Sei sulla pagina 1di 68

PMBOK 5 Pocket Summary

Achille Carette
This book is for sale at
This version was published on 2014-09-23

This is a Leanpub book. Leanpub empowers authors and

publishers with the Lean Publishing process. Lean Publishing is
the act of publishing an in-progress ebook using lightweight
tools and many iterations to get reader feedback, pivot until
you have the right book and build traction once you do.
2014 Achille Carette

This work is dedicated to my wife Daniela, who remarkably

applied the saying people need loving the most when they
deserve it the least.

A Note of Warning


1. Introduction (1.)
1.1 Role of the Project Manager (1.7.)


2. Organizational Influences and Project Life Cycle (2.)

2.1 Organizational Influences on Project Management (2.1.)
2.2 Project Stakeholders and Governance (2.2.)
2.3 Project Lifecycle (2.4.)

3. Project Management Processes (3.)

3.1 Project Process Groups (3.2.)


4. Integration Management (4.)

4.1 Develop Project Charter (4.1.)
4.2 Develop Project Management Plan (4.2.)





Direct and Manage Project Work (4.3.)

Monitor and Control Project Work (4.4.)
Perform Integrated Change Control (4.5.)
Close Project or Phase (4.6.)


5. Scope Management (5.)

5.1 Plan Scope Management (5.1.)
5.2 Collect Requirements (5.2.)
5.3 Define Scope (5.3.)
5.4 Create WBS (5.4.)
5.5 Validate Scope (5.5.)
5.6 Control Scope (5.6.)


6. Time Management (6.)

6.1 Plan Schedule Management (6.1.)
6.2 Define Activities (6.2.)
6.3 Sequence Activities (6.3.)
6.4 Estimate Activity Resources (6.4.)
6.5 Estimate Activity Durations (6.5.)
6.6 Develop Schedule (6.6.)
6.7 Control Schedule (6.7.)


7. Cost Management (7.)

7.1 Plan Cost Management (7.1.)
7.2 Estimate Costs (7.2.)
7.3 Determine Budget (7.3.)
7.4 Control Costs (7.4.)


8. Quality Management (8.)

8.1 Plan Quality Management (8.1.)
8.2 Perform Quality Assurance (8.2.)
8.3 Control Quality (8.3.)



9. Human Resources Management (9.)

9.1 Plan Human Resources Management (9.1.)
9.2 Acquire Team (9.2.)
9.3 Develop Project Team (9.3.)
9.4 Manage Project Team (9.4.)


10. Communications Management (10.)

10.1 Plan Communications Management (10.1.)
10.2 Manage Communications (10.2.)
10.3 Control Communications (10.3.)


11. Risk Management (11.)

11.1 Plan Risk Management (11.1.)
11.2 Identify Risks (11.2.)
11.3 Perform Qualitative Risk Analysis (11.3.)
11.4 Perform Quantitative Risk Analysis (11.4.)
11.5 Plan Risk Responses (11.5.)
11.6 Control Risks (11.6.)


12. Procurement Management (12.)

12.1 Plan Procurement Management (12.1.)
12.2 Conduct Procurements (12.2.)
12.3 Control Procurements (12.3.)
12.4 Close Procurements (12.4.)


13. Stakeholder Mangement (13.)

13.1 Identify Stakeholders (13.1.)
13.2 Plan Stakeholder Management (13.2.)
13.3 Manage Stakeholder Engagement (13.3.)
13.4 Control Stakeholder Engagement (13.4.)


The purpose of this work is to be a short but complete digest of
the PMBOK Guide 5th edition. It was initially created as an aid
to prepare for the PMP exam but it can be used by any project
manager on a daily basis as a quick reference.
Differently from many guides that already provide exhaustive
information, the present document aims to be resumed.

This document is based on the 5th edition of the A Guide to
the Project Management Body of Knowledge. It tries to respect it
strictly, only bringing some additional information or explanations from well known sources.
Additional content coming from the book Rita Mulcahys
PMP Exam Prep 8th Edition is placed in sidebar blocks.



The chapters follow the PMBOks. However, as the numbering
of the titles does not follow the PMBOK (because not all titles
are kept) the original numbering is put in parentheses after the
title name.

A Note of Warning
This document should not be used without caution. Because
it is not intended to be a complete reference, not all inputs,
outputs, tools and techniques are listed. Only elements that were
considered non obvious have been included. In other words, the
content is somewhat incomplete and arbitrary.

I studied for the PMP exam using four main sources: the PMBOK
itself, the Rita Mulcahys guide, mock exams and an in-class
course. These sources revealed for the most part redundant but,
unfortunately, not always coherent. Facing this huge quantity
of information I felt the need to create a short and coherent
compilation of the most important parts. This work proved useful
to me and i decided to make it available to the community.
Please feel invited to send any comments, questions or corrections you may have.








1.0 Public Working


First publication for


1. Introduction (1.)
A project is a temporary endeavour undertaken to create a
unique product, service, or result.
Project Management is the application of knowledge, skills,
tools and techniques to project activities to meet the project
A program is defined as a group of related projects, subprograms
and program activities (outside of discrete projects) managed in
a coordinated way.
A portfolio refers to projects, programs, subportfolios and operations managed as a group to achieve strategic objectives.

Project Management Office (1.4.4.)

A PMO is a management structure that standardizes projectrelated governance processes and facilitates the sharing of resources. PMO integrates data from strategic planning and how
higher level objectives are being fulfilled.
Supportive: consultative role
Controller: consultative and require compliance
Directive: directly manage the projects

Introduction (1.)

Organizations and Project Management

Projects should remain aligned with organization strategic plans.
Organizational governance can impose constraints on projects. If
the goal of a project conflicts with the organization strategy, the
PM is responsible for documenting it.

1.1 Role of the Project Manager (1.7.)

The PM is the person assigned to lead the team that is responsible for achieving the project objectives. The PM is the link
between the organization strategy and the team. In addition to
apply knowledge, tools and techniques he should have eventual
area-specific skills, general management proficiency and interpersonal skills such as leadership, communication, influencing,
negociation or confllict management.

2. Organizational
Influences and Project
Life Cycle (2.)
Projects and project management are affected by organizational
influences such as established practices, which should be understood by the PM.

2.1 Organizational Influences on

Project Management (2.1.)
Organization culture, structure and maturity influences how
projects are performed.

Organizational Structures (2.1.3.)

Functional: PM has low or no authority, projects are led
by functional managers. Team is only part-time on the
Weak matrix: project have an expediterwho is merely
an expeditor (staff member) without decision power or
coordinator with very limited autonomy.
Strong matrix: full-time projects managers and full time
administrative staff.

Organizational Influences and Project Life Cycle (2.)

Balanced matrix: there is a project manager, but with

limited power.
Composite: various structure types are present at different

Organizational Process Assets (2.1.4.)

Plans, processes, policies and knowledge bases used by the
performing organization that can be used to run the project. They
include lessons learned, historical information as completed
schedules, risk data,
Processes and procedures: guidelines and criteria for tailoring, standard and policies, templates, communication
Corporate knowledge base: historical information and lessons
learned, files from previous projects, financial databases,

Enterprise Environmental Factors (2.1.5.)

Conditions, not under the control of the project team, the influences, constrain or direct the project. For example: organization
culture, geographic distribution, political climate, infrastructure,

2.2 Project Stakeholders and

Governance (2.2.)
A stakeholder is an individual, group or organization who may
affect or be affected by the project.

Organizational Influences and Project Life Cycle (2.)

Project Stakeholders (2.2.1.)

Sponsor: person (or group) who provides resources and
support; promotes the project. Important in defining the
scope and project charter. Serves to escalate issues out of
the reach of the project manager
Customers and users. Persons who will use the project
Sellers (suppliers, contractors): provide components or
services to the project
Business partners: external organizations
Organizational groups Internal groups affected by the
Functional managers.

Governance (2.2.2.)
Oversight function, aligned with organization governance, providing a comprehensive and consistent method of controlling the
project. A project governance includes:

Success and deliverable acceptance criteria

Process to identify and resolve issues
Organization chart
Processes and procedures for communication
Project lifecycle approach
Process for review and approval of changes to scope /
budget / schedule

Organizational Influences and Project Life Cycle (2.)

Project Success (2.2.3.)

Project success is measured in terms of completing the project
within scope, schedule and quality.

2.3 Project Lifecycle (2.4.)

Series of phases from initiation to closure, in general sequential
and time bounded, with a start and ending or control point.
Although project lifecycle depends on the organization and on
the project, a generic cycle can be defined: starting, organizing
and preparing, executing, closing. Risk decreases during project
and cost of change increases.
A project may be divided in phases, which are a collection
of logically related project activities that produce one or more
deliverables. Work of each phase has a different focus, control
processes are unique to the phase and a phase ends with handsoff of some product. Phases may be sequential or overlapping.
Lifecycle can be predictive: scope, time and cost are fully determined at the start. Preferable when product is well understood
and should be delivered entire to have value. Incremental lifecycle add value incrementally. Adaptive lifecycle (agile or changedriven) are intended to respond to high level of change. Needed
when the scope cannot be fully determined during the early
phases of the project.

3. Project Management
Processes (3.)
A process is a set of interrelated actions and activities to create a
pre-specified result. Each process is characterized by its inputs,
tools and techniques, and outputs.
Good practice does not mean that processes should be applied
uniformly. The project team should select what is applicable

3.1 Project Process Groups (3.2.)

Project management processes are divided in 5 groups
Initiating: define a new project, with initial scope and
budget, stakeholders are identified, information kept in
the project charter and stakeholder register. Key purpose:
align stakeholders expectations
Planning: establish the total scope and effort, refine objectives, eventually using loops of interactions (progressive
elaboration). Develop the Project Management Plan. Key
benefit: define the strategy, tactics and path to sucessfully
complete the project or phase.
Executing: carry on the project work, coordinating resources and managing stakeholders expectations. Results
may require rebaselining

Project Management Processes (3.)

Monitoring and Controlling: track and review progress

and performance. Identify required changes and initiate
Closing: conclude activities and formally complete the

4. Integration
Management (4.)



Monitoring Closing





Project or

Define, combine, unify and coordinate the various processes and

manage interdependencies among knowledge areas.

4.1 Develop Project Charter (4.1.)

Develop the document that formally authorizes the project.
Benefit: well defined project start and project boundaries, formal
way to accept and commit to the project.

The project charter is influenced by Business case Project

selection methods, which can be classified in benefit mea-

Integration Management (4.)


surement (comparative) as economic models (net present

value, payback period) and constraint optimization (mathematical). Constraint and assumptions Statement of Work
(SOW), which is created by customer or sponsor and
describes the project scope and its alignment with the
organization strategy The project charter is authored by
the sponsoring entity but the participation of the PM is

Inputs: Statement of Work (narrative description of the result
containing business need, scope description and strategic plan);
Business case (which describes from a business point of view if
the project is worth the investment)
Output: Project Charter. This document issued by the sponsor
formally authorizes the project and gives authority to the project
manager. It documents business needs, assumptions, constraints
and understanding of high level requirements. It also documents
a summary budget and schedule and project approval criteria.

4.2 Develop Project Management Plan

Define and coordinate the subsidiary plans and integrate them.
The project Management Plan describes how the project is
executed, monitored and controlled, and closed.
Benefit: central document that defines the basis of the project

Integration Management (4.)


Inputs: Project Charter and outputs from other processes.

Output: Project Management Plan, that describes how the project
will be executed and controlled. It integrates the subsidiary plans
and baselines, in particular scope, schedule and cost baselines. It
requires formal approval.
In addition to plans for each knowledge area, there is *
Change management Plan * Configuration management
Plan * Requirements Management Plan * Process Improvement Plan

4.3 Direct and Manage Project Work

Leading and performing the work defined in the project management plan and implementing approved changes. Work performance data is collected during work execution (lessons learned
Approved changes include corrective and preventive actions and
defect repair.

This represents the integration aspect of project execution,

integrating all the work in a coordinated way. Basically,
this processes takes project plans and approved changes

Integration Management (4.)


as input and produces change requests, deliverables, work

performance data and updates to the plans.

Input: Project Management Plan, Approved Change Requests.
Outputs: deliverables, work performance data, change requests
for issues found while the work is performed.

4.4 Monitor and Control Project Work

Tracking, reviewing and reporting project progress.
Key benefit: allows the stakeholders to understand the current
state of the project.
Monitoring includes collecting and distributing work performance information. This includes between others comparing
project performance against management plan and identify new
Inputs: Project Management Plan, work performance information, costs and schedule forecasts.
Tools: meetings, analytical techniques (root cause, trend analysis,
reserve analysis, )
Outputs: Change requests (changes may include corrective actions, preventive actions and defect repair), work performance
reports (presentation of work performance information)

Integration Management (4.)


4.5 Perform Integrated Change

Control (4.5.)
Process of reviewing the change requests, approving them, manage change to deliverables and communicate their disposition.
Key benefit: allows for documented changes in an integrated
fashion and reduces risk.
This process is the ultimate responsibility of the PM. Changes
may be request by any stakeholder. Change requests should be
approved or rejected by either the PM, the project sponsor or
the Change Control Board (CCB) - the responsible individual is
defined in the Project Management Plan.
Configuration control is focused on the specification of deliverables and processes.
Some of the configuration control activities included are configuration identification (selection of configuration items), configuration verification and audit (ensure the composition of a
projects configuration is correct and corresponding changes are
Approved changes can require modifying the project management plan or the project documents.
Inputs: Project Management Plan, Change Requests, Organizational Assets such as change control procedures,
Outputs: Approved Change Requests, Project Management Plan
and Document updates, change log.

Integration Management (4.)


Process for handling change:


Prevent the root cause of change

Identify changes as early as possible
Look at the impact of change
Create change request
Perform integrated change control
assess the change (starting with: is it aligned
with the project charter, is it beneficial, ..)
look for options (decrease threats, compress
schedule, ..)
approve / reject change, through CCB if affecting the baselines
adjust plans and baselines if necessary

4.6 Close Project or Phase (4.6.)

Finalize the all activities to formally close the project or phase.
The PM reviews the scope to ensure that the project objectives
are met.
If project is terminated before completion, investigate and document the reasons for actions taken.
This includes activities necessary to transfer the product to
Key benefit: provides formal ending of the work, lessons learned
and release of resources.
Input: Project Management Plan, accepted deliverables

Integration Management (4.)


Tools: expert judgment, meetings, analytical techniques

Output: Final product, service or result; organizational process
assets update
A project should always be closed, independently of its
outcome. Close project and close procurements are the two
parts of terminating a project. Close project involves getting formal acceptance for the project as a whole, complete
financial closure, archive records, gather lessons learned.

5. Scope Management (5.)

Processes to ensure that the project includes all the work required
and only the work required.



Plan Scope
Collect Requirements
Create WBS




PM should plan in advance how he will manage scope;

scope should be clearly identified and formally approved;
requirements are gathered from all stakeholders; requirements should be evaluated against the business case; changes
should be evaluated for effects on time, cost, risk,..; no
change in scope is allowed without an approved change
request, and a change should not be approved if it does not
fit in the project charter.


Scope Management (5.)


5.1 Plan Scope Management (5.1.)

Create the Scope Management Plan that explains how the scope
will be defined, validated and controlled.
Inputs: Project Management Plan, Project Charter
Outputs: Scope Management Plan, Requirements Management

5.2 Collect Requirements (5.2.)

Determining, documenting and managing stakeholders needs
and requirements to meet project objectives.
Requirements include conditions or capabilities that are to be
present in the product or result. Requirements are the foundation
of the WBS, they should be quantified and documented in
enough detail to be included in the scope baseline and measured
once the project begins.
Requirements can be classified as business requirements, stakeholders requirements, solution requirements (functional or non
functional) and quality requirements.
High-level requirements have already been collected to
create the project charter. Collect requirements is gathering more detailed input on what is required and related
expectations from stakeholders.

Scope Management (5.)


Inputs: stakeholders and requirement-related documents: project

charter, stakeholder register, project management plan.
Tools: interviews, focus groups and facilitated workshops, group
creativity techniques (brainstorming, mind mapping, affinity
diagram..); surveys; prototypes; benchmarking; group decisionmaking technique (unanimity / dictatorship / majority / plurality
(the biggest group decides even if it hasnt a majority)
Output: Requirements Documentation; requirements traceability matrix (which helps ensure that each requirement adds value)

5.3 Define Scope (5.3.)

Develop a detailed description of the project or product. Define which requirements will be included or excluded from the
This is an iterative task. After determining a scope, the
PM calculates time and budget. If theses do not comply
with the sponsor expectations the PM should come with
alternatives and balances the variables.

Input: Project charter, Requirements Documentation, Scope Management Plan
Output: Project Scope Statement, which contains the description
of the scope, major deliverables, acceptance criteria, constraints
and assumptions. Describes in detail the deliverables and the

Scope Management (5.)


work needed. It also contains scope exclusions that help managing stakeholders expectations.

5.4 Create WBS (5.4.)

Subdividing project scope and work in more manageable components. Hierarchical decomposition with work packages (work
products to be created) at the lowest level, for which cost and
duration can be estimated. Work packages are associated with
a control account, control point where scope, budget, cost and
schedule are integrated.
Benefit: provides a structured vision of what has to be delivered.
The WBS is created with the help of the team; it includes
only deliverables required by the project; is includes all
project work (deliverables not part of the WBS are not
part of the project). Work packages can be realistically
estimated, completed quickly or outsourced.

Inputs: Scope statement and requirements documentation, scope
management plan.
Tools: Decomposition and expert judgment
Output: Scope baseline (approved scope statement, WBS and
WBS Dictionary). WBS Dictionary provides detailed deliverable,
activity and scheduling information about each WBS component: description of work, assumptions and constraints, mile-

Scope Management (5.)


stones, responsible organization, cost estimates, quality requirements

5.5 Validate Scope (5.5.)

Formalizing acceptance of the completed project deliverables.
Benefit: brings objectivity and increases chance of final product
Input: Verified Deliverables (before validating scope documents
they are checked for correctness and quality requirements by
the Control Quality process); scope baseline, requirements documentation and requirements traceability matrix.
Output: Accepted Deliverables, Change Requests, work performance information (information about project progress) and
project documents updates.

5.6 Control Scope (5.6.)

Monitoring the status of the project scope and maintain changes
to the scope baseline.
Ensure that requested changes and recommended actions are
processed through Integrated Change Control.
Benefit: maintain scope baseline throughout the project.
Tools: Variance Analysis (only)
Outputs: Work Performance Information, change requests and
project management plan updates

Scope Management (5.)

Control scope involves measuring and assessing work performance data against scope baseline and managing change.
PM responsibility is not passive, he should actively control
the scope, eventually impeaching out-of-scope changes.


6. Time Management (6.)








Processes required to manage the timely completion of the


6.1 Plan Schedule Management (6.1.)

Establish policies, procedures and documentation for planning,
managing and executing the project schedule.
Benefit: provides direction on how schedule will be managed.
Input: Project Charter, because it contains summary estimated
milestones, information from the Project Management Plan (scope

Time Management (6.)


Output: Schedule Management Plan, containing between others:
acceptable range used in determine realistic activity duration,
units of measure, control threshold (amount of variation allowed
before action is taken), rules of performance measurement like
rules for establishing percent complete (EVM).

6.2 Define Activities (6.2.)

Identify and document the actions to be performed to produce
the project deliverables.
Benefit: break down work packages into activities that provide
a basis for estimating, scheduling, executing and controlling the
project work.
Tools: decomposition, rolling wave planning
Activity List: comprehensive list with identifier and sufficiently detailed description, with a unique title;
Activity Attributes such as activity code, description, associated resources, constraints and assumptions, etc.;
Milestone List (milestone is a significant event with no

6.3 Sequence Activities (6.3.)

Identify and document relationships among activities.

Time Management (6.)


Key benefit: defines the logical sequence of work to obtain the

greatest efficiency given all constraints.
Inputs: output from Define Activities, Scope Statement
Tools: PDM (with constraints as Finish-to-start, ). Dependencies can be mandatory - hard logic (such as legal or contractual),
discretionary - soft logic (preferred logic), external (dependency
on non-project activities) or internal (inside teams control).
Output: Project Network Schedule Diagrams.

6.4 Estimate Activity Resources (6.4.)

Estimate type and quantity or resources required to perform each
Benefit: allows more accurate cost and duration estimates.
Inputs: Resource calendars (availability of resources), Risk Register (risk events may impact resource allocation).
Outputs: activity resource requirements, RBS

6.5 Estimate Activity Durations (6.5.)

Estimate number of work periods needed to complete each
activity. Inputs come from the team members that are more
familiar with the task.
Benefit: provide the time of each activity (input to the develop
Inputs: Activity list, activity attributes, resources requirements
and calendars.

Time Management (6.)


Tools: expert judgment, analogous estimating (using historical

data from similar project or activity. Gross estimation used when
limited information is available, less costly and time consuming;
parametric estimating (using an algorithm based on historical
data or parameters); three-points estimating, triangular (tO + tP
+ tL) / 3 or beta (tO + tP +4*tL) / 6; group decision techniques.
Reserve analysis: define contingency buffers for known risks and
management reserves for unknown risks.
PM has a professional responsibility to provide accurate
estimates. It is PM responsibility to provide the team with
enough information to properly estimate; do a sanity check
of estimates; prevent padding; estimate reserves and make
sure the assumptions made are recorded.
Another estimation tool is heuristics, which are a generally
accepted rule (like the 80/20 rule)

Output: acivity duration estimates

6.6 Develop Schedule (6.6.)

Analyze activity sequences, resources requirements, schedule
constraints to create the schedule model.
The schedule model is the project data used to calculate a schedule (activities, dependencies, leads and lags, ). The schedule is
an output of the schedule model and refers to the defined dates.

Time Management (6.)


Critical path method (early start, early finish, late start and
late finish). Critical path is the longest path. Total float
of an activity: time the activity can be delayed without
impacting project end. Note that critical path may have 0,
positive or negative total float depending on constraints
applied (negative when a constraint on the late dates is
violated, positive when the late date is calculated from a
constraint that is later than the early date). The free float
is the time an activity can be delayed without delaying the
early start of the next one.
Critical chain (CCM), that allows to place buffers to account for uncertainties. Feeding buffers are placed when a
chain which is not on the critical path feeds the critical
path. One additional project buffer is placed at the end
of the critical path. Note that CCM considers resource
leveling while critical path does not.
Resource optimization: leveling (adjust start and finish
dates to balance the demand and the availability of resources; smoothing (adjust the activities not to exceed
predefined limits - available only if it does not change or
delay the critical path).
Schedule compression: crashing (shorten a task by adding
resources); fast tracking (doing tasks that are normally
sequential in parallel, at least partially, increases the risk)
Schedule baseline: approved version of the Project Schedule
Project schedule, which presents the schedule model. The
schedule presents at least start and end date of each

Time Management (6.)


activity. In general presented graphically, with bar charts

(Gantt, used for management communication), milestone
charts (Gantt with only milestones) or network diagrams
(activity on node, without time scale)
Project Calendars

6.7 Control Schedule (6.7.)

Monitoring the status of the project activities to update progress
and manage changes.
As component of Integrated Change Control, Control Schedule is
concerned with: determining the status, influencing the factors
that cause schedule changes. If an Agile approach is used, it is
in Control Schedule that retrospectives are conducted as well as
backlog grooming.
Control means measure against the plan - PM needs to stay in
control of the project status. This includes taking corrective and
preventive actions. It includes also influencing the sources of the
During control, the PM re-estimates the remaining work (schedule forecasts) Benefit: provides a mean to identify deviations and
take corrective action.
Tools: Earned Value Management, Critical Path and Critical
Outputs: Schedule forecasts, change requests

7. Cost Management (7.)

Processes involving planning, estimating, financing, managing
and controlling costs to complete the project within the approved
Stakeholders requirements should be taken into account; primary interest is costs to complete the project but costs to maintain the product should be considered also.



Plan Cost




7.1 Plan Cost Management (7.1.)

Establish the procedures for planning, documenting and managing costs.
Benefit: provide guidance on how costs will be managed.
Input: Project Management Plan and Project Charter (which
contains a summary budget)
Output: Cost Management Plan: Part of the Project Management

Cost Management (7.)


Plan. Defines how cost will be managed, reporting formats e

control threshold, how the estimates should be stated. It states
between others: units of measure (man day, ..), level of precision,
control thresholds, rules of performance measurement

7.2 Estimate Costs (7.2.)

Developing an approximation of the monetary resources needed
to complete the project. Costs estimates are refined during the
project, starting with a ROM (rough order of magnitude). Estimates should consider risks.
Benefit: determines the amount of cost required.
Input: Cost Management Plan, Scope baseline, Risk register, HR
management plan,
Techniques: Analogous estimating (less precise, without estimating tasks, top-down), parametric, Bottom-up, three points - as for
resources estimates; reserve analysis. Vendor bid analysis.
Output: costs estimates
Costs estimates include contingency reserves (to manage known
unknowns). There are also management reserves to account
for unknown unknown, which are outside of the project cost
baseline. However, the used management reserve should be
included in the cost baseline and hence their use should be
Estimates also include indirect costs, which are costs that cannot
be traced directly to a project.

Cost Management (7.)


7.3 Determine Budget (7.3.)

Aggregating estimated costs of individual tasks or work packages
to establish a baseline.
Inputs: scope baseline, costs estimates, risk registers, agreements,

Tools: Cost Aggregation, Reserve Analysis, Funding limits reconciliation

Cost baseline, which is an approved version of the budget.
The budget comprises: (activity cost estimates + activity
contingency reserve) = work package cost estimate;
(work package cost estimate + contingency reserve) =
control account; Cost baseline is done at control account
level. Management reserves, although in the budget, are
not part of the baseline.
Funding requirements

7.4 Control Costs (7.4.)

Process of monitoring project status to update the project costs
and manage changes to the cost baselines. Increase to the approved budget should be performed through integrated change
Expenditures should be compared to the work already done.
Includes: influencing factors that create changes; monitoring
work and cost performance, preventing unapproved changes.


Cost Management (7.)

Tools: EVM (earned value management) and forecasting (which,

as a technique, is in control)

Planned Value


Earned Value


Actual costs
Budget at
Estimate at
expected value)
Estimate to
Variance at
Cost variance
To Complete



project value
Work performed
in terms of the
Realized cost
PV at the
beginning of the

(BAC - EV) /
(BAC - AC)

Output: Costs forecasts, change requests, work performance


8. Quality Management








Determine quality policies and objectives so that the project will

satisfy the need for which is has been undertaken. It applies to
all projects. PM is responsible to determine the appropriate levels
of precision (exactness) and accuracy (correctness) for use in the
quality management plan.
Modern quality approaches recognize the importance of customer satisfaction, prevention over inspection, continuous improvement (PDCA), management responsibility and cost of quality (total cost of conformance and non conformance work throughout the deliverable life including operations)
PM should recommend improvements to organization standards and processes; quality should be checked whenever
(before) a work package is ended.


Quality Management (8.)


8.1 Plan Quality Management (8.1.)

Identify quality requirements and document how the project will
demonstrate conformance.
Tools: Cost-benefit analysis, cost of quality, design of experiments, statistical sampling
Seven basic quality tools:
Ishikawa (fishbone): find causes
Flow chart (useful to estimate cost of quality in a process)
Checksheet: collect facts and data that will be used to
identify the problems(like the number of times each defect
has been observed)
Pareto diagram: find most important problems or causes
Histogram: represent statistical data, in particular tendency and dispersion
Control chart: checks if a process is stable, using mean and
agreed limits (limits are different from specification limits,
they are statistically measured limits representative of the
nature of the process). Verify if a process is out of control
(out of bounds or seven points on the same side of the
Scatter diagram: identify correlations
Three names and quality conceptions are to be remembered:
* Philip Crosby: 0 defect (prevention is a central element) *
Joseph Juran: quality comes from the idea of adequation to
use, satisfaction of client expectations * Deming: total quality
management, with PDCA loop. The quality issues are in general


Quality Management (8.)

caused by the process itself (hence the check-act loop to enhance

the process)
Six sigma (guarantee of not having defects in x standard deviation proportion of the production (6 x sigma is 99,99%)
Quality Management

Quality Metrics

Quality Checklist
Process Improvement

Define how quality will

be managed: which
processes will be
followed, the reports
used, metrics used, ..
Defines measures to
monitor quality, like
number of items failing
inspection, number of
bugs found
List of items to verify
/steps to pass to verify
Part of the project
management plan, used
to improve processes to
improve quality. Details
the steps for analyzing
project management
processes and enhance
their values. Areas
included: Process
boundaries, process
configuration, metrics
and targets for improved

Quality Management (8.)


8.2 Perform Quality Assurance (8.2.)

Auditing the quality requirements and the results from the
Control Quality process to ensure appropriate standards are
used. Seeks to build confidence that the project output will satisfy
requirements. The focus is on the process (PDCA)
Inputs: results of Plan Quality Management and Control Quality.
Tools: quality audits (independent evaluation if project activities
comply with policies).

8.3 Control Quality (8.3.)

Process of monitoring to assess performance and recommend
necessary changes.
Key benefits: (1) identifying the causes of poor product quality
and recommend measures and (2) validate that project deliverables meet requirements specified.
Inputs: quality checklists, work performance data, approved
change requests, project deliverables
Tools and techniques: tools as exposed above, statistical sampling
and inspection
Output: quality control measurements, validated changes and

9. Human Resources
Management (9.)



Plan HR





Organize, manage and lead the project team.

9.1 Plan Human Resources

Management (9.1.)
Identify and document project roles, required skills and create
a staffing management plan. Effective planning should plan for
the (un)availability or competition for scarce resources
Tools: organization charts and job descriptions. Organization
charts can be hierarchical (RBS, OBS), matrix-based (ResponsibleAccountable-Consult-Inform matrix) or textual; networking.
Output: Human Resources Management Plan, which contains:


Human Resources Management (9.)


Roles and responsibilities (role, authority, responsibility

and competency)
Project organization chart (members and their reporting
Staffing management plan, which describes when and
how the team will be acquired. Contains: staff acquisition,
resource calendars, staff release plan, training needs and
recognition and rewards, safety.

9.2 Acquire Team (9.2.)

Confirming human resources availability and obtain the team
necessary to complete the project.
Important factors: failure to acquire the team may affect schedule, budgets, quality and risks; if resources are not available
alternatives may have to be found, as employing less qualified
Tools: Pre-assignment (selected in advance), negotiation (with
functional managers or other project managers), acquisition;
Team members are frequently selected using multi-criteria decision analysis on the basis of availability, cost, experience, skills,
Outputs: Staff Assignments, Resource Calendars

9.3 Develop Project Team (9.3.)

Improving competencies and overall team environment to enhance performance.

Human Resources Management (9.)


PM should have skills to build, motivate, lead project teams to

achieve high performance. Develop the team includes improving
knowledge and skills, improve feeling of trust, create a cohesive,
collaborative team culture.
Interpersonal skills (communication, emotional intelligence,
conflict resolution)
Team-building activities, which are crucial for project
success to pass through the phases forming / storming /
norming / performing / adjourning.
Ground rules (establish clear expectations regarding acceptable team members behaviour)
Colocation (placing the team in the same physical location. Can be temporary and can include a team meeting
Recognition and reward
Personnel assessment (to enhance the team as a whole)
Output: team performance assessments (assessment of team
effectiveness as a whole) with indicators such as turnover, improvements in competencies, increased cohesion

9.4 Manage Project Team (9.4.)

Tracking team member performance, providing feedback, resolving issues and manage team changes.

Human Resources Management (9.)


Benefit: enhance behaviour, solves issues and appraises team

members performance.
Inputs: team performance assessments, issue log, work performance reports
Tools: observation and conversation, performance appraisals
(individual evaluation by supervisors, this can include clarification about roles, constructive feedback, discovery of unknown
issues), interpersonal skills (leadership, influencing, effective
decision making)
Conflict management. conflict is not necessarily bad, but can
become if it impacts team performance. Five techniques: withdraw/avoid (retreating or postponing, waiting for others to resolve); smooth/accommodate (concede one position to the needs
of others), compromise/reconcile (solution that bring some satisfaction to all parties), force/direct (push one viewpoint through a
power position); collaborate/problem solve (cooperative attitude
and open dialogue)
Output: change requests for changes that could impact budget or
schedule The powers of the PM can be format (based on position)
/ reward (power from giving rewards) / penalty(coercive) / expert
/ referent (charisma or fame).
There are also various style of leadership: directing (telling
others what to do) / facilitating / autocratic (top-down)
McGregors X and Y theory: workers fall in two groups: X
need to be watched every minute and avoid work; Y are
willing to work without supervision

10. Communications
Management (10.)








Processes to ensure timely and appropriate planning, creation,

distribution or storage of the project information. Effective communication creates a bridge between stakeholders with different
cultural and organizational backgrounds. Communication has
various dimensions: formal, written or spoken, official,
Communication skills include listening actively, questioning to
ensure better understanding, setting and managing expectations,
summarizing and identifying next steps, persuading to perfirm
an action.
Technologies used to communicate vary widely. The right
technology choice depends on availability, environment
(face-to-face, ), security (confidentiality)


Communications Management (10.)


10.1 Plan Communications

Management (10.1.)
Develop an appropriate approach for project communications
based on stakeholders information needs and available assets.
Inadequate communications planning may lead to problems
such as communication to the wrong audience, delays, Effective communication means that the right information is delivered in the right format at the right time to the right audience
and with the right impact.
Important considerations: who need what information, when,
where the information will be stored and in which format, how
it should be retrieved,
Tools: Communications Requirements Analysis: resources should
be expended only on communication that contributes to the
project success. The number of communications channel (n*(n1)/2) should also be considered.
The basic communication model includes: encode - transmit decode - acknowledge - feedback.
Communication methods are interactive, push or pull (the information is placed in a central location, the recipients are
responsible for pulling it)

To create an effective communication plan should be considered: the organizations environment and a structured
approach should be taken regarding communication technologies, methods and models. Analyzing stakeholders

Communications Management (10.)


requirements is essential.
Rules for meetings: set a time limit, meet regularly but
not too often, have a purpose for each meeting, with a
distributed agenda (and stick to it), bring the right people
together, lead the meeting with a set of rules, document

Outputs: Communications Management Plan, which contains:
stakeholders communication requirements, information to be
communicated, reason for distribution of that information, person responsible for communicating, escalation process, glossary,

10.2 Manage Communications (10.2.)

Creating, collecting, distributing, storing the project information.
Benefit: enables the efficient communication flow between stakeholders. Goes beyond the simple distribution of information,
seeks to ensure that the information has been properly received
and understood.
Should be considered between others: writing style, choice of
media and writing style, meeting management techniques, listening and facilitation techniques, presentation techniques.

Communications Management (10.)


Communication blockers: noise, distance, improper encoding, making negative statements, hostility, language and
culture. Reports are an important part of communications.
Some rules apply, between them: reports should provide
the right information and detail required by stakeholders,
include measurements against baselines (cost, scope and
schedule), must be trustful.

Tools: Technology, models, methods, information management
Output: Project Communications, project plans and documents
updates (as a result of the communication), organizational process assets updates (projects reports and records).

10.3 Control Communications (10.3.)

Monitoring and controlling communications to ensure stakeholders information needs are met.
Inputs: Project Communications, Issues log (to communicate
Tools: expert judgment to assess the impact of communications,
meetings, information management systems
Output: change requests if there is need for adjustment or
intervention, Project Management Plan updates

Communications Management (10.)

PM measures to check if the communication plan is being

followed and stakeholdersneeds are being met. Although
he spends about 90% of his time communicating and should
control communications as much as possible, PM cannot control every communication occurring during the


11. Risk Management (11.)







Plan Risk
Plan Risk

The objectives of risk management are to increase the likelihood

and impact of positive events and decrease the likelihood and
impact of negative events.
Risk is an uncertain event that has a positive or negative impact.
Known risks can be managed proactively or be assigned a
contingency reserve.
Risk is accepted differently by organizations, depending on their
risk appetite (willing to take in anticipation of a reward), risk
tolerance (risk that can withstand) and risk threshold (limit of

Risk Management (11.)


acceptable risk).

11.1 Plan Risk Management (11.1.)

Process of defining how to conduct risk management.
Benefit: ensure that risk management is aligned with the risks
and importance of the project. Risk management plan is vital
to communicate and obtain agreement and support from all
Inputs: Project Charter, Stakeholder Register
Output: Risk Management Plan, which includes
Methodology: approaches tools and data sources used to
manage risk
Roles and responsibilities
Risk Categories (grouping potential causes of risk - RBS)
Probability and impact matrix

11.2 Identify Risks (11.2.)

Determine which risks can affect the project and document their
All project team is encouraged to identify risks. Subject matter
experts from outside of the project can also be included.

Risk Management (11.)


Tools: Information gathering techniques (brainstorming, Delphi,

interviews, root cause analysis); checklist analysis based on
historical data or the lowest level of RBS; assumptions analysis;
diagramming (fishbone, influence diagrams); SWOT analysis
Output: Risk Register (list of identified risks and potential responses)

11.3 Perform Qualitative Risk Analysis

Prioritizing risks for further analysis by assessing their probability and impact. Establishing definitions for probability and
impact help reduce the influence of bias in risk management.
Benefit: reduce uncertainty and focus on high-priority risks
Tools: probability and impact assessment; probability and impact
matrix (probability from 0 to 1, and for example impact from
1 no real impact to 10 project failure passing by 6 over
budget or delay of 10 to 20%); risk data quality assessment, risk
categorization; risk urgency assessment.
Output: updates to documents, principally the Risk Register with
the following information: probabilistic analysis of the project as
a whole, prioritized list of risks,

11.4 Perform Quantitative Risk

Analysis (11.4.)
Numerically analyze the effects of risks on the overall project

Risk Management (11.)


Benefit: produce quantitative risk information to support decision making. It is done on risks prioritized in the Qualitative Risk
Tools: data gathering and representation (interviewing, probability distributions); quantitative analysis (sensitivity analysis tornado diagram, expected monetary value analysis, modeling
and simulation)
Output: project document updates: probabilistic analysis of the
project, probability of achieving objectives, prioritized list of
quantified risks, trends in risk exposure.

11.5 Plan Risk Responses (11.5.)

Process of developing options and actions to enhance opportunities and reduce threats.
Key benefits: address risks by priority, inserting them and the
responses in baselines (budget, time)
Tools: strategies for negative risks: avoid, transfer, mitigate,
accept; for positive risks: exploit, enhance, share, accept; contingent response strategies (fallback plan triggered under certain
predefined conditions)
Output: update to projects plans and documents (schedule, cost,
human resources, baselines). Updates to the risk register include:

Agreed-upon strategies
Contingency plans and triggers that call their executions
Buget and activities to implement responses
Residual risks (that remain after planned responses have
been taken) and secondary risks

Risk Management (11.)


11.6 Control Risks (11.6.)

Implement risk response plans, tracking identified risks, identify
new risks.
Inputs: Risk Register, work performance data
Risk reassessment
Risks audits: examine and document the effectiveness of
risks responses as well as the effectiveness of risk management process. PM is responsible to ensure that audits
are conducted regularly.
Variance and trend analysis
Reserve analysis
Outputs: Work Performance Information, change requests, documents updates and organizational process assets update.

12. Procurement
Management (12.)



Plan Procurement



Controlling Closing

Processes necessary to acquire products and services needed

from outside of the project.
This involve agreements, including contracts, which are legal
documents binding a buyer and a seller. It is the PM responsibility to verify that the contracts provide what is needed and
comply with the organization policies.
Note that the lifecycle of a contract may be different from the
project lifecycle. The processes are performed for each item

12.1 Plan Procurement Management

Document procurement decisions and identify potential sellers.
Identify project needs that are best met or should be met by

Procurement Management (12.)


acquiring external services or products. Includes evaluating the

risks involved and reviewing the type of contract to be used to
avoid, mitigate or transfer risks to the seller.
Key benefit: determines if it is needed to acquire external support, how, how much and when.
This process answers the questions: how will make-or-buy
analysis be performed, what good and services need to
be purchased, how will they be purchased, what are the
potential sellers.
It includes the following activities: make-or-buy analysis,
create the procurement management plan; for each procurement create the SOW; select the contract type.

Input: scope statement, WBS, requirements documentation, resource requirement, cost estimates, risk register, organizational
process assets: formal procurement policies, established prequalified sellers
Main types of contracts are:

Fixed price:
Firm Fixed Price - FFP
Fixed Price Incentive Fee (with incentive for performance)
Fixed Price with Economic Price Adjustment - FP-EPA: for
long term contracts
5. Cost-reimbursable:
6. Cost Plus Fixed Fee - CPFF

Procurement Management (12.)


7. Cost Plus Incentive Fee - CPIF

8. Cost Plus Award Fee - CPAF. The majority of the fee is
earned on a broad subjective criteria at buyers discretion.
9. Time and Materials. Note that a not-to-exceed cost limit or
time limit may be specified to avoid uncontrolled growth.
Tools: Make-or-buy analysis, market research
Procurement Management Plan, defining types of contracts to be used, metrics used to evaluate sellers, coordination with other project aspects, setting schedule
dates for the contract deliverables and coordinating with
schedule development and defining form and formats used
for SOW;
Statement of Work (SOW) which is developed in sufficient
details from the scope baseline to permit to conduct procurements. Should be written to be clear, complete and
Procurement documents used to solicit proposals from
prospective sellers: RFP/ RFB; Should be consistent with
the value and risk associated with the planned procurement.
Source selection criteria: understanding of the need, technical capacity, warranty, business size, financial stability,
intelectual property rights
Make-or-buy decisions

Procurement Management (12.)


12.2 Conduct Procurements (12.2.)

Obtain sellers responses and award a contract.
Input: SOW, organizational process assets, seller proposals
Tools: Proposal Evaluations Techniques, Independent Estimates,
Procurement negotiations, bidders conferences (meeting with all
bidders to ensure they have a common understanding)
Output: selected sellers: have been judged in the competitive
range and have negociated a draft contract that will become
an actual contract when an award is made (which may require
senior management approval); agreements including terms and
conditions. A contract is a legal relationship which may include:
deliverables, schedule, reporting, place of performance, pricing,
warranties, penalties or change requests handling.

12.3 Control Procurements (12.3.)

Manage procurement relationships, monitoring contract performance, making changes and corrections as appropriate.
Integration of the result of the contract execution in the project
has impacts on the processes Direct and manage Project Work,
Control Quality, Perform Integrated Change Control and
Control Risks. In addition, payments to the seller should be
moniotred to ensure that they are closely linked to the seller
progress as defined by the contract.

Procurement Management (12.)


Constructive changes to a contract occur when the buyer

gets in the way of performing its work. This could be
because of actions (too much control) or inactions (failing
to provide informations to conduct reviews). PM should be
careful at this respect.
The only person authorized to change a contract is the
contract administrator, who may be the procurement
manager and not the PM. In this case, there is an additional
layer and risks (if PM and procurement manager disagree)

Input: Agreements, work performance data and reports
Tools: Procurement performance reviews of the sellers progress
as compared to the contract; inspections and audits, claims
administration for contested changes (settlement is preferred);
payment systems (in accordance with the terms of the contract),
records management system.
Output: Organizational process assets updates: correspondance
exchanged, payment shcedules, seller performance documentation; change requests.

12.4 Close Procurements (12.4.)

Process of completing each procurement. This includes administratives tasks such as finalizing open claims and archiving the
information. Uresolved claims may be subject to litigation after

Procurement Management (12.)


Early termination is a special case of closure resulting from

mutual agreement, default or connvenience of a part if provided
for in the contract. Rights and responssbilities are specified in the
termination clause.
Key benefit: document agreements for future reference.
Tools: audits, to identify successes and failures; negotiations for
outstanding claims and disputes, records management system
(contracts, as legal documents, should be properly archived)
Output: closed procurements, organizational assets update.

13. Stakeholder
Mangement (13.)



Controlling Closing


Plan Stakeholders



Identify the peoples or organizations that could impact or be impacted by the project, to analyze their expectations and possible
impact and to develop strategies to effectively engage them.

13.1 Identify Stakeholders (13.1.)

Identify the people, groups or organizations that could impact or
be impacted by the project and document relevant information
regarding their interests, involvement, influence.
Inputs: Project Charter, environment and organizational assets
Tools: stakeholder analysis, which is systematically gathering
qualitative and quantitative information to determine whose
interest should be taken care of during the project; expert judgement and meetings.


Stakeholder Mangement (13.)


Classification models include grids like interest-power grid divides the stakeholders in four regions with different actions: ++
manage closely / +- keep informed / -+ keep satisfied / monitor.
Salience model classifies stakeholders according to their power,
urgency and legitimacy.
Output: stakeholder register, which contains identification information, assessment information and stakeholder classification

13.2 Plan Stakeholder Management

Develop appropriate management strategies to effectively engage stakeholders. This process identifies how the project will
impact stakeholders and develop ways to engage them.
Stakeholder Management Plan and Communication Plan are
both repositories of similar information. However, if the communications plan defines the tools and technologies, the stakeholder
management plan is more concerned with the why of the
Great caution should be taken redacting and distributing the
stakeholder management plan. The information it contain could
be confidential e eventually extremely damaging (in particular
considering that good relations with stakeholders is essential to
project success).
Benefit: provides a clear, actionable plan
Tools: meetings, expert judgment, analytical techniques (unaware / resistant / neutral / supportive / leading)

Stakeholder Mangement (13.)


Outputs: stakeholder management plan, which provides: current

and desired engagement of key stakeholders, identified interrelationships, communication requirements.

13.3 Manage Stakeholder Engagement

Communicating and working with stakeholders to meet their
expectations and foster engagement in project activities. this
includes manage expectations and addressing potential concerns.
Benefit: increase support, increasing the chances to reach project
Inputs: Stakeholder Management Plan, Communications Management Plan
Tools: communications methods, interpersonal skills
Output: issue log, change requests, organization process assets
updates (like presentations to stakeholders, feedback from them,
lessons learned)

13.4 Control Stakeholder Engagement

Monitoring overall stakeholder relationships and adjusting strategies and plans. Benefit: maintain or increase the level of engagement.
Input: Project management plan, issue log

Stakeholder Mangement (13.)


Tools: information management system (standard way to capture, store and distribute project information), expert judgment
and meetings
Outputs: change requests, organizational process assets updates