We now move on to PMP Certification Task 3.1, which focuses on the topic of compliance—often referred to in the corporate environment using the same term: compliance.
The essence of this task is to ensure that the project adheres to all internal company policies, external regulatory requirements, industry standards, and legal restrictions. Importantly, compliance is not something to address only at the beginning; it must be managed throughout the entire project life cycle.
Compliance is not a standalone process—it is an integral part of risk management, quality management, and even stakeholder engagement.
As shown on the slide, PMI highlights several key actions, or enablers, that project managers must be able to perform:
- First, confirm the project’s compliance requirements. These may relate to security, technical standards, personal data protection, and the laws of the country in which the project is being implemented.
- Next, classify the compliance categories. Not all requirements are equal—some are state-imposed, others are corporate or industry-specific. This classification impacts how you manage them.
- Then, identify potential threats to compliance. For example, what if a new law is enacted halfway through the project? This is a compliance risk that must be added to the risk register.
- After that, apply methods to support compliance. These may include quality policies, audits, team training, and monitoring changes in regulations.
- In parallel, analyze the consequences of noncompliance. These can range from fines and project suspension to license revocation or even criminal liability.
- Then, determine the appropriate actions to meet compliance needs. This may involve engaging the legal department, changing contractors, or revising the schedule or budget.
- Finally, measure the project’s level of compliance. Are we following the required policies? Are there deviations or incidents? All of this must be tracked, controlled, and reported.
In summary, this task is about proactive management. You are not just executing a project—you are constantly monitoring the environment, adapting to new constraints, and ensuring that neither the law nor your organization’s policies are violated. This is a fundamental aspect of protecting both project value and the organization’s reputation.
To learn the Plan and Manage Project Compliance Task, you need:
- In the PMBOK Guide 7th Edition, read chapters 2.4, 3.1 (part ‘Standard’) and 2.5, 3.1, 3.4 (part ‘PMBOK’).
- Read chapters 1.5, 2.1, 2.3, 2.5, 2.6, 3.3, 5.14, 7.7, 9 (Enterprise environmental factors, Quality metrics), and 3.DEFINITIONS (Regulations) in the Process Groups: A Practice Guide.
- Read chapter 8 in The Standard for Portfolio Management 4th Edition.
- Watch the video:
5. Test your knowledge to complete the study of the task.