Unit 2: PMI Concepts and Integration Management PMBOK … · · 2015-02-17... PMI Concepts and Integration Management (PMBOK® Guide, ... Organizational culture ... see Course Slides

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Unit 2: PMI Concepts and Integration Management (PMBOK® Guide, Chapters 1-4)

Integration management unifies, coordinates, and manages the interdependencies among all process groups and knowledge areas. This chapter also covers testable material from the first three chapters of the PMBOK® Guide. You may encounter language and techniques that are unique to PMI and may not always be consistent with your own personal background.

PMI Concepts, PMBOK® Guide, Chapters 1-3

Chapter 1, PMBOK® Guide: Introduction (Chapter 1 provides basic definitions and concepts)

Purpose of the PMBOK® Guide: Advances the profession of project management by:

• Setting forth guidelines for generally recognized good practices. The suggested practices are not meant to be applied uniformly in every case but, instead, should be adjusted for the needs of any given project.

• Providing and promoting a common vocabulary.

• Establishing guidelines for ethical and professional conduct. The PMI® Code of Ethics and Professional Conduct sets forth basic obligations for responsibility, respect, fairness, and honesty that apply globally. A summary of the code of conduct appears in the appendices in Unit 14 of this study guide. See optional course slides #2-1 through #2-4.

Responsibility: Act in the best interests of society, public safety, and the environment. Only accept assignments you are qualified for. Report unethical conduct to management and/or PMI. Only file ethics complaints if substantiated by facts. Uphold laws and regulations that govern your work.

Respect: Listen to others; respect norms and customs of others. Respect physical and intellectual property. Be professional even if not reciprocated. Don’t use power for personal gain. Handle conflict directly; negotiate in good faith. Do not act in an abusive manner.

Fairness: Be transparent, impartial, and objective when making decisions. Never discriminate, make opportunities equally available. Disclose real or potential conflicts of interest.

Honesty: Never make statements that are misleading, false, only partially true, out of context, or not timely. Do not mislead others for personal gain.

Project: A project is a temporary endeavor undertaken to create a unique product, service, or result (PMBOK® Guide, p. 3). All page references are to the PMBOK® Guide unless otherwise noted.

Unit 2: Integration Management

2-2 PMC:DJ4:EN:000 ver.2.0 © CMF Solutions and ESI July 2013

• Temporary means the project has a definite beginning and ending (finite duration). Temporary does not necessarily indicate a project of short duration.

• Unique means the product or service is different in some distinguishing way from all similar products or services.

• In contrast, operations are characterized as “on-going and repetitive” (PMBOK® Guide, pp. 3 and 12-13).

• The purpose of a project is to attain its objective and then terminate. The purpose of operations is to continuously sustain the business or organization.

Numerous authors agree on two additional characteristics for describing a project:

• Requires coordination of interrelated activities (complex enough to require a team).

• Is “progressively elaborated,” i.e., proceeds in steps or increments (PMBOK®

Guide, p. 6). Progressive elaboration allows the project plan to be continuously improved as more detailed information and more accurate estimates become available. The words “progressive detailing and rolling wave planning” are also used to describe the same phenomenon.

Project management is the application of knowledge, skills, tools, and techniques to project activities to “meet project requirements” (PMBOK® Guide, pp. 5-6).

• Managing a project includes: 1) identifying requirements, 2) addressing the needs and expectations of stakeholders, 3) balancing quality, scope, time, cost, risk, and resource constraints, and 4) managing the concerns of key stakeholders.

• Project management is accomplished through the coordinated use of 47 processes integrated among the following 5 process groups: initiating, planning, executing, monitoring/controlling, and closing.

Triple constraint: Projects are managed through a delicate balance of three key factors: scope, time, and cost. Other related constraints include quality, resources, and risk. A change in any of these factors will often lead to associated changes in one or more of the other factors. The overall quality and success of a project are frequently determined by how effectively these constraints are managed. See course slide #2-5.

Program: Programs are larger in scope than projects and it is also not as clear when a program should end. PMI says “a program is a group of projects managed in a coordinated way to obtain benefits not available from managing them individually” (PMBOK® Guide, p. 9). Programs often have elements of ongoing, cyclical operations.



Program Management: Program management is the application of knowledge, skills, tools, and techniques to a program to “meet program requirements and obtain benefits not available by managing the projects individually” (PMBOK® Guide, p. 9).

• Programs always contain related projects. For example, a satellite program may have related projects for design, construction, test, and launch.

• Conversely, projects do not necessarily have to be part of a program.

Portfolios, Portfolio Management, and Organizational Project Management:A portfolio is a collection of projects, programs, and operations managed as a group to achieve strategic business objectives (PMBOK® Guide, pp. 4, 7-10)

• The projects or programs do not necessarily have to be interdependent.

• Organizations establish portfolios on the basis of criteria such as: lines of business, types of projects, risk versus reward trade-offs, and strategic objectives.

• A possible outcome of portfolio management might be the selection and initiation of a new project or program.

Portfolio management aligns work with organizational strategies by selecting and prioritizing the right projects, providing needed resources, and managing interdependencies.

Organizational Project Management (OPM) is the overall strategy framework for pursuing organizational goals and objectives. Portfolios, programs, and projects exist within this OPM framework.

Organizational Governance: Most organizations use a formal governance process that provides oversight and direction for all the work accomplished, including operations, project management, or any other form of work (PMBOK® Guide, pp. 14-15). Governance provides processes for establishing organizational strategies and goals, creating criteria for measuring success, and a means to determine whether value is added to the business. Projects, programs, and portfolios operate within the governance process.

Project Management Office (PMO), PMBOK® Guide, pp. 10-12:

• Many organizations use PMOs to standardize project governance, facilitate sharing of resources, and coordinate the use of standard methodologies and tools for managing projects.

• PMOs operate on a continuum with the level of control ranging as follows:



Supportive: PMO is in a consulting role providing training, lessons learned, templates, and best practices. PMO degree of control is low.

Controlling: PMO requires compliance with methodologies, tools, templates, and forms. PMO degree of control is moderate.

Directive: PMO takes control of projects by directly managing them.PMO degree of control is high.

• A list of possible PMO functions is provided in the PMBOK® Guide, p. 11

Role of Operations Management vs. Project Management in Organizational Strategy: Operations management is concerned with on-going production of goods and services. It provides daily control of business operations in areas such as manufacturing, accounting, maintenance, engineering, sales, and other areas appropriate for the specific nature of the organization. Operations management applies to work that is on-going and repetitive, and it is performed to sustain the organization over the “long run”.

Role of the Project Manager (PMBOK® Guide, pp. 16-18): The project manager is the critical link between the project team and other parts of the organization so that project objectives are met and organizational strategies are achieved. PMI identifies 3 competencies (knowledge, performance, and personal skills) and also provides a list of interpersonal skills needed to work effectively with the team and other stakeholders. The skills are listed at least 3 places in the PMBOK® Guide, and we will address them in detail in the unit on human resource management.

Chapter 2, PMBOK® Guide: Organizational Influences and Project Life Cycle

Organizational culture (PMBOK® Guide, pp. 20-21): Organizational culture embodies vitally important factors such as norms and beliefs, methods and procedures (degree of project management maturity), attitudes toward authority, and work ethic.The state of culture and styles in an organization may have a profound effect on project success.

Organizational communication (PMBOK® Guide, p. 21): Successful projects depend heavily on effective communications, especially in today’s world of globally connected projects. Unit 8 addresses the details of effective communication.

Organizational structure (PMBOK® Guide, pp. 21-26): PMI recognizes various organizational structures and the exam asks numerous questions on this topic. Also,see Course Slides #2-6 through #2-9 for a visual representation of the following organizational structures.



1. Functional: This traditional structure aligns people by “specialization,” for example, engineering, production, procurement, marketing, finance, and so on.Employees tend to have one clear superior. Functional organizations are sometimes called silo or stovepipe organizations. In such structures, projects have not always enjoyed a high priority (especially when the project has been assigned to a different division and some employees feel that the project is simply “not my problem”). Project managers can be found at different levels in a functional organization:

a. The project manager may be chosen from the lowest working level in a functional organization. In this case, the project manager tends to have extremely limited authority (PMI says “little or none”).

b. If the project manager is chosen from the Vice President’s staff, he or she is referred to as a “project expeditor” (a phrase that is unique to PMI).Overall authority is still relatively low but is probably greater than the traditional functional form as the expeditor probably has easier access to powerful people because of his/her proximity to the VP and staff. Authority is usually limited to the division in which the expeditor works. The specific description of the authority is “little.”

c. If the project manager is chosen from the CEO’s staff, the PM is referred to as a “project coordinator.” Authority, while still low overall, is more likely to extend across divisional lines and is still described as “little.”

2. Matrix: The matrix form of organization maintains the vertical functional lines of authority, but adds a horizontal structure for the project managers. In this approach, projects take on a more visible and official posture across corporate divisions. Functional divisions are expected to support new projects when they are established. In a matrix organization, project managers interact with functional managers to acquire the resources they need to support their projects.

a. In a weak matrix the project manager has comparatively less power in the relationship with functional managers. In a weak matrix, PMI contends that physical proximity, relative time expenditures, and administrative relationships favor the functional managers. Formal authority for the project manager is considered to be limited and the project manager’s role is more like that of an expeditor or coordinator.



b. In a balanced matrix, the sharing of power between the project manager and the functional departments is more equal and the authority of the project manager is considered to be in the “low to moderate” range.

c. In a “strong matrix,” power shifts more toward the project manager.Formal authority for the project manager moves into the moderate to high range and the project manager’s role is more similar to project-based organizations.

Key point about the matrix:

• Team members report to two or more bosses

3. Projectized: In a projectized organization, team members are assigned to a project on a full-time basis. The project manager has extremely high authority (“high to almost total”), including control over budgets, appraisals, work assignments, and physical location of the team.

Advantages Disadvantages

Functional• Easier management of specialists • Clear accountability and reporting

• More emphasis on functional specialty than project needs

• No career path • Projects not a priority

Matrix • Project objectives more visible • Improved PM control over resources

(compared to functional) • More support from functional

disciplines • Better utilization of resources (time-

sharing) • People maintain a “functional home” • Better information flow than

functional (horizontal and vertical)

• More than one boss for teams • Complex information flows • Different priorities (functional vs.

PM)• Team members are “borrowed” so

getting commitment may be difficult • Extensive effort needed to establish

policies and procedures • Difficult resource allocation and

project priority issues Projectized• Ultimate authority for PM • Efficient project organization • Loyalty to the project • More effective communication

(physical collocation of the team)

• No home when project completed • May not maintain professionalism in

functional disciplines • Duplication of facilities, job functions,

and individual resources



See Table 2-1 in the PMBOK® Guide, p. 22 for a summary of these organizational forms.

Organizational Process Assets (OPA): OPA includes all of an organization’s processes, policies, procedures, and knowledge bases that may influence the success of a project. Some organizations have a strong PMO and well-developed project management methodologies. PMI has divided OPA into the following two categories (PMBOK® Guide, pp. 27-28):

Note: Organizational Process Assets is used as an input to 38 of 47 processes (81%).

Processes and Procedures (aligned with process groups):

• Initiating and Planning:

Guidelines for tailoring standard processes to meet specific project needs.

Specific organizational standards (HR, health, safety, ethics, and project management policies; quality control policies, e.g., process audits and checklists; and project life cycles.

Templates (example formats for such items as the risk register, WBS, schedule network diagrams, and contract formats).

• Executing and Monitoring/Controlling:

Change control procedures (applies to changes of all types: product changes, changes to project documents, and so on).

Financial controls (time reporting, budgetary reviews/controls, standard contract clauses).

Issue and defect management procedures.

Work authorization procedures (ensures that the right work is done at the right time and in the right sequence).

Standard criteria for work instructions, proposal evaluation, and performance measurement.

• Closing:

Project closure guidelines and requirements (lessons learned, final audits, project evaluations, product validations and acceptance criteria).



Corporate Knowledge Base: The knowledge base that stores information and allows retrieval when needed.

• Project files: e.g., baselines, calendars, schedule network diagrams, and risk registers

• Historical information (results from previous, similar projects) and lessons learned databases

• Process measurement databases • Defect management databases • Configuration management knowledge base • Financial databases

Enterprise Environmental Factors (EEF): All projects occur within an environment that influences the potential for success (PMBOK® Guide, p. 29). The factors in this environment may help or hinder project outcomes and may include, but are not limited to, the following:

• Organizational culture, structure, and processes

• Geographic distribution of facilities and resources

• Government or industry standards that may apply to your business

• Existing infrastructure (facilities and equipment)

• Existing human resources (skill sets)

• Personnel system (staffing, performance reviews, overtime policies, etc.)

• Work authorization systems (system to ensure the right work is done at the right time and in the right sequence)

• Marketplace conditions (competition and contractors available for outsourcing)

• Stakeholder risk tolerance

• Political climate

• Organization’s communication system

• Commercial databases for cost estimating and risk analysis

• Project management information systems (includes tools such as scheduling software, configuration management, information collection/distributionsystems, and internet/web interfaces).

Note: Enterprise Environmental Factors is used as an input to 27 of 47 processes (57%).



Stakeholders (PMBOK® Guide, p. 30): A project stakeholder is anyone (individual or organization) that is involved in a project, may be affected by the results of the project, or may exert influence over the project. PMI emphasizes the importance of identifying and managing key stakeholders. Key stakeholders may, among others, include the following (PMBOK® Guide, pp. 32-33):

• Project manager • Functional managers • Project team • Customer/user • Sponsor (provides funding and other critical resources) • PMO • Performing organization (the enterprise whose employees are most

directly involved in the work) • Sellers and business partners • Citizens and society that may be affected by the project

Important issues in stakeholder management:

• Stakeholder requirements must be incorporated into the project management plan.

• Stakeholder identification is a continuous process. • Overlooking potentially “negative” stakeholders can increase risk of failure. • If stakeholder expectations come into conflict, the resolution should

generally favor the customer. • On some projects, the customer provides the functions of a sponsor. A

separate internal sponsor may not be used.

Project Team (PMBOK® Guide, pp. 35-38): The project team consists of people with the right knowledge and skills to carry out the work. They come from various groups and how they interact is affected significantly by the organizational structure chosen for the project. PMI defines the following roles for project teams:

• Project management staff: Perform management activities such as scheduling, budgeting, and reporting.

• Project staff: Members of the team who carry out the work outlined in the deliverables.



• Supporting experts: Functional experts often referred to as SMEs (subject matter experts) who perform functions such as procurement, finance, engineering, quality control, and so on.

• User or customer representatives: Those who act as liaisons to accept deliverables, advise on requirements, and ensure proper coordination.

• Sellers: Vendors, suppliers, and contractors. They are external sources providing various portions of the work and there is generally some form of contract or legal agreement in place.

• Business partners and members: External companies with a special relationship (alliance, certified provider of certain specialized work).Members of these business partners are sometimes assigned to work on the project team to ensure proper coordination and communication.

Characteristics of a Project Life Cycle (see course slides #2-10 and #2-11)

• Has sequential or over-lapping phases (logical subsets of work for ease of planning, management, and control).

• Cost and staffing levels are low at the start, peak in the middle, and fall off. • Level of uncertainty and risk is greatest at the start; chance of successful

completion grows higher as the project continues. • Ability of stakeholders to influence the project outcomes is greatest at the

start and grows progressively lower. • Cost of changes is lower at the start and higher as the project continues.

Chapter 3, PMBOK® Guide: Project Management Processes

A process is a set of interrelated actions performed to achieve a pre-specified set of products, results, or services. Processes fall into two categories: 1) product processes are used to specify and create the desired product and 2) project processes are used to initiate, plan, execute, control, and close the work of the project team. PMI has organized project management processes into five groups (PMBOK® Guide, pp. 47-49).

1. Initiating: defines and authorizes the project or phase. 2. Planning: establishes project scope, refines project objectives, and defines a

course of action to attain those objectives. 3. Executing: processes performed to complete the work defined by the project

plan. 4. Monitoring and Controlling: regularly measures and monitors progress to

identify variances from the plan so that corrective action can be taken when necessary (including necessary changes).

5. Closing: formalizing acceptance of the project or phase and bringing it to an orderly end.



Important characteristics of these process groups follow (PMBOK® Guide, pp. 39-41):

• They are linked by the results they produce; that is, the result of one becomes an input to another.

• They are overlapping & iterating rather than discrete, one-time events (for example, executing the plan may uncover problems requiring an update to the plan.

• The process groups occur in all phases of a project; that is, each phase needs to be initiated, planned, executed, and so on. The processes also cross phases. Closing a phase becomes the input needed to initiate the next phase.

• The process groups are not phases; rather, the process groups are used during each phase to get things done.

Typical Activities Associated with Each Process Group. The following lists match typical activities to the process groups in which they most likely occur. See course slide #2-12 for a summary of this information.

Initiating

• Select project • Identify business need • Establish goals and objectives• Develop an initial (high-level) scope statement including: product

description, major deliverables, constraints, assumptions, time estimates, cost estimates, and resource requirements

Two important definitions: • Constraints: Restrictions that limit project options • Assumptions: Factors believed to be true for planning but not known with

certainty and therefore pose a risk • Conduct feasibility studies• Define responsibilities of the PM • Develop a project charter

Planning:

• Create a detailed scope statement and scope management plan • Determine/plan who is needed on project team • Develop a WBS• Finalize needed team members and create the resource management plan • Develop WBS dictionaries (detailed descriptions of tasks in WBS) • Create a network diagram



• Estimate time and cost • Determine the critical path • Develop schedule and schedule management plan • Establish budget • Establish management plans (stakeholder, quality, risk, communication,

procurement)• Develop a formal project management plan• Obtain formal approval of the project management plan • Hold a kick-off meeting

Executing:

• Set up a project organization • Acquire, develop, and manage the project team • Manage stakeholders • Conduct team building and team development• Perform quality assurance • Perform (execute) work packages• Monitor project progress • Distribute information in accordance with the communication plan

Monitoring and Controlling:

• Implement integrated change control • Execute specific change control plans: scope, schedule, cost, quality, risk,

and procurement • Control stakeholders • Measure project performance • Monitor project variances • Take corrective action

Closing:

• Review and accept project results (customer acceptance)• Procurement audits • Product verification • Formal acceptance

• Evaluate results (lessons learned)• Update and archive records • Reassign resources (release team)



Project Information (PMBOK® Guide, pp. 58-59): PMI has refined the terminology associated with project information as follows:

• Work performance data: Data are the raw measurements of work activities; these data have not been analyzed or interpreted yet. Examples would include: 1) Task A took 4 days or 2) The percentage of defective items this month was 3%.

• Work performance information: Data become information by analyzing the performance outcomes in the context of actual project events.Information provides meaningful status of deliverables, the overall status of change requests, forecasts of future project spending, and so on. Data would tell us how long certain tasks took whereas information would tell us whether the overall project is behind schedule or not.

• Work performance reports: Reports are the electronic or physical presentation of work performance information using status reports, memos, electronic dashboards, and so on. Work performance reports are used to raise issues and generate decisions.

Building Blocks of the PMBOK® Guide (Knowledge Areas, Process Groups, and Processes), pp. 60-61:

PMI has organized their body of knowledge using three fundamental building blocks:knowledge areas, process groups, and processes. The table on page 2-15 (study guide) illustrates the relationships among these building blocks.

Knowledge Areas: Each knowledge area (shown as the column on the left) has a corresponding chapter in the PMBOK® Guide. They represent management areas that must be handled by any project manager. In other words, project managers must manage scope, time, cost, quality, human resources, and so on.

Process Groups: In the real world, management of projects also tends to unfold in a somewhat chronological fashion. A potential project is investigated and authorized (initiated), then planned, executed, and closed. Throughout the project, progress is continually monitored and controlled. PMI refers to these chronological steps as process groups and indicates that they typically occur on most projects. They are shown as the other five columns on the table. Definitions for each process group were shown previously.

Processes: The body of the table identifies 47 processes. Each row shows the processes that belong to that knowledge area. Each column shows the processes that belong to that process group.



The following mnemonic devices may help you memorize the knowledge areas and process groups. For the ten knowledge areas, the saying is, “I Should Take Controland Quit Helping Customers Ruin Projects Swiftly;” (the first letter of each word represents a knowledge area). For the five process groups, the mnemonic is IPECC.

Knowledge Areas Process Groups I = Integration InitiatingS = Scope Planning T = Time ExecutingC = Cost Controlling Q = Quality Closing H = Human Resource C = CommunicationR = RiskP = ProcurementS = Stakeholder



PMBOK® Guide

Table 3-1, p. 61

Process Groups

Knowledge Areas Initiating Planning Executing

Monitoring & Controlling Closing

4. Integration Management

1. Develop projectcharter

2. Develop project management plan

3. Direct & manageproject work

4. Monitor & control project work

5. Perform integratedchange control

6. Close project or phase

5. Scope Management

1. Plan scope management 2. Collect requirements 3. Define scope 4. Create WBS

5. Validate scope 6. Control scope

6. Time Management

1. Plan schedule management

2. Define activities 3. Sequence activities 4. Estimate resources 5. Estimate durations 6. Develop schedule

7. Control schedule

7. Cost Management

1. Plan cost management 2. Estimate costs 3. Determine budget

4. Control costs

8. Quality Management

1. Plan quality management 2. Perform quality assurance

3. Control quality

9. Human ResourceManagement

1. Plan human resource management

2. Acquire project team

3. Develop project team

4. Manage project team

10.Communication Management

1. Plan communications management

2. Manage communications

3. Control communications

11. Risk Management

1. Plan risk management 2. Identify risks 3. Perform qualitative analysis 4. Perform quantitative

analysis 5. Plan risk responses

6. Control risks

12. Procurement Management

1. Plan procurement management

2. Conduct procurements

3. Control procurements

4. Close procurements

13. Stakeholder Management

1. Identify stakeholders

2. Plan stakeholder management

3. Manage stakeholderengagement

4. Control stakeholderengagement

Note: There are 26, 48, 60, 50, and 16 exam questions from each of the process groups, respectively. These numbers include any questions on professional responsibility.



Integration Management, PMBOK® Guide, Chapter 4

Integration Management Processes (PMBOK® Guide, Chapter 4)

4.1 Develop Project Charter (a charter formally authorizes a project or phase and documents initial requirements)

4.2 Develop Project Management Plan (integrating subsidiary plans into a master project management plan)

4.3 Direct and Manage Project Work (performing the work defined in the project management plan to achieve the project’s objectives)

4.4 Monitor and Control Project Work (tracking, reviewing, and regulating progress toward meeting performance objectives)

4.5 Perform Integrated Change Control (reviewing all change requests and managing all changes to the project)

4.6 Close Project or Phase (finalizing all activities for a project or phase)

You will notice that each process has inputs, tools, and outputs. Unit 12 provides a summary of these inputs, tools, and outputs for all 47 processes. Unit 13 provides exercises to further assist in memorizing this vast amount of information. See course slides #2-13 through #2-21 for a summary of integration management.

4.1 Develop Project Charter (PMBOK® Guide, p. 66)

A project charter is a written document that formally recognizes and authorizes the existence of a new project. It also documents initial requirements that satisfy stakeholders’ needs and objectives. On this basis, a project manager is identified and assigned as early as is feasible. PMI now recommends that the PM be assigned during development of the charter but never later than the start of planning. The charter:

• formally initiates the project. • establishes a partnership between the performing and requesting

organizations.• authorizes the PM to acquire and use organizational resources to accomplish

project activities. • provides a general, high-level description of the project objectives.• is signed by a senior manager, project initiator, or sponsor external to the

project (the PM may participate in creating the charter but should not sign it).Therefore, overall approval of a project and its associated funding occur external to project boundaries, PMBOK® Guide, p. 54, paragraph 3.3.

• is developed during the concept (or initiating) phase.



Develop Project Charter

Inputs Tools Outputs

1. Project statement of work 2. Business case 3. Agreements 4. Enterprise environmental factors 5. Organizational process assets

1. Expert judgment 2. Facilitation techniques

1. Project charter

Five Key Inputs for Develop Project Charter (PMBOK® Guide, p. 68):

1. Project Statement of Work (SOW): The SOW is a narrative description of the products or services to be delivered by the project. For internal projects, the initiator or sponsor provides the SOW based on business needs or opportunities.For external projects, the SOW may be received from the customer as part of a proposal or bid document. The SOW is also an important document in the knowledge area for procurement management. It should contain:

• Business need • Product scope description • Strategic plan (how the project supports the organization’s goals)

2. Business Case: Typically includes a description of the business need that is to be met as well as a cost-benefit analysis that justifies the expected investment.

3. Agreements: The contract is an input whenever the project is for an external customer.

4. Enterprise Environmental Factors: Factors and systems that will influence the relative success of any project, i.e., the existing environment within which a project will be initiated. Specific environmental factors that may affect development of the charter include (PMBOK® Guide, p. 70):

• Governmental or industry standards • Organizational culture and structure • Marketplace conditions (is the project feasible?)



5. Organizational Process Assets: All of an organization’s processes, policies, procedures, and knowledge bases that may influence the success of a project.They include (PMBOK® Guide, p. 70):

• Organizational standard processes and policies • Templates (specifically for project charters) • Historical information and lessons learned

Two Key Tools for Develop Project Charter (PMBOK® Guide, p. 71):

1. Expert Judgment: Used to assess the accuracy of technical, management, and other inputs in developing the charter. Such expertise comes from any group or individual with the appropriate knowledge, training, and experience.Expert judgment is a tool for 28 of 47 processes (60%). Sources of expert judgment include:

• Other units within the organization • Consultants • Key stakeholders (including customers) • Professional associations • Industry groups • PMO

2. Facilitation Techniques: Includes the possible use of brainstorming, conflict resolution, problem solving, and meeting management.

One Key Output for Develop Project Charter (PMBOK® Guide, p. 71):

1. Project Charter: In addition to the information provided in paragraph 4.1 above, a charter links a new project to the on-going work of the organization. In some organizations, a project charter is not considered complete until some kind of preliminary analysis such as a needs assessment or feasibility study has been completed. A charter should document the following high-level information (PMBOK® Guide, p. 72):

• Business and customer needs • Project purpose • Project objectives and success criteria • High-level project description and requirements (high-level scope) • High-level risks, budget, and milestone schedule



• Approval requirements (acceptance criteria and who signs off on the project)

• Assigned project manager with associated authority • Name and authority of the sponsor

4.2 Develop Project Management Plan (PMBOK® Guide, p. 72)

The project management plan defines how the project will be executed, monitored, controlled, and closed. It is a key integrative document that is usually developed by the entire team (even though it is the PM’s responsibility to see that the plan gets done). Development of the plan uses the outputs of the other planning processes (scope, schedule, cost, quality, risk, and so on) to create a consistent, coherent document that can be used to guide both execution and control of a project. Changes to the plan are approved using the integrated change control process. In summary, the project management plan provides the guide for performing all project work and also forms the baseline against which any changes are made.

Develop Project Management Plan


1. Project charter 2. Outputs from other processes 3. Enterprise environmental factors 4. Organizational process assets

1. Expert judgment 2. Facilitation techniques

1. Project management plan

Four Key Inputs for Develop Project Management Plan (PMBOK® Guide, p. 74):

1. Project Charter: Described previously (PMBOK® Guide, paragraph 4.1).Note that the output of a previous process often becomes an input to the next process.

2. Outputs from Other Processes: The project management plan is a collection of all the numerous “subsidiary” plans that are defined in the PMBOK®

Guide (scope, schedule, cost, quality, staffing (HR), communication, risk, procurement, and stakeholder). The integration of these various detailed plans forms the overall project management plan.



3. Enterprise Environmental Factors: Described earlier, the specific environmental factors that may affect development of the project management plan include (PMBOK® Guide, p. 74):

• Governmental or industry standards• Project management information systems • Organizational structure and culture • Infrastructure (existing facilities and equipment) • Personnel administration (hiring, firing, performance reviews)

4. Organizational Process Assets: Described earlier, the specific organizational process assets that may affect development of the project management plan include (PMBOK® Guide, p. 75):

• Standardized guidelines and work instructions • Project management plan templates • Change control procedures • Project files from past projects (historical information) and lessons

learned knowledge base • Configuration management knowledge base (official company

standards for project documents)

Two Key Tools for Develop Project Management Plan (PMBOK® Guide, p. 76):

1. Expert Judgment: As with the charter (previous process), expert judgment is used to assess the accuracy of information used in developing the project management plan. It may specifically help with the following:

• Tailoring the project management plan to the specific needs of a particular project

• Developing technical and management details • Determining resource needs and skill levels • Determining the level of configuration management • Determining which documents should be subject to change control

2. Facilitation Techniques: Team oriented tools including brainstorming, conflict resolution, problem solving, and meeting management are used to assist in developing the project management plan.



One Key Output for Develop Project Management Plan (PMBOK® Guide, p. 76):

1. Project Management Plan: A formal, approved document used to manage and control project execution. It should be distributed as defined in the communication plan. The following subsidiary plans are integrated to form the official project management plan (PMBOK® Guide, p. 77):

• Scope management plan (Section 5.1)

• Requirements management plan (Section 5.1)

• Schedule management plan (Section 6.1)

• Cost management plan (Section 7.1)

• Quality management plan (Section 8.1)

• Process improvement plan (Section 8.1)

• Human resource management plan (Section 9.1)

• Communications management plan (Section 10.1)

• Risk management plan (Section 11.1)

• Procurement management plan (Section 12.1)

• Stakeholder management plan (Section 13.1)

The following three baselines are also established by the project management plan:

• Cost, Schedule, and Scope

4.3 Direct and Manage Project Work (PMBOK® Guide, p. 79)

This process involves performing the work identified in the project management plan.Some of the activities are the responsibility of the project manager and other activities belong to various team members. Also, work performance information describing the actual status of required deliverables is collected and fed into the performance reporting process (PMBOK® Guide, p. 81). The many actions performed during execution of the project management plan include the following:

• Perform activities to meet project objectives • Acquire staff and manage the project team • Obtain and manage other resources (materials, equipment, facilities) • Obtain quotations, bids, and proposals as needed • Manage risks • Perform quality assurance



• Manage sellers (contractors) • Generate project data for status reports and forecasts • Conduct change control and implement approved changes:

• Corrective action (bringing work results back in line with the plan)• Preventive action (ensuring future work remains in line with the plan)• Defect repair (modifying a nonconforming product or work result)

• Establish and manage project communication channels• Collect and document lessons learned

Direct and Manage Project Work


1. Project management plan 2. Approved change requests 3. Enterprise environmental factors 4. Organizational process assets

1. Expert judgment 2. Project management

information system 3. Meetings

1. Deliverables 2. Work performance data 3. Change requests 4. Project management plan updates 5. Project documents updates

Four Key Inputs for Direct and Manage Project Work (PMBOK® Guide, p. 82):

1. Project Management Plan: As stated previously (PMBOK® Guide, Section 4.2), the project management plan provides the foundation for executing the work of the project. Especially important subsidiary plans for this process include scope, requirements, schedule, cost, and stakeholder management plans.

2. Approved Change Requests: Changes that have been authorized and documented. Such changes usually expand or reduce the project scope and require the team to manage the implementation of the change.

3. Enterprise Environmental Factors: Specific environmental factors that may influence this process include (PMBOK® Guide, p. 82):

• Project management information systems • Organizational or customer structure and culture • Infrastructure (existing facilities and equipment) • Personnel administration (hiring, firing, performance reviews) • Stakeholder risk tolerance



4. Organizational Process Assets: Described earlier, the specific organizational process assets that may affect execution of the project management plan include (PMBOK® Guide, p. 83):

• Standardized guidelines and work instructions • Communication requirements • Issue and defect management procedures (“how to…”) • Issue and defect management database (historical data) • Process measurement database (collect data on processes and

products)• Project files from past projects (historical information) and lessons

learned knowledge base

Three Key Tools for Direct and Manage Project Work (PMBOK® Guide, p. 83):

1. Expert Judgment: Expertise provided by the project manager and the team while executing the project management plan.

2. Project Management Information System: Provides access to automated information tools such as scheduling software, information distribution systems, and configuration management systems.

3. Meetings: Used to address pertinent topics during the direct and manage work process. PMI identifies three types of meetings:

• Information exchange

• Brainstorming and/or evaluating options

• Decision making

Meetings should have a clearly defined purpose, agenda, time frame, and be documented with minutes. While not always possible, PMI believes that face-to-face meetings are the most effective.

Five Key Outputs for Direct and Manage Project Work (PMBOK® Guide, p. 84):

1. Deliverables: Any unique, verifiable product, result, or capability that must be completed as part of the project management plan.

2. Work Performance Data: The raw measurements of work outcomes. Data are gathered through execution of the work activities and are then fed to various



controlling processes for analysis and interpretation. Examples of work performance data include:

• Start and finish dates of schedule activities • Number of change requests • Actual costs and durations • Number of defects • Deliverables completed

3. Change Requests: When issues arise during a project, change requests are used to modify procedures, scope, cost, schedule, or quality. These changes may lead to the use of corrective actions, preventive actions, defect repairs, or various updates. Change requests may be optional or come from a mandatory legal requirement. They may originate from an internal or an external source.

For the exam, be aware of possible “situational” questions that could involve various parties (functional manager, senior manager, or customer) wanting to make a change to the project. In all cases, the appropriate first response is to evaluate the impact of the change and then meet with the team to discuss alternatives. Common incorrect choices often involve meeting first with management or the customer.

4. Project Management Plan Updates: Important elements of the project management plan may be updated, often in response to approved changes, at any time during the life cycle of a project. These updates may affect the following parts of the plan:

• Scope management plan • Requirements management plan • Schedule management plan • Cost management plan • Quality management plan • Human resource plan • Communications management plan • Risk management plan • Procurement management plan • Stakeholder management plan • Project baselines (cost, schedule, scope, quality)

5. Project Documents Updates: May include the following

• Requirements documents



• Project logs (issue, defects, assumptions, etc.) • Risk register • Stakeholder register

4.4 Monitor and Control Project Work (PMBOK® Guide, p. 86)

Monitoring and controlling involves tracking, reviewing, and regulating progresstoward meeting project objectives. Monitoring provides insight into the health of the project and identifies issues that may require attention. Controlling determines appropriate preventive or corrective action and identifies when replanning may be necessary. Monitoring and controlling involve the following:

• Comparing actual versus planned performance (variance analysis). • Determining/recommending appropriate preventive or corrective action. • Identifying risks, reporting risk status, and assuring appropriate response

plans are implemented. • Maintaining a timely, accurate information base for 1) status reporting (where

the project currently stands; report using variances on a periodic basis), 2) progress measurement (what has been accomplished; report using deliverables completed), and 3) forecasting (predict final cost and schedule performance using earned value and other techniques).

• Monitoring the implementation of approved changes.

Monitor and Control Project Work


1. Project management plan 2. Schedule forecasts 3. Cost forecasts 4. Validated changes 5. Work performance information 6. Enterprise environmental factors 7. Organizational process assets

1. Expert judgment 2. Analytical techniques 3. Project management

information system 4. Meetings

1. Change requests 2. Work performance reports 3. Project management plan updates 4. Project documents updates

Seven Key Inputs for Monitor and Control Project Work (PMBOK® Guide, p. 88):

1. Project Management Plan: Described previously (PMBOK® Guide, Section 4.2), the project management plan provides the baselines and “plan” portion of



the information needed to conduct variance analysis and create performance reports.

2. Schedule Forecasts: Derived by comparing current schedule progress against the schedule baseline. As a result, forecasted finish dates may be compared to planned finish dates.

3. Cost Forecasts: The purpose is to compare forecasted total costs to planned total costs. For projects using earned value, the EAC (estimate at completion) formula may be used for this purpose. Unit 5 on cost management will cover the details.

4. Validated Changes: Any changes that have been through the Perform Integrated Change Control process and have been approved. These changes must now be implemented.

5. Work Performance Information: Work performance data that has been collected, analyzed, interpreted, and converted into information on the actual status of the work. This information provides for making informed decisions and for determining the following:

• Status of deliverables • Implementation status for change requests • Forecasts

6. Enterprise Environmental Factors: Specific environmental factors that may influence monitoring and controlling the work include (PMBOK® Guide, p. 90):

• Governmental or industry standards • Company work authorization systems (is the right work being done at

the right time?) • Stakeholder risk tolerance • Project management information systems

7. Organizational Process Assets: The specific organizational process assets that may affect monitoring and controlling the work include (PMBOK® Guide, p. 91):

• Organization communication requirements • Financial controls procedures (time reporting, accounting codes) • Issue and defect management procedures



• Risk control and change control procedures • Process measurement database (collect data on status of processes

and products) • Lessons learned database

Four Key Tools for Monitor and Control Project Work (PMBOK® Guide, p. 91):

1. Expert Judgment: Appropriate subject matter experts are used to correctly interpret the information collected by the monitoring and controlling process.

2. Analytical Techniques: Forecasting possible outcomes may be accomplished through the use of any of the following techniques:

• Regression, trend, or variance analysis

• Earned value management

• Root cause analysis, failure mode and effect analysis (FMEA)

• Fault tree analysis

• Forecasting methods, grouping methods, causal analysis

3. Project Management Information System: Provides access to automated tools such as scheduling, cost, resource, performance indicators, and various databases.

4. Meetings: PMI states that the project team and other stakeholders typically hold two types of meetings: user groups and review meetings. They further indicate that meetings may be face-to-face (preferred), virtual, formal, or informal.

Four Key Outputs for Monitor and Control Project Work (PMBOK® Guide, p. 92):

1. Change Requests: As a direct result of comparing planned and actual results, change requests may be issued to adjust the project as deemed necessary. These changes may expand or reduce the scope of the project (management functions and activities) or product (features and functions embodied in the final product). As before, changes may involve:

• Corrective action (actions taken to bring expected future performance back in line with the plan)

• Preventive action (actions taken to reduce the probability of negative consequences)



• Defect repair (identification of a defect with a recommendation for either repair or replacement)

2. Work Performance Reports: The physical or electronic representation of work performance information to enable awareness, action, or decisions.

3. Project Management Plan Updates: Updates to the plan because of monitoring and controlling activities include:

• Scope and requirements management plans • Schedule and cost management plans • Scope, schedule, and cost baselines • Quality management plan

4. Project Documents Updates: Updates to project documents because of monitoring and controlling activities include:

• Schedule and cost forecasts • Work performance reports • Issue logs

4.5 Perform Integrated Change Control (PMBOK® Guide, p. 94)

Projects almost never run exactly according to the plan and, accordingly, changes are a normal part of project management. Integrated change control is performed constantly throughout the entire project life cycle to effectively manage the change process. The integrated change control process includes reviewing all change requests as well as approving and managing changes to any of the following: deliverables, organizational processes, project documents, and the project management plan. The following activities are part of integrated change control:

• Identifying that 1) a change is needed or 2) a change has occurred. • “Influencing factors” that lead to informal, uncoordinated changes (i.e.,

preventing people from circumventing the required process). Informal changes often lead to a phenomenon known as “scope creep.”

• Reviewing, analyzing, and approving requested changes promptly (Usually done by a CCB, i.e., change control board. However, small changes may be designated to another party so that the CCB can pay proper attention to larger, more significant changes.).

• Managing approved changes, including all necessary documentation, tracking, and approval procedures.



• Maintaining the integrity of established baselines (Current baselines must be adjusted to reflect approved changes.).

• Reviewing and either approving or denying all recommended preventive and corrective actions.

• Coordinating the effect of changes across the entire project (e.g., A change in the schedule may affect cost, quality, risk, and staffing requirements.).

• Documenting the likely impact of requested changes (CCB).

Configuration management and change control work together to accomplish three primary objectives:

• Establish a consistent method for requesting changes to established baselines. The system must assess the potential value of all requested changes.

• Improve the project by evaluating the likely impact of all requested changes (i.e., approve good changes and reject bad ones).

• Provide effective communication mechanisms so that stakeholders are aware of all changes.

Other key information about change control:

• Change control operates within the configuration management system. A major goal of change control is to control emerging scope against the baselines.

• Configuration management consists of three major activities: 1. The first major step (performed early in the project life cycle) identifies the

functional and physical characteristics of the product. This step results in the establishment of three key baselines (scope, time, and cost).

2. The next major step controls changes to those baselines and keeps careful records of the status of each change.

3. The final step audits the final results to verify conformance to requirements (including any approved changes).

• Changes may be requested at any time by any stakeholder. • Verbal change requests should always be recorded in written form. • Many change systems use a CCB for approving or disapproving change

requests.• However, project managers may be authorized to approve certain change

requests (e.g., if the likely impact is below established cost or schedule thresholds).



• In some cases, changes may be approved by the customer (as per contractual provisions).

• On large projects, multi-tiered CCBs, with different responsibilities, may exist (e.g., technical review versus cost review or different CCBs for each project within a program).

• Change systems often include provisions to handle emergency changes without prior reviews. In such cases, the change should be analyzed and documented as soon as practical.

• Every change request must be either accepted or rejected with documentation to support the decision.

Perform Integrated Change Control


1. Project management plan 2. Work performance reports 3. Change requests 4. Enterprise environmental factors 5. Organizational process assets

1. Expert judgment 2. Meetings 3. Change control tools

1. Approved change requests 2. Change log 3. Project management plan updates 4. Project documents updates

Five Key Inputs for Perform Integrated Change Control (PMBOK® Guide, p. 97):

1. Project Management Plan: The change management plan documents how the change control process should be managed as well as the role of the CCB.The project management plan also provides the current, approved baselines and baselines that may be affected by any approved changes.

2. Work Performance Reports: Work performance reports of special interest to integrated change control include schedule, cost, resource availability, and earned value management.

3. Change Requests: Change requests are outputs with this single exception. Integrated change control is not needed or used unless a change has, in fact, been requested.

4. Enterprise Environmental Factors: Specific environmental factors that may influence integrated change control include (PMBOK® Guide, p. 98):



• Project management information systems (scheduling tools, configuration management system, and information collection and distribution systems

5. Organizational Process Assets: The specific organizational process assets that may affect integrated change control include (PMBOK® Guide, p. 98):

• Change control procedures • Procedures for approving and issuing change authorizations • Process measurement database (collect data on status of processes

and products) • Project files (scope, schedule, cost, calendars, network diagrams, risk

registers, risk response plans) • Configuration management knowledge base

Three Key Tools for Perform Integrated Change Control (PMBOK® Guide, p. 98):

1. Expert Judgment: In this case, it is important to get the right subject matter experts on the CCB.

2. Meetings: Meetings by the CCB to review change requests and either approve or reject each request. All such meetings are referred to as change control meetings.

3. Change Control Tools: Manual or automated tools to handle change requests and communicate effectively with appropriate stakeholders.

Four Key Outputs for Perform Integrated Change Control (PMBOK® Guide, p. 99):

1. Approved Change Requests:

• Approved change requests are implemented through the Direct and Manage Project Work process.

• The disposition of all change requests (approved, rejected, or pending) is documented in the change log and other project documents.

2. Change Log: The change log documents all change requests and the resulting decisions and associated rationale. The expected impact on project baselines is also documented.



3. Project Management Plan Updates: Subsidiary management plans and baselines are updated, as needed.

4. Project Documents Updates: The change request log and any documents that are subject to the formal change control process are updated, as needed.

4.6 Close Project or Phase (PMBOK® Guide, p. 100)

This process finalizes all activities across all process groups to formally close a phase or the entire project, as appropriate. The following activities are involved:

• When closing the entire project, the project manager should review all information from closure of the previous phases. The purpose of this step is to ensure that all project work is complete and that objectives have been met.

• For closure of a phase or the project, the project manager should review the project management plan to ensure completion of all work identified in the plan.

• The close project or phase process should also establish procedures to document the reasons if a project is terminated before completion.

• This process also establishes the actions needed for administrative closure, which include:

• The activities needed to satisfy the exit criteria for the phase or project. • The activities needed to transfer the product, service, or result to the

next phase, to production, or to operations. • Activities to collect records, audit successes and failures, document

lessons learned, and archive information for future use.

Close Project or Phase


1. Project management plan 2. Accepted deliverables 3. Organizational process assets

1. Expert judgment 2. Analytical techniques 3. Meetings

1. Final product, service, or result transition

2. Organizational process assets updates



Three Key Inputs for Close Project or Phase (PMBOK® Guide, p. 102):

1. Project Management Plan: One of the key documents that establish the activities that should have been completed before formal closure should occur.

2. Accepted Deliverables: Includes those deliverables that have been accepted as a result of the Validate Scope process (Scope Management, Section 5.5).

3. Organizational Process Assets: The specific organizational process assets that may affect closure activities include (PMBOK® Guide, p. 102):

• Project or phase closure guidelines (audits, evaluations, transition procedures)

• Historical information and lessons learned knowledge base

Three Key Tools for Close Project or Phase (PMBOK® Guide, p. 102

1. Expert Judgment: Appropriate experts ensure that closure of the project or phase is performed using the correct standards.

2. Analytical Techniques: PMI identifies regression and trend analysis as techniques that could be used for closeout.

3. Meetings: The types of meetings identified for this process include lessons learned, closeout, user group, and review meetings.

Two Key Outputs for Close Project or Phase (PMBOK® Guide, p. 103):

1. Final Product, Service, or Result Transition: The name says it all. The product, service, or result created by the phase or project must be transitioned or delivered to the next step.

2. Organizational Process Assets Updates: The organizational process assets that may be updated as a result of closure activities may include:

• Project Files: Archiving of files such as the project management plan, baselines for scope, cost, schedule, and quality, project calendars, risk registers, planned risk responses, and risk impact.

• Project or Phase Closure Documents: Completion of the project, transfer of deliverables, and documentation if the project was terminated early.



• Historical Information: Lessons learned and historical information, e.g., actual contractor performance outcomes to be stored in a past performance database for use in selecting future contractors.

Other Topics:

Management by Objectives (MBO): MBO is a topic that has been tested but not covered explicitly in the PMBOK® Guide. This process for setting objectives was developed by Peter Drucker. The most famous feature of MBO is jointdevelopment of the objectives, which means that management and the employees collaborate to jointly establish the objectives.

For the exam, you need to know the three steps involved in using MBO: 1) establish realistic, clearly stated objectives, 2) evaluate (measure) whether the objectives are being met, and 3) take action if the evaluation so warrants.

You should know that an objective is “clear” if different parties can agree on a single meaning.

You should also know that MBO will be most successful if supported by top management.

Project Evaluation: Also not specifically covered in the PMBOK® Guide,evaluation provides a big picture look at whether a project is meeting its basic goals and objectives. You must be familiar with two major types of evaluation.

1) Mid-project evaluation is conducted while the project is underway to determine a) whether the project is meeting its objectives and b) whether those objectives are still relevant and worthwhile. These evaluations often involve people from outside the project team so that the process is objective and unbiased.

Potential outcomes of mid-project evaluation include:

• Identification of significant problems • Implementation of changes • Termination of the project

Because of the threat of a bad report card or termination of the project, the process is often fraught with the following potential problems:

• Senior managers misusing evaluations to identify and punish poor performers



• Senior managers misusing evaluations to pursue political agendas • Project team members may be hostile and not cooperate with the

evaluation team (“resist the evaluation process”) • The process can be time consuming and, in that sense, is often seen as

disruptive• Project team may feel the process is arbitrary, political, and/or

inconsistent

2) Post-project or Final Evaluation: Conducted when the project is complete for the purposes of lessons learned and historical data to establish baselines for future projects.

Customer Satisfaction: From an integration and scope management perspective, customer satisfaction is closely related to the idea of a careful and accurate needs analysis so that stakeholder needs can be met. Recall that meeting stakeholder needs is considered a vital part of successful project management.

Roles and responsibilities: You must know the appropriate roles for the following key players in the project environment.

Senior management: • Assign a project manager • Empower the project manager • Protect the project from outside influences • Approve the overall project management plan

Sponsor:• The person or group that provides financial resources for the project

(PMBOK® Guide page 32). The sponsor champions the project during initiation and may also continue exert influence for the benefit of the project as it proceeds. Finally, the sponsor usually leads the project selection process through formal authorization and plays a significant role in the development of the initial scope and charter.

Project manager: • In charge of the project, but not necessarily the resources • Held accountable for failure • Plans the project (WBS, Project Management Plan, and so on) • Develops estimates and schedules • Assigns tasks to team members



Team members: • Help develop WBS • Provide estimates on their tasks • Help create a realistic schedule • Accomplish their tasks • Attempt to resolve conflicts among themselves before escalating



Self-Study Drill Practice: Integration Management

Question Answer

1. Name three main objectives of integrated change control.

Note: All page numbers in this drill practice refer to the study guide unless otherwise indicated.

1. a) Identify a method for requesting changes to established baselines, b) Improve the project by considering the impact of a change, & c) Communicate all changes to stakeholders(p. 2-29)

2. Distinguish configuration management from change control.

2.Configuration management:

A collection of formal documented procedures used to:

1. Identify physical and functional characteristics of a product and establish baseline requirements 2. Control changes to those characteristics and keep appropriate records 3. Audit and verify conformance to the requirements

Change control: A collection of formal, documented procedures that defines how project deliverables and documentation are controlled, changed, and approved. (pp. 2-28 to 2-32)

3. What is MBO? 3. Management by Objectives is a 3-step process to:

1. Establish clear, realistic objectives2. Measure achievement 3. Adjust performance if needed (p. 2-34)

4. How do you know whether an objective is clear?

4. Different people can agree on a single meaning. (p. 2-34)



5. What are enterprise environmental factors (EEF)?

5.An input to 27 of 47 project management processes, EEF are various factors that influence project success, such as:

Organizational structure Geographic location of facilities/resources Government and industry standards Existing resources and infrastructure Personnel system Work authorization system Marketplace conditions Risk tolerance Political climate/Communication systems Commercial databases Information system (p. 2-8)

6. Name two kinds of project evaluation. 6. a) Mid-project evaluation is performed by outsiders during the project to ensure the project is meeting its objectives and that the objectives are still relevant. b) Post-project evaluation is performed at project completion to identify lessons learned. (pp. 2-34/35)

7. What is work authorization? 7. A procedure to sanction work so it’s done at the right time and in the proper sequence. Usually done in writing but may be verbal on smaller projects. (pp. 2-7/8)

8. Inputs to integrated change control include the project management plan, change requests, and what other three items?

8. Work performance reports, enterprise environmental factors, and organizational process assets (pp. 2-30/31)

9. A common mechanism for approving or rejecting change requests is____.

9. a CCB (Change Control Board) (pp. 2-28/29)

10. Name three important things that must be accomplished as part of closing a project.

10. a) Verify that exit criteria have been met (e.g. deliverables completed), b) Products or services have been transferred to owners or next step, and c) Document the reasons if a project is terminated before it is completed (p. 2-32).



11. What items should be in a project management plan?

11. The subsidiary plans and associated components typically include:

Scope management plan Requirements management Schedule management plan Cost management plan Quality management plan Process improvement plan Human resource management plan Communication management plan Risk management plan Procurement management plan Stakeholder management plan Cost, schedule, and scope baselines

(p. 2-21)

12. What is a constraint? 12. A constraint is any restriction that limits the project team’s options or otherwise affects project outcomes, e.g., limited funding, imposed dates, or resource limitations (p. 2-11).

13. What is an assumption? 13. Factors which, for planning purposes, are considered to be real, true, or certain, e.g., assuming that a key person will be available on a given date. Assumptions involve a degree of risk (p. 2-11).

14. Which organizational structure would tend to have the most complex information and communication flows?

14. The matrix requires both vertical and horizontal information flows (p. 2-6).

15. What is the purpose of mid-project evaluation?

15. a) Determine whether the project is meeting its stated objectives. b) Reassess whether the project objectives are still relevant and worthwhile (p. 2-34).

16. In which process group are the scope and objectives usually determined?

16. The initiation process (sometimes referred to as the concept phase). There is a high-level scope associated with the project charter (p. 2-11).



17. What is the relevance of project stakeholders in achieving project success?

17. The project team must identify the needs and expectations of stakeholders and then continue to manage them carefully. Stakeholders can have a positive or negative effect (p. 2-9).

18. If there is a conflict, which stakeholder is generally considered the most important?

18. The customer (p. 2-9).

19. In which project process group would feasibility studies normally be performed?

19. Initiation (or historically called the concept phase) (p. 2-11).

20. Name the five process groups. 20.Initiating (concept) PlanningExecutingMonitoring and controlling Closing (pp. 2-10 & 2-15)

21. What are the typical activities associated with the initiating process group?

21.Select project Identify and document business need Establish goals and objectivesDetermine high level: product description, deliverables, milestones, constraints, assumptions, time and cost estimates, and resource requirementsConduct feasibility studiesDefine responsibilities of the PM Develop project charter (p. 2-11)



22. What are the typical activities associated with the planning process group?

22.

Create scope statement and scope management plan Determine/plan project team Develop WBSFinalize the team and create the resource management plan Develop WBS dictionaries (detailed descriptions of tasks in WBS) Create network diagram Estimate time and cost Determine critical path Develop schedule and schedule management planEstablish budget Establish management plans (stakeholder, quality, risk, communication, procurement) Develop a formal project management planObtain approval of project management plan Hold kick-off meeting (pp. 2-11/12)

23. What are the typical activities associated with the a) executing process group and b) monitoring and controlling process group?

23.Executing:Set up project organization Acquire, develop, and manage project team Manage stakeholders Conduct team buildingPerform quality assurance Perform (execute) work packagesDistribute information in accordance with the communication plan (p. 2-12)

Monitoring and Controlling: Implement integrated change control Execute specific change control plans: scope, schedule, cost, quality, risk, and procurement Control stakeholders Measure and report project performance Monitor project variances Take corrective action (p. 2-12)



24. What are the activities associated with the closing process group?

24.Review and accept project results (customer acceptance): Procurement audits Product verification Formal acceptanceEvaluate results (lessons learned)Update and archive records Reassign resources (release team) (p. 2-12)

25. What is the difference between a program and a project?

25. Programs are larger in scope, often involve several interrelated projects, and have a less definite end date (pp. 2-1/2).

26. What is a project? 26. A temporary endeavor undertaken to create a unique product, service, or result (pp. 2-1/2).

Temporary means the project has a definite beginning and ending. It does not necessarily mean the project is short in duration.

Unique means the product or service is different in some distinguishing way from similar products or services. In contrast, operations are on-going and repetitive.

27. What is project management? 27. The application of knowledge, skills, tools, and techniques to project activities to meet project requirements (p. 2-2).

28. Which process group deals with measuring performance and calculating variances?

28. Monitoring and controlling: measures performance, identifies variances, and determines whether corrective action is needed (pp. 2-10, 2-12).



29. What are the six processes for Integration Management?

29.1. Develop Project Charter 2. Develop Project Management Plan 3. Direct and Manage Project Work 4. Monitor and Control Project Work 5. Perform Integrated Change Control 6. Close Project or Phase (pp. 2-15/16).

30. Project management plans are usually developed by ______.

30. the project team (the PM is responsible but must rely on various functional experts for development of the plan) (p. 2-19).

31. Identify commonly used project selection methods.

31.Benefit Measurement Methods: Comparative approaches (e.g., pairwise), scoring models, benefit contribution (aka benefit cost analysis), economic models (e.g., NPV, IRR).

Constrained Optimization Methods: Linear programming Non-linear programming Dynamic programming Multi-objective programming (Unit 14, Appendix III, p. 14-15)

32. What does a project charter do? 32. 1. Officially establishes the project 2. Authorizes the PM to acquire resources to accomplish project tasks 3. Provides a general description of project objectives (p. 2-16).

33. When is the project charter created?Who is responsible for it?

33. The charter is normally developed as part of the initiating process group (or, historically, PMI has also referred to the concept phase.) Ideally, the project manager would help write the charter but it should be signed by a senior manager, external to the project (pp. 2-11 and 2-16).

34. What are the four basic obligations established by the PMI® Code of Ethics and Professional Conduct?

34. Responsibility, respect, fairness, and honesty (p. 2-1).