01 - 2 - EthicsProf - Conduct 3.03 PDF

1
CODE OF ETHICS AND

PROFESSIONAL
CONDUCT
PMP® Certification Training
© 2017, PM Training. All rights reserved.

PMI, the PMI logo, PMP, the PMP logo, and PMBOK are registered marks of Project Management Institute.
2
OVERVIEW

3
Code of Ethics and Professional Conduct

• Vision and Applicability
• Responsibility
• Respect
• Fairness
• Honesty

4
Code of Ethics and Professional Conduct

• Not in the PMBOK Guide:
• Project Management Professional (PMP) Handbook
• https://www.pmi.org/about/ethics/code
• Scroll down, click download to your computer, then click save
• About 18 of the 200 exam questions may address ethics and

professional conduct.
• Two standards:
• Aspirational
• Mandatory

5
1.0 VISION AND

APPLICABILITY

6
1.1 Vision and Purpose

• As practitioners of project management, we:
• Are committed to doing what is right and honorable
• Set high standards for ourselves
• Aspire to meet the standards in all aspects of our lives
• The purpose of the code describes the expectations that

we have for our ourselves and our fellow practitioners
globally.
• It articulates the ideals to which we aspire and the

behaviors that are mandatory in our professional and in
our volunteer roles.

7
Ethical Application
• The ethical application of project management requires
that project managers:
• Obtain the authority necessary to manage the project
• Handle an unrealistic schedule problem upfront
• Do the right thing and stand up for the right process

8
1.2 Persons to Whom the Code Applies
• All PMI members.
• Non-members who meet one or more of the following

criteria:
• Hold a PMI certificate
• Apply to commence a PMI certification process
• Serve PMI in a volunteer capacity

9
Regarding PMP Certification

• The applicant will not let anyone cheat on the application
or the PMP exam.
• The applicant will not let anyone copy PMP exam

materials or perform other illegal behavior.
• The applicant will not disclose questions on the PMP

exam.

10
1.3 Structure of the Code

• Four values were identified as most important to the
project management community.
• The Code of Ethics and Professional Conduct is divided

into sections that contain standards of conduct that are
aligned with those four values.

11
1.4 Values that Support this Code

• Responsibility
• Respect
• Fairness
• Honesty

12
1.5 Aspirational and Mandatory Conduct
• Code of Conduct includes two types of standards:

• Aspirational standards
• Mandatory standards
• Aspirational standards not easily defined but we strive to

meet them.
• Mandatory standards offer firm requirements and may

limit or prohibit certain behavior.

13
2.0 RESPONSIBILITY

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2.1 Description
• Responsibility is our duty to take ownership of:
• The decisions we make or fail to make
• The actions we take or fail to take
• The consequences that result

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2.2 Responsibility: Aspirational Standards

• The project management professional will make decisions
based on the best interests of the company and the team,
as well as society and the environment.
• The PM will only take assignments for which they are
qualified.
• If the PM is given a project to manage that is beyond their
qualifications or experience, they will make sure the
sponsor knows of any gaps in qualifications before
accepting the assignment.
• The PM acknowledges their own errors, takes ownership
and make corrections promptly.
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2.3 Responsibility: Mandatory Standards

• Respect confidentiality requirements and protect
proprietary information, including obeying copyright laws.
• Uphold policies, rules, regulations and laws.
• If you witness or become aware of unethical or illegal

behavior, you will report it to management and to those
affected.
• Report violations of PMI’s Code of Ethics and
Professional Conduct only with factual proof of the
violation.
• Pursue disciplinary actions for retaliation.
17
3.0 RESPECT

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3.1 Description
• Respect is our duty to show a high regard for ourselves,
for others, and for the resources entrusted to us.

19
3.2 Respect: Aspirational Standards

• The project management professional will maintain an
attitude of mutual cooperation.
• The PM is informed about the customs and norms of
others, avoids disrespectful behavior, and respects
cultural differences.
• The PM respects others, and listens to their point of view.
• The PM is direct in dealing individuals concerning conflict.
• The PM conducts himself or herself professionally.
• The PM does not gossip or say things that could damage
another person’s reputation, and confronts those that
engage in this behavior.

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3.3 Respect: Mandatory Standards

• The project management professional engages in good
faith negotiations.
• The PM does not use power or position to influence

others for personal benefit.
• The PM does not act in an abusive manner toward others
• The PM respects the property rights of others.

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4.0 FAIRNESS

22
4.1 Description
• Fairness is our duty to make decisions and act impartially
and objectively.
• Our conduct must be free from competing self interest,

prejudice, and favoritism.

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4.2 Fairness: Aspirational Standards

• The project management professional demonstrates
transparency in decision making.
• The PM regularly reexamines his or her impartiality and

objectivity, and takes corrective action.
• The PM provides equal access to information, when

authorized.
• The PM makes opportunities equally available to qualified

candidates.
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4.3 Fairness: Mandatory Standards

• The project management professional proactively and fully
discloses real or potential conflicts of interest.
• if there is a real or potential conflict of interest the PM refrains

from engaging in the decision making process or otherwise
attempting to influence outcomes,
• The PM does not hire or fire, reward or punish, award or deny

contracts based on personal considerations, including but not
limited to favoritism, nepotism, bribery, or prejudice,
• The PM does not discriminate against others, based on but not

limited to, gender, race, age, religion, disability, nationality, or
sexual orientation.
• The PM applies organizational rules without favoritism or

prejudice.
25
5.0 HONESTY

26
5.1 Description
• Honesty is our duty to understand the truth and act in a
truthful manner, both in our communications and in our
conduct.

27
5.2 Honesty: Aspirational Standards

• The project management professional always seeks to
understand the truth.
• The PM is truthful in all communications and conduct.
• The PM provides accurate and timely information.
• The PM make commitments and promises in good faith.
• The PM creates an environment that encourages honesty.

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5.3 Honesty: Mandatory Standards

• The project management professional does not engage in
or condone behavior that is designed to deceive others.
• Including but not limited to, making misleading or false statements,
stating half-truths, providing information out of context or
withholding information that, if known, would render our statements
as misleading or incomplete.
• The PM does not act dishonestly for personal gain or

advantage.

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SAMPLE QUESTIONS

30
How to read Practice Questions

• Read last sentence first, then read the entire paragraph.
• Read the answers, starting with D and go through A.
• Choose 50/50 – eliminate two choices
• Then choose the answer

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• You recently joined a new company as a project manager. While

reviewing the procurement plans for a project you will be taking
over, you see that the company is considering using one of the
most expensive manufacturers to provide equipment required
for the project. At your previous employer, you used a different
supplier for the same equipment and paid significantly less.
Without telling your boss, you now call that supplier for a quote.
Have you violated the rule of keeping proprietary information
confidential?
A. Maybe. You need to talk to your boss first

B. No. There is no harm in sharing the information with your
current employer, because you are no longer working for
your old employer
C. Yes. The supply source is proprietary information and you
should not contact the supplier
D. You have not violated any rule
Answer: D
32
A vendor that was not selected for a contract awarded by

your company has asked why their bid was not selected.
What should you do?
A. Share only the winning bid with the vendor

B. Provide information to the vendor about the areas where
their bid did not meet the defined vendor selection criteria
C. Share all the bids with the vendor
D. Decline the request citing confidentiality
Answer: B

33
During a project meeting, the engineering lead tells you he

never makes formal change requests to implement changes
on the development environment servers. He simply asks
one of the IT system administrators to load new code when
it is ready; what do you do?
A. Rollback all the changes

B. Rebuild the development environment
C. Notify the project stakeholders
D. Create a change request for each change the
engineering lead implemented
Answer: C
34
The project you are managing has had many customer-

requested requirements changes. Communication and
control of the main supplier was a challenge as well; nearly
all of this supplier’s deliverables were late, resulting in cost
increases of 32% and delays of 2.5 months. No deliverables
from any other supplier were late. While preparing closeout
documentation, you discover that the unreliable supplier is a
company owned by the senior director's brother. What do
you do?
A. Freeze the requirements for the remainder of the project

B. Notify the appropriate management immediately of a
potential conflict of interest
C. Call the supplier and complain about their performance
D. Begin the process to fire the supplier
Answer: B

35
As a project manager based at the customer location for a

performing organization, you build rapport with a customer
manager. As the project progresses, the manager asks you to
make certain changes to the project scope and wants this to be
handled on an informal basis. You should:
A. Contact your manager in your organization and ask for this work to
be done without payment, as a goodwill gesture
B. Comply with the manager's request because it is important to
continue to maintain a good relationship with the manager
C. Refuse to take up any changes since the manager has asked you
to do it informally
D. Explain to the manager that you would need to formally document
these as part of project scope change and put it through the
change management process
Answer: D

36
• You are hired by a company to work as a project manager

in a foreign country. You discover that you must pay
kickbacks to the officials there to get licenses for your
project. What should you do?
A. Offer kickbacks but inform your management

B. Resign from project
C. Offer kickbacks but document them in cost
management plan
D. Refuse to pay kickbacks
Answer: D

37
Homework
1. Read the PMI Code of Ethics & Professional Conduct in
the Handbook PDF file, see table of contents (p37).
https://www.pmi.org/about/ethics/code
2. Take the Focus Area Test: Professional and Social

Responsibility. PMTraining.com/ Take A Test/ p4
3. Read Chapters1-3 from PMBOK guide 5th edition.

38
Discussion, Questions and Answers

39
EXTRA ETHICS
QUESTIONS

40
• Your project sponsor has just handed you a project

schedule that has been developed by your executive
management team and tells you that these are the dates
you must hit. However, the project scope and requirements
have not been finalized. What should you do?
A. Fast Track the project

B. Inform sponsor that you cannot commit to those dates
until appropriate estimating has been done
C. Refuse the project
D. Crash the Project
Answer: B

41
You are the project manager of a project executing work

under a contract signed with a buyer organization. Just after
the project has started, you notice that the buyer
organization had made a mistake in the financial terms, and
your organization stands to benefit considerably from this
oversight. What should your stance be?
A. Do not take any action, a contract is a binding and legal

document
B. Discuss with your management on how you could gain a
bonus due to the increased revenue your company stands to
gain
C. Informally check with your counterpart in the buyer
organization to see if they have noticed this error
D. Bring the error to the notice of the buyer organization and
have an amendment made to the contract since this was in
good faith
Answer: D
42
What should you do as a senior project manager if the PMP

certification claimed by a recently recruited project manager
does not appear in the PMI website?
A. Advise your new recruit to complete his certification

B. Report to the PMI
C. Report to the sponsor
D. Request more information from the new recruit
Answer: D

43
Your manufacturing project is contractually required to

complete on a specific date. No additional funding or work is
permitted beyond that date. You have just discovered a
quality problem that affects less than one percent of the
product produced by this project. Identifying the cause and
implementing corrective action will cause the project to
complete after the contract deadline. What do you do?
A. Compress the schedule

B. Fast track the project
C. Notify the stakeholders
D. Do nothing
Answer: C
44
You are a certified PMP and you have been contacted by PMI
as part of an investigation they are conducting into
allegations of improper conduct by your manager, who is
also a PMP. A complaint has been filed stating that your
manager has received bribes related to a large procurement
contract on another project. PMI has asked if you would be
able to provide information regarding this situation. What
should you do?
A. Confront your manager

B. Send PMI project documentation and emails related to the
allegations to assist with their investigation
C. Notify the appropriate management immediately
D. Do nothing, citing a conflict of interest
Answer: C
45
You have recently taken over a project from a PMP-certified

project manager who has been removed from the project
due to incompetence and lack of skills. When you happen to
meet him outside your building, he starts loudly criticizing
you for taking his project. He even goes so far as to suggest
that your religion played a part in your selection by the
management. What should you do first?
A. Report to Project Management Institute (PMI)

B. Report to the customer
C. Report to your management
D. Report to the Police
Answer: A
46
You are just about to present your project's status to your

company's executive team. Just as you are leaving your
desk for the meeting, one of your resources hands you an
updated report on the progress of a critical deliverable. As
you are walking to the conference room, you review the
report and notice that there is an error in it. What do you do?
A. Do not report on that part of the project

B. Disclose that you have just discovered that there is an error
in some of the information that you had intended to present,
and only present the information that you know to be true
C. Cancel the meeting
D. Present the information as-it-is and revise it in the meeting
minutes, which will be sent after 2 days
Answer: B
47
You are in the 10th month of a yearlong project and are about to
deliver the main product. You have already received 75% of the
total payment from the client, You just received a fax from the
client saying that they are wrapping up their operations in the
region due to a change in the government which decided to close
them due to fraud allegations. You are shocked and call your boss
to get confirmation. He also received the same news from other
sources, and he asks you to terminate the project and release the
team. What must you do?
A. Update lessons learned, release payments of your suppliers, pay

all the employees and relieve them from their duties
B. Release payments, check the termination clause in contract, and
relieve employees from their duties
C. Release payments of your suppliers, pay all the employees and
relieve them from their duties
D. Close all project documents, release payments of your suppliers,
pay all the employees and relieve them from their duties
Answer: B
48
• Your project team is having a dispute with a vendor about

whether a specific task is within the scope of the project.
The scope statement does not provide implementation-
level details that could resolve this dispute. There is no
WBS because the project sponsor insisted that the project
be started right away without pausing to create standard
project planning documentation, who is at fault?
A. The Project Manager

B. The Project Sponsor
C. The Project Stakeholders
D. The Project Vendor
Answer: A
49
• You are a project manager, contracted by an investment bank to run a large

IT project, which is expected to last 15 months. While developing the charter,
you discover several regulatory requirements have not been addressed in
the business case. Failure to meet these requirements could result in legal
action against the company. Implementing the technology to comply with
the regulations could exceed the budget and scope of the project, which
could lead to the cancellation of the project, what should you do?
A. Disclose the discovery to the project sponsor and stakeholders

immediately
B. Track this as a risk
C. Wait until project is 25% complete, when you have a better idea of
what resources and funding could be allocated to addressing these
requirements
D. Write up a Scope change request for the work
Answer: A


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1

CODE OF ETHICS AND

© 2017, PM Training. All rights reserved.

© 2017, PM Training. All rights reserved.

Code of Ethics and Professional Conduct

© 2017, PM Training. All rights reserved.

Code of Ethics and Professional Conduct

• Scroll down, click download to your computer, then click save

• About 18 of the 200 exam questions may address ethics and

© 2017, PM Training. All rights reserved.

1.0 VISION AND

© 2017, PM Training. All rights reserved.

1.1 Vision and Purpose

• The purpose of the code describes the expectations that

• It articulates the ideals to which we aspire and the

© 2017, PM Training. All rights reserved.

• Handle an unrealistic schedule problem upfront

• Do the right thing and stand up for the right process

© 2017, PM Training. All rights reserved.

1.2 Persons to Whom the Code Applies

• All PMI members.

• Non-members who meet one or more of the following

• Apply to commence a PMI certification process

• Serve PMI in a volunteer capacity

© 2017, PM Training. All rights reserved.

Regarding PMP Certification

• The applicant will not let anyone copy PMP exam

• The applicant will not disclose questions on the PMP

© 2017, PM Training. All rights reserved.

1.3 Structure of the Code

• The Code of Ethics and Professional Conduct is divided

© 2017, PM Training. All rights reserved.

1.4 Values that Support this Code

© 2017, PM Training. All rights reserved.

1.5 Aspirational and Mandatory Conduct

• Code of Conduct includes two types of standards:

• Aspirational standards not easily defined but we strive to

• Mandatory standards offer firm requirements and may

© 2017, PM Training. All rights reserved.

© 2017, PM Training. All rights reserved.

• The decisions we make or fail to make

• The actions we take or fail to take

• The consequences that result

© 2017, PM Training. All rights reserved.

2.2 Responsibility: Aspirational Standards

2.3 Responsibility: Mandatory Standards

• If you witness or become aware of unethical or illegal

© 2017, PM Training. All rights reserved.

© 2017, PM Training. All rights reserved.

3.2 Respect: Aspirational Standards

© 2017, PM Training. All rights reserved.

3.3 Respect: Mandatory Standards

• The PM does not use power or position to influence

• The PM does not act in an abusive manner toward others

• The PM respects the property rights of others.

© 2017, PM Training. All rights reserved.

© 2017, PM Training. All rights reserved.

• Our conduct must be free from competing self interest,

© 2017, PM Training. All rights reserved.

4.2 Fairness: Aspirational Standards

• The PM regularly reexamines his or her impartiality and

• The PM provides equal access to information, when

• The PM makes opportunities equally available to qualified