The PMBOK Guide outlines essential project management principles, including identification of requirements, stakeholder communication, and balancing competing constraints such as scope and budget. Chapters cover various aspects of project management, including organizational influences, project life cycles, and specific management processes such as risk and quality management. The guide emphasizes the integration of knowledge areas and process groups to efficiently manage projects and achieve organizational objectives.

1. Project Management
“Body of Knowledge”
Guide
Chap 1-3
The PMBOK guide
5th Ed., 2013
Brian Davis, PhD
3/22/19 1

2. Summary
• Managing a project includes:
• ID requirements
• Address stakeholder needs, concerns and expectations
form project planning to finish
• Setting and maintaining stakeholder communications
• Balance competing constraints among:
– Scope
– Quality
– Schedule
– Budget
– Resources
– Risks
(from Annex A1, p. 417)
3/22/19 2

3. Outline Chapter 1
• 1. Relationship among:
– Project management
– Portfolio management
– Program management
– Organizational (project) management
– Operational management
– Organizational strategy
3/22/19 3

4. Outline (cont) Chap 2
• 2. Organizational influences
– Cultures and styles
– Communications
– Structures
– Process
– Environment
– Stakeholders and governance
– Team
– Project lifecycle
3/22/19 4

5. Outline (cont) Chap 3
• 3. Project Management Processes
– Process interactions
– Process groups
– Initiating, planning and executing process group
– Monitoring and controlling process group
– Closing process group
– Project information
– Role of knowledge areas
3/22/19 5

6. Outline (cont) Chap 4
• 4. Project Integration Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Develop project charter
– Develop project management plan
– Direct and manage project work
– Monitor and control project work
– Perform integrated change control
– Close project or phase
3/22/19 6

7. Outline (cont) Chap 5
• 5. Project Scope Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Plan scope management
– Collect requirements
– Define scope
– Create Work Breakdown Structures (WBS)
– Validate Scope
– Control Scope
3/22/19 7

8. Outline (cont) Chap 6
• 6. Project Time Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Plan schedule management
– Define activities
– Sequence activities
– Estimate activity resources
– Estimate activity durations
– Develop Schedule
– Control Schedule
3/22/19 8

9. Outline (cont) Chap 7
• 7. Project Cost Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Plan cost management
– Estimate costs
– Determine budget
– Control costs
3/22/19 9

10. Outline (cont) Chap 8
• 8. Project Quality Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Plan quality management
– Perform Assurance
– Control Quality
3/22/19 10

11. Outline (cont) Chap 9
• 9. Project Human Resource Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Plan human resource management
– Acquire project team
– Develop project team
– Manage project team
3/22/19 11

12. Outline (cont) Chap 10
• 10. Project Communications Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Plan communications management
– Manage communications
– Control communications
3/22/19 12

13. Outline (cont) Chap 11
• 11. Project Risk Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Plan risk management
– Identify risks
– Perform qualitative risk analysis
– Perform quantitative risk analysis
– Plan risk responses
– Control risks
3/22/19 13

14. Outline (cont) Chap 12
• 12. Project Procurement Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Plan procurement management
– Conduct procurements
– Control procurements
– Close procurements
3/22/19 14

15. Outline (cont) Chap 13
• 13. Project Stakeholder Management
• Each section has INPUTS, TOOLS and
TECHNIQUES, and OUTPUTS
– Identify stakeholders
– Plan stakeholder management
– Manage stakeholder engagement
– Control stakeholder engagement
3/22/19 15

16. Chapter 1:
• PMBOK is a STANDARD, that establishes norms,
methods, processes and practices for a project
• The PMI Lexicon of Project Management Terms is the
vocabulary used
• Project management institute code of ethics and
professional conduct is meant to outline interactions
with stakeholders as
• Honest
• Responsible
• Comitted to fair practices
• Respectful
3/22/19 16

17. 1.2 What is a Project, Portfolio,
Program?
• Temporary endeavor for product, service or result
• The Relationship of Portfolios, Programs and Projects
are roughly hierarchical, though projects can exist at all
levels. The Portfolio and Progrm construction are
based on organizational strategies.
• Portfolio
– Subportfolio
• Projects
• Programs
– projects
– Subprograms
» projects
3/22/19 17

18. 1.3 What is Project Management
• “Project Management is the application of
knowledge, skills, tools, and techniques to
project activities to meet project
requirements.” Application and integration of
47 processes categorized in 5 process groups:
– Initiation
– Planning
– Executing
– Monitoring and controlling
– Closing
3/22/19 18

19. Managing a Project includes:
• ID requirements
• Address stakeholder needs, concerns and expectations form project
planning to finish
• Setting and maintaining stakeholder communications
– Active, effective and collaborative
• Manage Stakeholders for
– Meeting project requirements
– Creating project deliverables
• Balance competing constraints among:
– Scope
– Quality
– Schedule
– Budget
– Resources
– Risks
• Iterative, progressively elaborated project plan throughout the project
lifecycle
3/22/19 19

20. 1.4 Relationships among Portfolios,
Programs, Projects and Organizations
• Organizational Project Management:
– A strategy execution framework of organizational
management and practices to enable predictable
delivery on strategies and providing for better
performance and sustainable competitive
advantage.
• Portfolio, Program, Project Management:
– Aligned and/or driven by organizational strategies
– Contribute to the overall goals of the organization
3/22/19 20

21. 1.5 Relationship between Project
Management and Operations Management
• Operations Management:
– Are typically day-to-day business operations
– Require business process management
• Operations and Project Management may
overlap in:
– When developing a new product
– Improvement to product development processes
• Project management MUST consider
Operations stakeyholders in projects.
3/22/19 21

22. 1.5 Relationship between Project
Management and Organizational Strategy
• Projects are undertaken to achieve business
strategies
• Project management depends upon
organizational governance and processes
3/22/19 22

23. 1.6 Business value
• Business value should be driven by projects,
either short, medium or long term
• Organization strategy is expressed via Mission
and Vision statements including market,
completion and environment
• Project management focuses on on the
successful delivery of products, services or
results (and drives business value).
3/22/19 23

24. 1.7 Role of Project Manager
• Lead the team that is responsible for achieving
the project objectives
• Project manager is the link between the
organizational strategy and the project team
• Possesses the following competencies
– Knowledge
– Performance
– Personal: attitudes, personality, leadership
– Balance of technical, interpersonal and conceptual
skills to analyze situations and interact appropriately
3/22/19 24

25. 1.7 Project manager characteristics
• Leadership
• Team building
• Motivation
• Communication
• Influencing
• Decision making
3/22/19 25
• Political and
cultural awareness
• Negotiation
• Trust building
• Conflict
management
• Coaching

26. Chapter 2: Organizational Influences
and Project Life Cycle
• Projects occur in a broader context
environment that the project itself
• Organizational influencers:
– Staffing practices
– Management practices
– Stakeholders
– Team structure and membership
– Activity phasing
– Relationships
3/22/19 26

27. Organizational Cultures and Styles
• The project manager needs to know who are the
decision makers and influencers and work with them to
increase the probability of project success.
• Common experiences within an organization:
– Shared visions, mission, values, beliefs, expectations
– Regulations, policies, methods, procedures
– Motivation and rewards systems
– Risk tolerance
– View of leadership, hierarchy, and authority relationships
– Code of conduct, work ethic, work hours
– Operating environments
3/22/19 27

28. 2.1 Key Organizational Characteristics
• Organizational communications
• Organizational Structures
– Functional = little PM authority
– Matrix = strong PM authority
3/22/19 28

29. 2.1.4 Organizational Process Assets
• Org. process assets can be grouped as:
– Processes and Procedures
• Eg., Plans, procedures, processes, policies, and
procedures
– Corporate knowledge base
• Eg., Lessons learned, historical info, completed
schedules, risk data, and earned value data.
3/22/19 29

30. 2.1.4.1 Processes and Procedures
• Initiating and planning
– Guidelines and criteria
– Policies, product and project lifecycles, quality. Audits, improvements,
checklists, etc.
– Templates
• Executing, monitoring and controlling
– Change control procedures
– Financial control procedures
– Issue and defect management procedures
– Org communication requirements
– Procedures for work authorizations
– Risk control procedures
– Standardized guidelines, criteria, performance measurement
• Closing
– Project closure guidelines, (eg., lessons learned, product acceptance
criteria)
3/22/19 30

31. 2.2.4.2 Corporate Knowledge Base
• Configuration management including versions
and baselines of standards, policies, procedures
and docs.
• Financial DBs, including labor hours, costs,
budgets, cost overruns
• Historical info and lessons learned
• Issue and defect management records
• Process measurement data (eg, process
improvement)
• Project files from previous projects
3/22/19 31

32. 2.1.5 Enterprise Environmental
Factors
• Conditions not under control by the project team.
• Considered as “inputs”, but may have positive or
negative influence on project outcomes.
3/22/19 32
• Org. culture, structure and governance
• Geographic distribution of resources
• Government or industry standards
• Infrastructure
• Existing human resources (eg, skills)
• Personnel Admin (eg, staffing,
retention)
• Company work authorization systems
• Marketplace conditions
• Stakeholder risk tolerances
• Political climate
• Org. communication channels
• Commercial databases
• Project management information
system

33. 2.2 Project Stakeholders and
Governance
• “Project governance-the alignment of the
project with stakeholders’ needs or objectives-
is critical to the successful management of
stakeholder engagement and the achievement
of organizational objectives.”
• Project stakeholders
– Project team members
– Internal stakeholders
– External stakeholders
3/22/19 33

34. Project Stakeholders
• May have various levels of engagement (eg, advisors to
developers)
• Stakeholder ID is a continuous process throughout the
entire project life cycle
• Stakeholders and positively and/or negatively impact
project objectives
• Stakeholder perception of a project may be positive or
negative.
• PM must manage stakeholder expectations
• Team members must interact with stakeholders in
professional and cooperative manner
3/22/19 34

35. Examples of Stakeholders
• Sponsor
• Customers and users
• Sellers (vendors, suppliers, contractors)
• Business partners (eg, data suppliers, trainers)
• (Internal) Organizational groups (eg, Sales, HR,
legal, finance, etc.)
• Functional managers
• Other Stakeholders (eg, financial entities,
government regulators, SMEs, consultants, etc.)
3/22/19 35

36. 2.2.2 Project Governance
• An oversight function to enhance success and should be
described in the project management plan.
• Elements of project governance:
– Project success definition and deliverable acceptance criteria
– Process to ID, escalate and resolve issues
– Relationships among team and stakeholders
– Project org chart and project roles
– Communication processes
– Project decision-making processes
– Guidelines for alignment of project governance with
organizational strategies
– Project life cycle approach
– Process for stage gate or phase reviews
– Change review process
– Process to align internal stakeholders with project process reqs.
3/22/19 36

37. 2.3 Project Team Roles
• Project management
• Project staff
• Supporting experts
• User or customer representatives
• Sellers (vendors, suppliers, contractors)
• Business partners (eg, data suppliers, trainers)
• Business partner members
3/22/19 37

38. 2.3.1 Composition of Project Teams
• Dedicated:
– often seen in projectized organizations
– PMs have a great deal of authority
• Part-Time
– Common in functional organizations
• Joint ventures, consortiums, partnership
• Can be virtual, dispersed geographically
– Technology reliance for coordination and
communication
– Accommodations for different cultures, working
hours, time zones, local conditions and languages
3/22/19 38

39. 2.4 Project Life Cycle
• Series of phases form initiation to closure
• Provides the basic framework for managing a
project
• Phases can be broken down by:
– Functional or partial objectives
– Intermediate results or deliverables
– Specific milestones
– Financial availability
– Generally time bounded
• Range from predictive (waterfall) to adaptive
(agile)
3/22/19 39

40. Cost, Staffing and Risk During Phases
• Low at start, peak as work is carried out, and
drop as project is closed out
• Risk and uncertainty is highest at beginning of
project, but should decrease over the course
of the project as decisions are reached and
deliverables are accepted
• Impact of changes on cost are lowest near the
start of the project and highest near the end.
• (“Fail Fast, Fail Early!”)
3/22/19 40

41. Fig 2-8. Cost and Staffing
3/22/19 41From PMBOK

42. Fig 2-9. Risk, Uncertainty and Cost
3/22/19 42From PMBOK

43. 2.4.2.1 Phase Relationships
• Sequential
– Reduces uncertainty but may eliminate options for
reducing overall schedule
• Overlapping
– Con: may increase risk if phases start before all
info is in on last phase
– Pro: may allow for compression of time and allow
work in parallel.
3/22/19 43

44. Fig 2-8. Characteristics of the Project
Life Cycle
3/22/19 44From PMBOK

45. 2.4.2.2 Predictive Life Cycles
3/22/19 45From PMBOK

46. 2.4.2.2 Predictive Life Cycles
• Project Scope, Time and Cost are determined
early in project
• Series of sequential or overlapping steps
• Work in each phase is largely different in
nature form other steps
• Makeup and skills of team members vary from
phase to phase
3/22/19 46

47. 2.4.2.3 Iterative and Incremental Life
Cycles
• Preferred for Projects that are complex, and/or objectives and
scope are likely to change.
• Project phases (iterations) repeat as the project team’s
understanding of project and product increases
• ITERATIONS develop the PRODUCT through repeated cycles
• INCREMENTS successively add FUNCTIONAITY to the product
through repeated cycles
• During an iteration:
– all the activities will be performed
– A set of deliverables is completed at the end of the iteration
• Future iterations may enhance deliverables or create new ones
• Each iteration builds deliverables until the exit criteria for project or
phase is met.
• Iterations allow project team to incorporate feedback form
stakeholders
3/22/19 47

48. Adaptive Life Cycles
• AKA as change-driven or agile methods
• Responsive to high levels of change and
stakeholder involvement
• Iterations are rapid (2-4 weeks)
• Set of requirements into backlog
• Beginning of iteration, high-priority items
developed during iteration, based on the time
within the iteration
• End of iteration, Product demo to stakeholder(s)
3/22/19 48

49. Adaptive Life Cycle
3/22/19 49
From https://bit.ly/2u5rNV8 , based on PMBOK

50. 3. Project Management Processes
• Each process is characterized by
– Inputs
– Tools and techniques to be applied
– Outputs
– To be considered:
• Organizational process assets
• Enterprise environmental factors
3/22/19 50

51. To Ensure Project Success
• Select appropriate processes to objectives
• Define approach that can be adapted to meet
requirements
• Establish and maintain appropriate
communication and engagement with
stakeholders
• Comply with requirements to meet stakeholder
needs and expectations
• Balance competing constraints of scope,
schedule, budget, quality, resources, and risk
3/22/19 51

52. Product vs. Project Processes
• Project management processes
– Ensure the effective flow of the project throughout its
life cycle
– Application of tools and techniques described in
Chapters 4-13 (knowledge areas)
– Generally applicable to all project management
• Product-oriented processes
– Specify and create the Product
– Some processes may be product-specific
– Product processes need to be known to effectively
manage Project scope
3/22/19 52

53. Five (5) Process Management Groups
• PMBOK describes the nature of PM processes
and the integration among them, their
interactions and purposes.
– Initiating process group
– Planning process group
– Executing process group
– Monitoring and controlling process group
– Closing process group
3/22/19 53

54. Network of Process Groups
• Common PM process interactions
• PM process groups
• Initiation process group
• Planning process group
• Executing process group
• Monitoring and controlling process group
• Closing process group
• Project Information
• Role of knowledge areas
3/22/19 54

55. 3.1 Common Project Management
Process Interactions
• PM Processes are well-defined but in practice
overlap and interact
• Iterative and many processes are repeated
during the project
• The integrative nature of PM requires the
monitoring and controlling process group to
interact with the other process groups (see Fig
3-1)
3/22/19 55

56. Fig 3-1. Monitoring and Controlling
Process Group Interaction With Other
Group Processes
3/22/19 56From PMBOK

57. Linkage Among Process Groups
• Process Groups are overlapping activities
• Output of one process can be input to another
process or a deliverable
• May be incremental deliverables
• Process group interaction is shown in Figure 3-
2.
3/22/19 57

58. Fig 3-2: Process Group Interaction
3/22/19 58From PMBOK

59. Project Management Process
Interactions
• Interactions can be
– among process groups or
– within process groups
• Fig 3-3 is a summary of simple flow and
interactions among process groups and
stakeholders
• PM processes are linked by INPUTS and OUTPUTS
• Output(s) from one process becomes the input(s)
to another process
• Iterative nature of project management results in
reuse of processes
3/22/19 59

60. Fig 3-3 PM Process Interactions
3/22/19 60
From PMBOK

61. Five (5) Process Management Groups
• PMBOK describes each process group in
sections 3.3-3.7
– 3.3 Initiating process group
– 3.4 Planning process group
– 3.5 Executing process group
– 3.6 Monitoring and controlling process group
– 3.7 Closing process group
3/22/19 61

62. 3.3 Initiating Process Group
• The processes in this process group involve
authorization and start of project
• Key purpose is to align stakeholders with the project’s
purpose, and to involve them in the project going
forward
• Sets the vision for the project
• Initial Scope defined
• Initial finances committed
• Project charter approved
• Success criteria defined
• Large and complex projects typically involve phases (ie,
multiple Initiating processes for subsequent phases)
3/22/19 62

63. 3.4 Planning Process Group
• Processes to:
– Define the total scope of the project
– Define and refine objectives
– Define actions to accomplish objectives
• Key purpose is to set strategy, tactics and
methods
• Define and Develop Project management plans
and other docs (deliverables).
– Allow for “progressive elaboration” = significant
changes in project can trigger changes in planning
processes
3/22/19 63

64. Project Management Plan
• The project management plan and associated
docs (deliverables) may include, but are not
limited to:
• Scope
• Time
• Cost
• Quality
• Communications
3/22/19 64
• Human
resources
• Risks
• Procurements
• Stakeholder
engagement

65. Updating
• Generally, learning through each phase will
suggest changes to the project (typically approved
in the monitoring and controlling processes)
• Updates to the project management plan and
other docs will provide greater visibility into
schedule, costs and other aspects of the project.
• The organization has procedures to dictate when
initial planning ends
• Results in each iteration are documented as
updates to the project management plan and
other docs
3/22/19 65

66. 3.5 Executing Process Group
• Processes to complete the work defined in the project
management plan
– Coordinating people and resources
– Manage stakeholder expectations
– Performing and integrating activities
• Key purpose is to execute on strategy, tactics and
actions outlined in project management plan
• Most of budget expended in these processes
• Results from project execution may require planning
updates and and rebaselining
– Unanticipated risks
– Further analysis
3/22/19 66

67. 3.6 Monitoring and Controlling Process
Group
• Processes to track, review and manage the
progress of project
– Monitor (measure) and analyze project performance
– ID variance with project management plan
– Recommending and Controlling changes in
anticipation of risks
– Influencing decision makers to ensure only approved
changes are implemented
• Key purpose is to continuously monitor health of
project and to trigger changes as new
information surfaces
3/22/19 67

68. 3.7 Closing Process Group
• Processes to conclude all activities across all 5 project
management process groups for formal completion of
project, phase or contract
• Processes may include, but are not limited to:
– Obtain acceptance for closure by stakeholder(s)
– Conduct review
– Document lessons Learned
– Update organizational procedures
– Archive all docs
– Close procurement activities and other agreements
– Perform team assessments
– Release project resources
• Key purpose is to formally and visibly end project, phase or
contract
3/22/19 68

69. 3.8 Project Information
• Distinction between DATA and INFORMATION
• Data throughout project is analyzed and used as
information in the project (esp. in the controlling
processes)
– Work performance data
• Raw observations collected during project
– Work performance information
• Analyzed data
– Work performance reports
• Analyzed data captured in formal project documents
3/22/19 69

70. 3.9 Role of Knowledge Areas
• Ten (10) knowledge areas are used to classify
the 47 PMBOK project management processes
3/22/19 70
• Project initiation
management
• Project scope management
• Project time management
• Project cost management
• Project quality
management
• Project human resource
management
• Project communications
management
• Project risk management
• Project procurement
management
• Project stakeholder
management

71. Ten (10) Knowledge Areas and Five (5)
Process Group Relationship
• PMBOK shows how Knowedge areas integrate
with Process groups
• More information in subsequent cahpters (4-
13)
• Table 3-1 shows mapping of
– 47 project management processes within the
– 5 process groups and
– 10 knowledge areas
3/22/19 71

72. Table 3-1 PM Process Group Mapping
to Knowledge Areas
3/22/19 72