PMBOK Project Compliance and Governance 2 — Questions and Answers
Question 1: A project manager discovers that a vendor is not complying with contractual quality standards. What is the BEST first step?
- Terminate the contract immediately
- Document the non-compliance and issue a formal notice to the vendor (Correct answer)
- Ignore it if the deliverable still meets minimum requirements
- Escalate directly to the project sponsor without notifying the vendor
Correct answer: Document the non-compliance and issue a formal notice to the vendor
Documenting non-compliance and issuing a formal notice follows proper contract management and gives the vendor an opportunity to remedy the situation.
Question 2: Which governance document defines the project's decision-making authority levels for approving budget changes?
- Project charter
- Responsibility assignment matrix (RAM)
- Delegation of authority matrix (Correct answer)
- Communications management plan
Correct answer: Delegation of authority matrix
A delegation of authority matrix specifies who has authority to approve decisions at various financial thresholds within a project.
Question 3: A project is operating in a highly regulated industry. Who is PRIMARILY responsible for ensuring the project meets external regulatory requirements?
- The project team members
- The project manager (Correct answer)
- The project sponsor
- The regulatory body itself
Correct answer: The project manager
The project manager is primarily responsible for ensuring the project complies with all applicable regulations throughout execution.
Question 4: Which of the following BEST describes a compliance audit in a project context?
- A review of team member performance against role descriptions
- A structured examination to determine if project activities conform to policies and standards (Correct answer)
- A financial audit of project expenditures by an external accountant
- A stakeholder satisfaction survey conducted at project closure
Correct answer: A structured examination to determine if project activities conform to policies and standards
A compliance audit systematically checks whether project activities, processes, and outputs adhere to defined policies, standards, and regulations.
Question 5: A project steering committee requests a governance review mid-project. What artifact should the project manager PRIMARILY use to demonstrate compliance with approved scope?
- Risk register
- Project schedule baseline
- Scope baseline and change log (Correct answer)
- Stakeholder engagement plan
Correct answer: Scope baseline and change log
The scope baseline and change log together show what was originally approved and what changes were formally authorized, demonstrating governance compliance.
Question 6: Under PMBOK, what is the purpose of the Perform Integrated Change Control process in governance?
- To implement all requested changes as quickly as possible
- To review, approve, or reject change requests and update affected baselines (Correct answer)
- To identify risks that may require scope changes in the future
- To communicate approved changes to external stakeholders only
Correct answer: To review, approve, or reject change requests and update affected baselines
Perform Integrated Change Control ensures every change request is evaluated, decided upon, and that approved changes are reflected in updated baselines.
Question 7: A project manager is asked to ensure environmental compliance on a construction project. Which plan would MOST likely contain these requirements?
- Quality management plan
- Resource management plan
- Stakeholder engagement plan
- Project management plan — compliance section or regulatory log (Correct answer)
Correct answer: Project management plan — compliance section or regulatory log
Environmental and regulatory compliance requirements are captured within the project management plan, often in a dedicated compliance or regulatory section.
PMBOK Project Compliance and Governance 2
A project manager discovers that a vendor is not complying with contractual quality standards.
What is the BEST first step?