• Communication methods • Expert judgement
• Communication models • Financing
• Communication requirements • Funding limit reconciliation
analysis

Ungrouped
• Ground rules • Product analysis
• Historical information – review • Project management information
• Individual and team assessments system
• Information management • Project reporting
• Inspections • Prompt lists
• Knowledge management • Prototypes
• Leads and lags • Quality improvement methods
• Meetings • Recognition and rewards
• Organizational theory • Representation of uncertainty
• Parametric estimating • Response optimization
• Pre-assignment • Risk categories
• Precedence diagraming method • Rolling way planning
• Problem solving

Ungrouped
• Schedule compression
• Schedule network analysis
• Source selection analysis
• Strategies for opportunities
• Strategies for overall project risk
• Test and inspective planning
• Testing/product evaluations
• Three-point estimating
• To-complete performance index
• Training
• Virtual teams

Discussion, Questions and Answers


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INTRODUCTION

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• Code of Conduct includes two types of standards:

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• Unique – Fulfilling an objective by producing the deliverables such as:

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• In the form of elements such as time, money, goods, or intangibles.

• Business value is unique to each organization.

• Successful business value realization begins with comprehensive

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• They may be internal or external to

• Stakeholders can a positive or

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Companies embrace project management to allow them to do more

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• Programs – refers to a grouping of related projects, subprograms, and

• Projects - can be either within or outside of a program are still part of a

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• Project Governance is the framework, functions, and processes that give

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1. Supportive: Provides requested policies, training, lessons learned, and

2. Controlling: Provides support and requires compliance. May involve adopting

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• Incremental: each portion or segment produced is complete and adds

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• Known as Agile or change driven

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Elements evolving or Adaptive

• Project life cycle flexibility may be achieved by:

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• Attributes are measurable and unique to a specific phase and include:

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• Names for a phase gates include:

• The comparison results in a (go/no–go) decision such as:

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• The five Process Groups contain 49 logically grouped project

See Table 1-4 PMBOK 6th edition page 25

• Initiating Process Group: to define, document, and authorize a new project or

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• Work Performance Information: performance data analyzed in context.

• Work Performance Reports: physical or electronic representation of work

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• Project management methodology may be:

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• Tailoring should consider: