PM6 TECH 120 English Version

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Monitoring and Controlling Projects
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“Materials in this class are based on the A Guide to the Project Management Body of
Knowledge, (PMBOK® Guide) – Sixth Edition, Project Management Institute Inc.,
2017.”
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Introduction
Monitoring and Controlling Projects is a course that will provide an overview

of the monitoring and controlling process group. This course will describe
each of the monitoring and controlling processes that are required to verify
that the project is being executed correctly. This course will define the
inputs, tools and techniques and outputs for each process in the monitoring
and controlling process group.
Course Objectives
At the end of this course, students will be able to:
• Identify the purpose of the monitoring and controlling process group.

• List the processes in the monitoring and controlling process group.
• Recognize the inputs, tools and techniques and outputs for each
process in the monitoring and controlling process group.
Course Alignment
This course is aligned with A Guide to the Project Management Body of

Knowledge (PMBOK® Guide) – Sixth Edition
This course has been registered with the Project Management Institute (PMI)
and provides 10 Technical PDUs for the following PMI certifications: PMP®,
PgMP®
* PMBOK is a registered mark of the Project Management Institute, Inc.
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Project Phases
Projects typically occur in phases in order to focus on the project planning,

to control the project work and to monitor and control the project
deliverables. The phases of a project are often performed one after another
in a non-overlapping order, called a sequential project phase relationship.
The work performed during each phase is typically unique to that phase. The
number of phases in a project typically depends on the project’s complexity
and the industry in which the project is being performed.
According to the PMBOK® Guide, there are three types of phase to phase
relationships that can exist on a project.
• Sequential relationship. This is where one phase must finish before

next phase can begin.
• Overlapping relationship. This is where one phase starts before the
prior phase completes.
• Iterative relationship. Iterative relationships are characterized where
work for future phases are planned as the work for the current phase
is performed.
Project phases are completed when the deliverables for that phase are
completed. For projects that consist of sequential phases, the end of one
project phase typically marks the beginning of the next phase of the project.
The phase deliverable is an output that must be produced and approved in

order to officially complete that project phase. Project stakeholders will be
responsible for the formal acceptance of the deliverables. Most phases
conclude with a review at which time a decision will be made as to whether
the project should move to the next phase or the project should be
terminated. For example, if a phase of a project was to build a prototype and
it did not work as envisioned, a decision might be made to kill the project
instead of moving to the production phase of the project.
The project manager must determine the processes that are appropriate for
effectively managing the project. This is based on the complexity and scope
of the project. As the project progresses, the project management processes
may be revisited or revised to update the project management plan as more
information becomes known. The underlying concept of the project process
groups is that they create an iterative cycle. This cycle is known as the Plan
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– Do – Check – Act cycle, also known as the Shewhart Cycle, which was
popularized by Dr. Edward Deming. The results or outputs from each process
in the cycle will become an input to the next process in the cycle.
The PMBOK® Guide defines the process of going back through the Project
Management Process Groups as an iterative process. The process groups are
defined as overlapping activities that are performed throughout the project.
The output of one process will be the input of the next process. Each process
may be revisited and revised throughout the project’s life.
Project Life Cycle
The phases of the project are referred to as the project life cycle. The nature
of the project being performed will usually dictate the exact number of
phases that will exist for a project. The project life cycle is the term that is
used to describe the basic framework for the phases of a project regardless
of the size of the project or the work involved to complete the project. In
most cases, the phases of a project will be performed sequentially. However,
if the project is behind schedule, the project manager may choose to
perform the work of multiple phases in an overlapping fashion in order to
shorten the project schedule.
In most cases, the phases of a project match the following:
• A starting phase where the project or project phase is officially started.

• An organizing and preparing phase where the planning takes place.
• An executing phase where the work is performed.
• A monitoring and controlling phase where the work being performed is
checked for accuracy and for quality.
• A closing phase where the project or project phase is officially ended.
All of the following are common characteristics of projects:
• The chances of the project completing successfully are lowest at the

start of the project and the highest at the closing.
• Stakeholder influence is highest at the start and lowest at the closing
of the project
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• Risk and uncertainty are the highest at the start of the project and
lowest at the closing of the project.
• Project costs start out low, are the highest during the executing phase
and then rapidly decrease as the project draws to a close.
• Project staffing levels start out low, are the highest during the
executing phase and are then reduced as the project draws to a close.
Project phases are completed, and the project will move to the next phase of
the project life cycle. The end of a phase is called a handoff which signals
the end of one phase and the beginning of the next. There is no guarantee
that the ending of a phase will automatically begin the next phase of the
project. In fact, the end of a phase will be a natural pausing point in order to
evaluate and provide a review or an assessment of where the project is at
this point. As mentioned earlier, a project may end at this point if the work
is not going as planned. This is why the end of a phase is referred to as a
decision gate or kill point. If the decision is made to continue with the
project, this would be the official acknowledgment to begin the next phase of
the project.
Project Management Process Groups
There are five process groups define by the PMBOK® Guide. The five process
groups are:
• Initiating
• Planning
• Executing
• Monitoring and Controlling
• Closing
Project Management Institute, A Guide to the Project Management Body of Knowledge,

(PMBOK® Guide) – Sixth Edition, Project Management Institute Inc., 2017, Page 554.
A process is defined as a group of interrelated activities that are performed

in order to achieve a pre-defined deliverable. This deliverable can be a
product, a result, or a service. Each of the processes has a deliverable as the
output. There are inputs and various techniques that can be used to achieve
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the desired output of the process. The five process groups interact and
overlap with each other. The processes are also iterative which means they
are repeated throughout the project life. This means that as more
information is learned, the newly learned information will be used to
evaluate the planning that was initially done. This process will continue until
the project concludes.
For example, monitoring the execution of a project may identify a problem

which requires a change request to correct the problem. When reviewing the
change request, it might be discovered that the problem was initially made
in the original planning. This information is documented and can be used in
future projects that are in the planning phase.
Project Management Process Groups
Monitoring and Controlling is the fourth of the five process groups define by
the PMBOK® Guide.
• Initiating
• Planning
• Executing
• Monitoring and Controlling
• Closing

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Monitoring and Controlling Group Processes
The twelve processes in the monitoring and controlling process group are:
• Monitor and control project work

• Perform integrated change control
• Validate scope
• Control scope
• Control schedule
• Control costs
• Control quality
• Control resources
• Monitor communications
• Monitor risks
• Control procurements
• Monitor stakeholder engagement

Monitoring and Controlling Process Group Description
The monitoring and controlling process group is where project performance

measurements are taken and analyzed in order to determine whether the
project is staying on track with the project plan. The primary objective of
this process group is to identify problems as soon as possible and to apply
corrective action in order to ensure a successful outcome. For example, if it
is discovered that a variance exists then corrective action must be planned
to fix the variance. This might require revisiting the planning process in
order to adjust project schedules, activities, resources, and budgets. Once
the corrective action is approved, then the correction will be made in the
executing process group because that is where approved changes are
typically implemented.
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Monitor and Control Project Work
The first process in the monitoring and controlling process group is to

monitor and control project work.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

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Monitor and Control Project Work Description
Monitoring and controlling project work is a continuous process, which will

give the project manager and the project team current information on the
health of the project.
This process will provide the following information:
• Actual project performance data so it can be compared to the project

management plan,
• Ongoing assessment of project performance in order to determine if
corrective or preventative actions are required, and then making
recommendations so the action can happen,
• Providing the project performance data to project stakeholders,
• Providing forecasts regarding project schedule and budget based on
performance data collected,
• Tracking project risks by analyzing performance data and determining
if any response plans need to be implemented, and
• Recording and cataloging performance data as part of the project
documentation and also as an organizational process asset.
Monitor and Control Project Work Inputs
The inputs for the monitor and control project work process are:
• Project management plan

• Project documents
• Work performance information
• Agreements
• Enterprise environmental factors
• Organizational process assets

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The first input for the monitor and control project work process is project
management plan. All components of the project management plan may be
an input for this process.
The second input for the monitor and control project work process is project
documents. The project documents that may be reviewed include:
• Assumption log,
• Basis of estimates,
• Cost forecasts,
• Issue log,
• Lessons learned register,
• Milestone list,
• Quality reports,
• Risk register,
• Risk report,
• Schedule forecasts.
The third input for the monitor and control project work process is work
performance information. Work performance information is the process
documenting project activities and indicating which project milestones are
completed and where the project stands in relation to the identified project
milestones. Reporting will be done on all issues and problems encountered
during the project execution. Finally, performance reports will typically
include forecasts for project work.
The fourth input for the monitor and control project work process is
agreements. Procurement agreements typically include terms and
conditions. They may also include other items as part of the agreement.
The fifth input for the monitor and control project work process is enterprise
environmental factors. The enterprise environmental factors that may be
reviewed include:
• Project management information systems
• Infrastructure,
• Stakeholder expectations and stakeholder risk levels, and
• Governmental and industry standards.
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The sixth input for the monitor and control project work process is
organizational process assets. The organizational process assets, which may
influence the monitor and control project work include:
Organizational standard policies, processes, and procedures;
• Financial control procedures;
• Monitoring and reporting methods;
• Issue management procedures;
• Defect management procedures; and
• Organizational knowledge base.
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Monitor and Control Project Work Tools and Techniques
The tools and techniques for the monitor and control project work process
are:
• Expert judgment
• Data analysis
• Decision making
• Meetings

The first tool and technique for the monitor and control project work process
is expert judgment. Subject matter experts must have expertise in the
following areas:
• Earned value analysis,
• Interpretation and contextualization of data,
• Techniques to estimate the duration and costs,
• Trend analysis,
• Technical knowledge required by the project or industry,
• Risk management, and
• Contract management.
The second tool and technique for the monitor and control project work
process is data analysis. Data analysis techniques that can be used include:
• Alternatives analysis,
• Cost-benefit analysis,
• Root cause analysis,
• Trend analysis, and
• Variance analysis.
The third tool and technique for the monitor and control project work
process is decision making. A decision-making technique that may be used is
voting. Voting allows all project team members to participate in the decision
process.
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The fourth tool and technique for the monitor and control project work
process is meetings. Meetings are vital during the monitor and control phase
of the project. Meetings are the primary method for sharing information with
project team members, project stakeholders and others that are involved in
the project.
Monitor and Control Project Work Outputs
The outputs of the monitor and control project work process are:
• Work performance reports

• Change requests
• Project management plan updates
• Project documents updates

The first output for the monitor and control project work process is work
performance reports. Work performance reports are reports that document
the actual project work completed. These include project status reports,
information notes, memos, recommendations, and updates.
The second output for the monitor and control project work process is
change requests. The actions of monitoring and controlling project work may
identify problems that require corrective action. Corrective actions,
preventive actions and or defect repairs, may require that a new or
additional change requests be issued. All change requests will be submitted
to a change request committee for approval, and if approved, it will become
an input for the project execution.
The third output for the monitor and control project work process is project
management plan updates. All components of the project management plan
may require the project management to be updated.
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The fourth output for the monitor and control project work process is project
document updates. The project documents that may require updating
include:
• Cost forecasts,
• Issue log,
• Risk register, and
• Schedule forecasts.
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Perform Integrated Change Control
The second process in the monitoring and controlling process group is to

perform integrated change control.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Perform Integrated Change Control Description
Perform integrated change control is the process of gathering and reviewing

any change requests that have been received by either the project team or
project stakeholders and approving changes. Change requests must be
carefully analyzed and considered. Only changes that are within the defined
scope of the project should be approved. The project scope statement is a
document that acts as an agreement between the project, customer and the
project management team, and it defines precisely the work of the project
or the output of the project. Once accepted, the project scope statement will
guide the work of the project team during the execution process, and all
change requests will be evaluated against the scope statement. If the
change request is outside the bounds of the scope statement, then the
request should be denied. If a change request has been determined to be
within the scope of the project, then it can be approved.
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When analyzing change requests, it is important not only to consider if the

change is within the project scope, but it is also important to consider the
cost and time impact of all requested changes. Once changes have been
approved, then the approved change is documented and the changes must
be made to project planning documents, which includes the project
management plan. Be aware that approved changes many times result in
changes to cost estimates, project schedules, and the start and or
completion dates for project activities. It may also impact project resources.
Finally, it can even impact project risk and the planned responses for project
risks. As a result, approved changes must be incorporated into all project
baselines.
The perform integrated change control process is done throughout the

project. Many times a change management system is implemented to
manage project changes and control all change requests. Many change
requests are issued verbally by project stakeholders; however, they should
be documented, so entering them into the change management system will
put them in writing. A change management system provides a centralized
system to manage project changes, and the complexity of the system will be
dependent on the size and complexity of the project. This system provides a
formal process for submitting changes and tracking the status of change
requests.
Every change request entered into the change management system should
be reviewed and then, each change request is either approved or denied by
the defined authority for your project. The defined authority can either be
the project manager, the project management team, the project
management office, or an external organization, such as a change control
board. A change control board might include project stakeholders, project
team members, functional managers, and others who might not be involved
with the project but have project experience or knowledge of the project.
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Perform Integrated Change Control Inputs
The inputs for the perform integrated change control process are:

• Change requests

The first input for the perform integrated change control process is project
management plan. The project management plan defines how the project is
to be executed, how the project is to be monitored, and how the project is to
be controlled. The components of the project management plan that may be
reviewed include:
• Change management plan,
• Configuration management plan,
• Scope baseline,
• Schedule baseline,
• Cost baseline.
The second input for the perform integrated change control process is
project documents. The project documents that may be reviewed include:
• Requirements traceability matrix, and
• Risk report.
The third input for the perform integrated change control process is work
performance reports. This is the information that is collected about the
project work being performed. This information is related to the costs,
schedule, and deliverable status of project work.
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The fourth input for the perform integrated change control process is change
requests. Change requests are produced as a result of performing the
execution process and the monitoring and control processes. The actions of
monitoring and controlling project work may identify a problem and/or
corrective actions and/or defect repair that are required. As a result, change
requests must be issued. The change request will be submitted to the
change request committee for approval, and if approved will become an
input for project execution.
The fifth input for the perform integrated change control process is
enterprise environmental factors. The enterprise environmental factors for
the perform integrated change control process include:
• Legal restrictions,
• Government or industry standards,
• Legal and regulatory requirements and/or constraints,
• Organizational governance framework, and
• Contracting and purchasing constraints.
The sixth input for the perform integrated change control process is
organizational process assets. The organizational process assets for the
perform integrated change control process include:
• Change control procedures,
• Procedures for approving and issuing change authorizations, and
• Configuration management knowledge base.
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Perform Integrated Change Control Tools and Techniques
The tools and techniques for the perform integrated change control process
are:
• Expert judgment
• Change control tools
• Data analysis
• Decision making
• Meetings

The first tool and technique for the perform integrated change control
process is expert judgment. Subject matter experts must have expertise in
the following areas:
• Technical knowledge required by the project and industry,
• Legislation and regulations,
• Legal and procurement,
• Configuration management, and
• Risk management.
The second tool and technique for the perform integrated change control
process is change control tools. Change control tools would include any tool
that facilitates the task of performing change management. Change control
tools can either be manual or automated tools. No matter what type of tool
is used, it should facilitate communication of change management
information to project team members and project stakeholders.
Tools should support the following configuration management activities:

• Identify configuration item,
• Record and report configuration item status, and
• Perform configuration item verification and audit.
Tools should support the following change management activities:

• Identify changes,
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• Document changes,
• Decide on changes, and
• Track changes.
The third tool and technique for the perform integrated change control
process is data analysis. The data analysis techniques that may be used
include:
• Alternative analysis, and
• Cost-benefit analysis.
The fourth tool and technique for the perform integrated change control
process is decision making. The decision making techniques that may be
used include:
• Voting,
• Autocratic decision making, and
• Multicriteria decision analysis.
Examples of voting techniques include:
• Unanimity. A decision that is reached whereby everyone agrees on a

single course of action.
• Majority. A decision that is reached with support obtained from more
than 50 % of the members of the group.
• Plurality. A decision that is reached whereby the largest block in a
group decides, even if a majority is not achieved.
The fifth tool and technique for the perform integrated change control
process is meetings. The meetings, in this case, are called change control
meetings. This is where the change control group will review and approve or
possibly reject change requests that have been submitted.
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Perform Integrated Change Control Outputs
The outputs for the perform integrated change control process are:
• Approved change requests


The first output for the perform integrated change control process is
approved change requests. Approved change requests are the change
requests that have been approved by the change control group. Approved
change requests will be implemented during the Direct and Manage Project
Work process. Finally, approved change requests will be updated in the
change log.
The second output for the perform integrated change control process is
project management plan updates. Project management plan updates
include changes to project baselines as well as any subsidiary plans.
The third output for the perform integrated change control process is project
document updates. Any project document may require updating from
implementing this process.
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Validate Scope
The third process in the monitoring and controlling process group is validate
scope.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Validate Scope Description
The validate scope process is the formal acceptance of completed project

outputs and deliverables, whether they be a product or service. Remember,
the project scope statement is a document that acts as an agreement
between the project customer and the project team that defines precisely
the work of the project or the output of the project. Therefore, the validate
scope process is primarily concerned with evaluating the project deliverables
and determining if the work is complete and satisfies the project objectives.
Inspection is used to evaluate the project deliverables. This process involves
reviewing the project deliverables with the project stakeholders in order to
verify that they are satisfactory and satisfy the project requirements. This
process involves formal acceptance by project customer for the project
deliverables. This usually occurs by obtaining a formal sign off from the
customer.
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Validate Scope Inputs
The inputs for the validate scope process are:

• Verified deliverables
• Work performance data

The first input for the validate scope process is the project management
plan. The project management plan defines how the project is to be
executed, how the project is to be monitored, and how the project is to be
controlled. When the project is executed, the work must be controlled and
done according to the project management plan. The project management
plan contains the scope baseline, which combines the scope and WBS
information together to include the project scope statement, the WBS, and
the WBS dictionary.
The components of the project management plan that may be reviewed

include:
• Scope management baseline,
• Requirements management baseline, and
• Scope baseline.
The second input for the validate scope process is project documents. The
project documents that may be reviewed include:
• Requirements documentation, and
• Requirements traceability matrix.
The third input for the validate scope process is verified deliverables. Verified
deliverables is the process of checking the deliverables in order to verify that
they have in fact been completed. This also includes checking completed
deliverables for correctness. Validating deliverables is done through the
perform quality control process.
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The fourth input for the validate scope process is work performance data.
Work performance data is the information about the project work. This can
include information such as quality of the work, the percentage in
compliance, and the percentage out of compliance with project
specifications.
Validate Scope Tools and Techniques
The tools and techniques for the validate scope process are:
• Inspection
• Decision making

The first tool and technique for the validate scope process is inspection.
Inspection is the process of checking, examining, measuring and verifying
that deliverables meet the defined acceptance criteria for the project.
Inspections are performed using audits, product reviews, and walkthroughs.
The second tool and technique for the validate scope process is decision
making. Decision making is a technique that is used when the project scope
must be confirmed or validate by multiple individuals such as project team
members and project stakeholders.
Validate Scope Outputs
The outputs of the validate scope process are:
• Accepted deliverables
• Change requests

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The first output of the validate scope process is accepted deliverables, which
are those deliverables that meet the defined acceptance criteria for the
project. Project managers will usually have customers or the customer’s
representative sign a formal document accepting deliverables. This
document is retained in the project documentation and used to close the
project or phase process.
The second output of the validate scope process is work performance

information. This would include information about project progress, such as
deliverables that have started, the progress for each, and the deliverables
that have been completed. Finally, the deliverables have been accepted by
the customer.
The third output of the validate scope process is change requests, which
would include all completed deliverables that have not been formally
accepted. If the deliverable has a defect, then a change request will need to
be created and submitted in order to correct the defect.
The fourth output of the validate scope process is project document updates.
The project documents that may require updating include:
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Control Scope
The fourth process in the monitoring and controlling process group is control
scope.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Control Scope Description
Control scope is one of the most important jobs of the project manager. The
project scope statement is a document that acts as an agreement between
the project customer and the project management team that defines
precisely the work of the project or the output of the project. So, a scope
that changes will adversely impact the project budget, project schedule, and
project quality.
Control scope is a process that monitors the project scope and actively
manages any changes to the scope baseline. The control scope process
requires that all requested changes and any required corrective actions must
pass through the perform integrate change control process. Unapproved and
undocumented changes to the project scope is called scope creep. This
means that the project scope keeps expanding and keeps including more
work. Remember, the project scope defines precisely the work of the project
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or the output of the project, so when more changes are approved, the scope
is expanding. When unapproved changes are allowed, now the scope is
creeping.
Another aspect of controlling the project scope is to control the work

breakdown structure. Like the project scope statement, the WBS is an
agreement between the project stakeholders and the project team members
regarding the work of the project. The WBS should detail the full scope of
work needed to complete the project. Any modification to the agreed upon
WBS is a change to the project scope. Therefore, adding or deleting any
activities to the project, or modifying any existing activities in the WBS
would constitute a change to the project scope.
In addition, changes to the product scope would also require changes to the
project scope, as well. Controlling scope also includes managing the actual
changes to the project scope when they occur. Finally, this process makes
sure that scope changes are integrated with the other control processes.
Control Scope Inputs
The inputs for the Control Scope process are:


The first input for the control scope process is the project management plan.
include:
• Scope management plan,
• Requirements management plan,
• Change management plan,
• Configuration management plan,
• Scope baseline, and
• Performance measurement baseline.
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The second input for the control scope process is project documents. The
Requirements documentation was an output for the collect requirements

process. The requirements documentation provides a description of how
the project requirements fulfill the business need for the project. This
document should also include both functional and nonfunctional
requirements for the product or service of the project, and all quality
requirements and acceptance criteria. It may also include any support
and training requirements and all requirement assumptions and identified
constraints.
The requirements traceability matrix is a table that is created that lists

each of the project requirements and traces them from their origin
throughout the life of the project. This document is helpful in order to
keep track of all project requirements. It also provides a means to
manage project scope and manage any changes.
The third input for the control scope process is work performance data. This
information includes updates on the actual work performance, such as which
deliverables are completed and in progress, and when the remaining
deliverable are planned to start.
The fourth input for the control scope process is organizational process
assets. The organizational process assets that may influence the control
scope process include:
• Existing formal and informal scope, control related policies,
procedures, guidelines; and
• Monitoring and reporting methods and templates to be used.
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Control Scope Tools and Techniques
The tools and techniques for the control scope process are:
• Data analysis

There is only one tool and technique defined for the control scope process
called data analysis. This is the process of checking, examining, measuring
and verifying any variation from the scope baseline. The degree of variance
may indicate if any preventative or corrective actions are required by the
project team.
The data analysis techniques that may be used include:

• Variance analysis, and
• Trend analysis.
Control Scope Outputs
The outputs for the control scope process are:

• Change requests

The first output for the control scope process is work performance
information. Work performance information documents how the work of
completing the project scope being performed compared to the scope
baseline. This would typically include any variances from the scope baseline
and the causes of the documented variances.
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The second output for the control scope process is change requests. Change
requests can include preventative or corrective actions, defect repairs or
enhancement requests.
The third output for the control scope process is project management plan
updates. The components of the project management plan that may require
updating include:
• Scope management plan,
• Scope baseline,
• Cost baseline, and
The fourth output for the control scope process is project document updates.
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Control Schedule
The fifth process in the monitoring and controlling process group is control
schedule.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Control Schedule Description
Every project manager knows that it is important for projects to finish on

time and on budget. Therefore, controlling the project schedule is an
important job of the project manager. Remember, developing the project
schedule is one of the most important processes when planning the project.
This is where all project activities will have start and finish dates assigned to
them. In addition, activity sequences will be finalized and published. Once
the project schedule is approved, it serves as the schedule baseline for the
project, so that project progress can be compared against it to determine
the status of the project. We also mentioned that creating the project
schedule is not done just once; this is an iterative project planning process
that is done continually throughout the duration of the project.
Controlling the project schedule is the process of monitoring the project

during the various project phases in order to:
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• Identify the current status of the project compared to the planned

project schedule or the schedule baseline,
• Identify if the project schedule has changed and to understand the
factors that have caused the schedule change, and
• Manage the changes to the project schedule as they happen
Performance reports are used to track schedule activities, such as start and
completion dates and the remaining time to complete any tasks that are in
progress. A schedule control system is often used for this process to manage
schedule changes. It implements a formal system for making schedule
changes and implements a formal system for obtaining authorizations to
make these required changes to the project schedule.
Control Schedule Inputs
The inputs for the Control Schedule process are:

• Project schedule
• Project calendars
• Schedule data

The first input for the control schedule process is the project management
plan. The components of the project management plan that may be
reviewed include:
• Schedule management plan,
• Scope baseline, and
The second input for the control schedule process is project documents. The
• Project calendars,
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• Project schedule,
• Resource calendars, and
• Schedule data.
The third input for the control schedule process is work performance data.
Work performance data includes updates on the actual work performance,
such as deliverables that are completed and in progress, and when the
remaining deliverable are planned to start.
The fourth input for the control schedule process is organizational process
assets. The organizational process assets that may influence the control
schedule process includes:
• Existing control related policies, procedures and guidelines,
• Schedule control tools, and
• Monitoring and reporting methods to be used.
Control Schedule Tools and Techniques
The tools and techniques for the Control Schedule process are:
• Data analysis
• Critical path method
• Project management information systems
• Resource optimization
• Leads and lags
• Schedule compression

The first tool and technique for the control schedule process is data analysis.
The data analysis techniques that can be used for this process include:
• Iteration burndown chart,
• Performance reviews,
• Trend analysis,
• Variance analysis, and
• What-if scenario analysis.
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The second tool and technique for the control schedule process is critical
path method. The critical path method is a technique that is used to
compare the project schedule in relation to the critical path of the project.
Variances on the critical path will have a direct impact on the project
completion date. Variances from the planned critical path to the actual
critical path is an indication of schedule risk.
The third tool and technique for the control schedule process is project
management information system. Project management information software
is a tool that can track dates and provide a warning when dates change from
the schedule baseline.
The fourth tool and technique for the control schedule process is resource
optimization. Resource optimization is a schedule analysis technique that is
used for a schedule created using the critical path method. This technique
focuses on resource availability and their impact on the schedule. Resource
optimization makes necessary adjustments to the schedule to account for
over allocated resources, limited availability of critical resources, or when
the same resource may have been assigned to different tasks at the same
time. This technique can also be used be keep resources usage constant so
the budget does not get eaten up in a short period of time before another
capital infusion can be made.
The fifth tool and technique for the control schedule process is leads and
lags. Applying leads and lags must be considered when creating the project
schedule. A lag is when time elapses between two activities such that it
requires waiting before starting the next activity. A lead is used to speed up
time. A lead could be done during another activity; this will speed up the
schedule. When creating the project schedule, understanding leads and lags
for all project activities are critical.
The sixth tool and technique for the control schedule process is schedule
compression. This is a schedule modification technique that, if done
correctly, can shorten the project schedule without changing the project
scope.
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Control Schedule Outputs
The outputs for the Control Schedule process are:

• Schedule forecasts
• Change requests

The first output for the control schedule process is work performance
information. This is the process of measuring the work that has been
performed to date. The SV and SPI values will provide an indication of where
the project schedule is in relation to the project schedule baseline. This
should be communicated to the project stakeholders.
The second output for the control schedule process is schedule forecasts.
Schedule forecasts are estimates for future schedule performance based on
past performance on the project to date. Schedule forecasts are made based
on work performance information during the execution phase of the project.
The schedule forecast will provide expected performance for the remainder
of the project.
The third output for the control schedule process is change requests. Change
requests may result in changes to the schedule baseline. Change requests
are usually created after schedule variance analysis, review of project
performance reports and work performance information. Change requests
may also be issued if there is a need to make modifications to any of the
following project baselines: scope baseline, schedule baseline or any other
elements of the project management plan.
The fourth output for the control schedule process is project management
plan updates. The components of the project management plan that may
need to be updated as a result of the control schedule process include:
• Schedule management plan,
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The fifth output for the control schedule process is project document
updates. The project documents that may need to be updated include:
• Assumption log,
• Resource calendars,
• Schedule data.
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Control Costs
The sixth process in the monitoring and controlling process group is control
costs.
• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Control Costs Description
The control costs process monitors the project costs during the execution
phase of the project to evaluate if the project is staying on the planned
budget.
This would include:

• Tracking actual work performed and matching the funds spent for the
work that has occurred,
• Verifying that project costs do not exceed the amount authorized for
the completed work by period and overall for the project,
• Tracking the factors that may cause budget increases,
• Tracking project changes, and
• Verifying that all approved changes are completed
• Preventing unapproved changes from being included in project costs or
increasing resource costs
• Communicating approved budget changes with project stakeholders
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• Proactively managing the project budget to avoid cost overruns, and if

costs overruns are experienced, taking actions to reduce project costs.
Control Costs Inputs
The inputs for the control costs process are:

• Project funding requirements

The first input for the control costs process is the project management plan.
include:
• Cost management plan,
• Cost baseline,
• Performance measurement baseline,
The second input for the control costs process is project documents. The
project documents that may be reviewed include the lessons learned
register.
The third input for the control costs process is project funding requirements.
This includes projected costs and anticipated costs.
The fourth input for the control costs process is work performance data.
Work performance data includes updates on the actual work performance
such as which deliverables are completed and in progress, and when the
remaining deliverable are planned to start. The work performance data that
may be reviewed include project costs that have been approved, incurred,
invoiced and paid.
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The fifth input for the control costs process is organizational process assets.
The organization process assets that can influence the control costs process
include:
• Existing cost control related policies, procedures, and guidelines;
• Cost control tools; and
• Monitoring and reporting methods to be used.
Control Costs Tools and Techniques
The tools and techniques of the Control Costs process are:

• Expert judgment
• Data analysis
• To-compete performance index
• Project management information system

The first tool and technique for the control costs process is expert judgment.
Types of expert judgment that may be used include:
• Variance analysis,
• Forecasting, and
• Financial analysis.
The second tool and technique for the control costs process is data analysis.
Data analysis techniques that may be used include:
• Earned value analysis.
• Variance analysis,
• Trend analysis, and
• Reserve analysis.
Earned value analysis is a management technique that relates resource

planning to schedules and technical performance requirements. Earned value
management (EVM) is a systematic process that uses earned value as the
primary tool for integrating cost, schedule, technical performance
management, and risk management into quantifiable results.
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Earned value analysis monitors the following key indicators for each work
package:
• Planned value, abbreviated as PV, which is the planned or authorized

budget for each activity or work package.
• Earned value, abbreviated as EV, which is the value of the work that is
completed in relation to the authorized budget for that work. So think
of the EV as a percentage completion statistic; it is a percentage
measuring actual versus planned.
• Actual cost, abbreviated as AC, which is the actual costs that have
been spent on the project for each work package. This is the cost to
accomplish the EV completion percentage.
Variance Analysis
Variance analysis is the process of understanding variances from what is

expected. Variance is defined as:
“A quantifiable deviation, departure, or divergence away from a known

baseline or expected value. Variance Analysis. A technique for determining
the cause and degree of difference between the baseline and actual
performance”.
This definition was taken from the Glossary of Project Management Institute, A Guide to the Project
Management Body of Knowledge, (PMBOK® Guide) – Sixth Edition, Project Management Institute Inc., 2017.
Variance analysis is used in earn value management. The following will also
be monitored in order to identify variance from the project baselines:
• Schedule variance, abbreviated as SV, which is a measure of the

amount of the schedule that has been completed. Schedule variance is
calculated by taking the EV and subtracting the PB. Schedule variance
is a calculation that is primarily used to indicate when a project is
falling behind the planned or baseline schedule.
• Cost variance, abbreviated as CV, which is a measure of how cost
performance is occurring on the project. Cost variance is calculated by
taking the EV and subtracting the actual costs.
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• Schedule Performance Index, abbreviated as SPI, which is a measure

of schedule efficiency. The SPI is expressed as a ratio of the earned
value (EV) to the planned value (PV).
• Cost Performance Index, abbreviated as CPI, which is a measure of
cost efficiency. The CPI is expressed as a ratio of the earned value
(EV) to the actual cost (AC).
Trend Analysis
Trend Analysis is defined as:
“An analytical technique that uses mathematical models to forecast future

outcomes based on historical results. It is a method of determining the
variance from a baseline of a budget, cost, schedule, or scope parameter by
using prior progress reporting periods' data and projecting how much that
parameter's variance from baseline might be at some future point in the
project if no changes are made in executing the project.”
Therefore, trend analysis examines project performance over time to

determine if performance is improving or deteriorating. Data from trend
analysis can be displayed in either text or graphical formats. There are times
when data presented in a graphical format can quickly identify trends on the
project. This data may also be useful for forecasting and identifying if either
BAC or EAC forecasts are on track.
Forecasting is a technique of estimating or predicting the project’s future

performance based on information and knowledge that was gathered and
available at the time of the forecast. The information is based on the
project’s past performance and expected future performance, and includes
information that could impact the project in the future, such as estimate at
completion and estimate to complete.
Reserve Analysis
During the cost control process, reserve analysis is a technique that is used
to monitor the status of contingency and management reserves for the
project.
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Contingency reserves are defined as:
“Budget within the cost baseline or performance measurement baseline that

is allocated for identified risks that are accepted and for which contingent or
mitigating responses are developed.”
Management reserves are defined as:
“An amount of the project budget or project schedule held outside of the
performance measurement baseline (PMB) for management control
purposes, that is reserved for unforeseen work that is within scope of the
project.”
The third tool and technique of the control costs process is to-complete
performance index. To-complete performance index is a calculation of
project performance that must be achieved in order to achieve a specific
management goal, such as a project milestone or completion of the project
on time, which is the planned value, known as the BAC. This calculation
analyzes the work remaining and the funds remaining to determine if the
budget at completion (BAC) can be achieved based on the current rate of
progress and funds being spent for the project work so far.
The fourth tool and technique of the control costs process is project
management information system. Project management information software
is a software application (which can either be a desktop or web-based
application) that is created to track and monitor the three EVM dimensions
of: PV, EV, and AC. In addition, the PMIS can also display EVM data
graphically and display EVM trends. Finally, the PMIS is typically capable of
quickly and easily forecasting a range of possible final project results.
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Control Costs Outputs
The outputs of the Control Costs process are:
• Work Performance Information

• Cost Forecasts
• Change Requests
• Project Management Plan Updates
• Project Documents Updates

Work Performance Information
The first output is work performance information. These are the

measurements of: cost variance (CV), schedule variance (SV), cost
performance index (CPI), schedule performance index (SPI), to complete
performance index (TCPI) and variance at completion (VAC). The variance at
completion is the difference between the budget at completion and the
estimate at completion. Each of these performance indicators should be
calculated for each work component. This information should be documented
and communicated to project team members and project stakeholders.
The second output is cost forecasts, which is the estimate at completion

(EAC) for each work breakdown structure component. The EAC is the actual
costs incurred on the project plus the forecasted amount to complete the
remaining work. In order to arrive at an EAC value, it can either be
calculated, or a bottom-up EAC value can be used. In either case, this value
should be documented and communicated to project stakeholders.
The third output is change requests. Controlling project costs may result in
changes to project activities or changes to the project budget. Therefore,
change requests may occur as a result of either preventative actions or
corrective actions. All change requests must be documented, and their
associated costs must also be documented as well. This would include any
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change requests and their associated costs. Change requests themselves are
processed through the Perform Integrated Change Control Process.
The fourth output is project management plan updates. The components of

the project management plan that may require updating include:
• Cost management plan,
The fifth output is project document updates. The project documents that
may require updating include:
• Assumption log,
• Cost estimates,
• Lessons learned register, and
• Risk register.
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Control Quality
The seventh process in the monitoring and controlling process group is

control quality.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Control Quality Description
The control quality process is concerned with verifying that the project
deliverables are correct and satisfy the project quality requirements defined
in the project management plan. This is a minor point, but an important
point; quality control differs from verifying project scope because quality
control addresses the compliance of the deliverables, whereas verifying
project scope addresses that actual acceptance of the project deliverables.
The control quality process tracks and documents the results of executing
quality activities. Quality control is usually performed by a quality inspector
or a quality control group. The control quality process is also concerned with
identifying the causes of poor quality, whether they are related to poor
processes, poorly defined standards or materials, and then recommends
actions to eliminate these causes.
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Control Quality Inputs
The inputs for the control quality process are:

• Deliverables

The first input for the control quality process is the project management
reviewed include the quality management plan.
The second input for the control quality process is project documents. The
• Quality metrics, and
• Test and evaluation documents.
The third input for the control quality process is approved change requests.
Change requests are the change requests that have been approved by the
group responsible for reviewing change requests and determining which
change requests are required.
The fourth input for the control quality process is deliverables. Deliverables
are the output or the product of the project work. Work is performed to
produce specific deliverables, which are specified by the project
management plan. These specific deliverables are used as inputs for the
control quality process.
The fifth input for the control quality process is work performance data.
Work performance data includes updates on the actual work performance,
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such as which deliverables are completed and in progress, and when the
remaining deliverable are planned to start.
Work performance data tracking can include:

• Planned vs. actual performance,
• Planned vs. actual schedule performance, and
• Planned vs. actual cost performance
The sixth input for the control quality process is enterprise environmental
factors. The enterprise environmental factors that can influence the control
quality process includes:
• Project management information system and quality management
software to track errors and variations;
• Governmental agency regulations; and
• Rules, standards, and guidelines.
The seventh input for the control quality process is organizational process
assets. The organizational process assets which can affect the control quality
process include:
• Quality standards and policies used by the organization,
• Quality templates, and
• Issue and defect reporting procedures used by the organization, and
communication policies that can affect project quality control.
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Control Quality Tools and Techniques
The tools and techniques for the control quality process are:
• Data gathering
• Data analysis
• Inspection
• Testing/product evaluations
• Data representation
• Meetings

The first tool and technique for the control quality process is data gathering.
The data gathering techniques that may be used include:
• Checklists,
• Check sheets,
• Statistical sampling, and
• Questionnaires and surveys.
Statistical sampling is the process of inspecting a small sample of the

work being performed to determine if it conforms to the defined quality
standards for the project. If problems are found, a larger sample can be
inspected.
The second tool and technique for the control quality process is data
analysis. The data analysis techniques that may be used include:
• Performance reviews, and
• Root cause analysis.
The third tool and technique for the control quality process is inspection.
Inspection is one of the most important tools when performing quality
control. This is where the actual project work is examined to determine if it
conforms to the planned quality standards. This technique typically involves
taking measurements and comparing the results to quality specifications.
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The fourth tool and technique for the control quality process is
testing/product evaluations. This technique is an organized investigation
about the quality of a product or service. Testing should be done throughout
the project as well as at the end of the project on the print deliverables.
The fifth tool and technique for the control quality process is data
representation. The data representation techniques that may be used
include:
• Cause-and-effect diagrams,
• Control charts,
• Histograms, and
• Scatter diagrams
Cause and effect diagrams are a technique that illustrates how various
factors are linked or are the cause of project problems. Cause and effect
diagrams are useful to uncover the root cause of project problems. Cause
and effect diagrams are also called Ishikawa diagrams or fishbone
diagrams.
Control charts are charts or other documents that are developed in order
to verify that project control processes are producing work that conforms
to quality standards or identifies that project quality processes are not
producing work that conforms to the quality standards. Control charts
illustrate how a process is performing over time on a project. Since the
output is an actual chart, this tool can show when processes vary and
cause a condition where the process is not within specifications.
A histogram is a vertical bar chart that is used to illustrate when a

particular action occurred on a project. Think of each vertical bar in the
chart as representing a problem or situation that is being tracked. The
taller the bar for the problem or situation, the more occurrences of a
problem have been tracked.
A scatter diagram are charts that track two variables to identify

relationships between the two variables.
The sixth tool and technique for the control quality process is meetings. The
following types of meetings may be used to control quality.
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• Approved change requests review

• Retrospectives/lesson learned. These may include:
o Successful project elements
o Would could have been approve,
o What could be included in the future,
o What could be added to the organizational process assets from
this project.
Control Quality Outputs
The outputs for the control quality process are:
• Quality control measurements

• Verified deliverables
• Change requests

The first output for the control quality process is quality control
measurements. This would include documenting all control quality activities.
The output of this process should conform to the output called for in the plan
quality management process.
The second output for the control quality process is verified deliverables.
This process is used to verify that the deliverables of the project conform to
the project scope or what was required to be produced by the project
defined in the project scope.
The third output for the control quality process is work performance
information. Work performance information is the data that is collected
during the execution phase of the project and then it is analyzed. The
project manager should be looking for trends, causes of rejections, or the
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reasons behind work that needed to be redone in order to meet the project
quality standards. The analysis should identify any adjustments that are
required for execution processes.
The fourth output for the control quality process is change requests. This
involves analyzing approved change requests that required changes to the
project management plan. The process of making improvements can include
looking at change requests and determining the causes that resulted in
these being created. As a result, preventative actions can be taken to avoid
future similar failures.
The fifth output of the control quality process is project management plan
updates. The portions of the project management plan which may need to
be updated as a result of implementing the control quality process is the
quality management plan.
The sixth output for the control quality process is project document updates.
• Issue log,
• Test and evaluation documents.
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Control Resources
The eighth process in the monitoring and controlling process group is control
resources.
• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Control Resources Description
Control resources is the process that ensures that all physical resources
planned for the project are available when needed. The overall focus of this
process is to make sure that all planned resources are available and then
released when they are no longer required. The control resources process is
an iterative process that is performed throughout the project lifecycle.
The control resources process deals with physical resources required for to
the project such as equipment, tools, materials, and facilities. Human
resources are addressed in the Manage Team process.
The control resources process addresses the following:

• Monitoring resource costs throughout the project,
• Identifying resource and addressing resource shortages or surplus,
• Ensuring that resources are released on time,
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• Communicating with project team members and stakeholder regarding

resource issues,
• Influencing the factors that can create resource utilization change, and
• Managing resource changes as they occur.
Control Resources Inputs
The inputs for the control resources process are:

• Agreements

The first input for the control resources process the project management
reviewed include the resource management plan. The resource management
plan directs how physical resources are accessed, controlled and releases.
The second input for the control resources process project documents. The
• Issue log,
• Physical resource assignments,
• Resource breakdown structure,
• Resource requirements, and
• Risk register.
The third input for the control resources process is work performance data.
This is data the number and type of resources used for the project.
The fourth input for the control resources process is agreements.

Agreements are used to arrange for project resources.
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The fifth input for the control resources process is organizational process
assets. The organizational process assets that may be reviewed include:
• Policies regarding resource control and assignment,
• Escalation procedures for handling issues with the project, and
• Lessons learned repository from past similar projects.
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Control Resources Tools and Techniques
The tools and techniques for the control resources process are:
• Data analysis
• Problem solving
• Interpersonal and team skills

The first tool and technique for the control resources process is data
analysis. The data analysis techniques that may be used include:
• Cost-benefit analysis,
• Performance reviews, and
• Trend analysis.
The second tool and technique for the control resources process is problem
solving. The steps for problem solving include:
• Identify the problem,
• Define the problem,
• Investigate,
• Analyze,
• Solve, and
• Check the solution.
The third tool and technique for the control resources process is
interpersonal and team skills. The techniques that may be used include:
• Negotiation, and
• Influencing.
The fourth tool and technique for the control resources process is project
management information system. The PMIS is used to monitor resource
utilization, ensuring the correct resources are available when needed.
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Control Resources Outputs
The outputs for the control resources process are:

• Change requests

The first output for the control resources process is work performance
information. Reports on how work is progressing for all project activities,
which can help identify problems with resource availability.
The second output for the control resources process is change requests.
Change requests may be required when carrying out the control resources
process.
The third output for the control resources process is project management
require updating include:
• Resource management plan,
• Schedule baseline, and
• Cost baseline.
The fourth output for the control resources process is project document
updates. The project documents that may require updating include:
• Assumptions log,
• Issue log,
• Physical resource assignments,
• Resource breakdown structure, and
• Risk register.
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Monitor Communications
The ninth process in the monitoring and controlling process group is monitor
communications.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Monitor Communications Description
Monitor communication is the process that ensures that project information

is available to project team members and project stakeholders. This process
attempts to ensure timely information flow that is defined in the
communications management plan and the stakeholder engagement plan.
The monitor communication process is primarily concerned with making sure

that all planned communications are being transmitted and they are being
received by all required project team members and project stakeholders.
This process is primarily concerned with making sure that the correct
message is being sent at the correct time to all stakeholders that must
receive it.
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Monitor Communications Inputs
The inputs for the monitor communications process are:


The first input for the monitor communications process is project

management plan. The components of the project management plan that
may be reviewed include:
• Communications management plan, and
• Stakeholder engagement plan.
The second input for the monitor communications process is project

• Issue log,
• Project communications.
The third input for the monitor communications process is work performance
data. This is the data about the types and quantities of communications that
have been distributed to project team members and stakeholders.
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The fourth input for the monitor communications process is enterprise

environmental factors. The enterprise environmental factors that may impact
the monitor communications process include:
• Organizational culture, political climate, and governance framework;
• Established communication channels, tools, and systems;
• Global, regional, or local trends, practices, or habits; and
• Geographic distribution of facilities and resources.
The fifth input for the monitor communications process is organizational

process assets. The organizational process assets that may impact the
monitor communications process include:
• Corporate policies and procedures for social media, ethics, and
security;
• Organizational communication requirements,
• Standardized guidelines for development, exchange, storage, and
retrieval of project information;
• Historical information from past similar projects; and
• Stakeholder and communications data and information from past
previous projects.
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Monitor Communications Tools and Techniques
The tools and techniques for the monitor communications process are:
• Expert judgment
• Meetings

The first tool and technique for the monitor communications process is
expert judgment. Subject matter experts must have expertise in the
following areas:
• Communication with the public, and
• Communications and project management systems.
The second tool and technique for the monitor communications process is
project information management systems. The project information
management system is a software tool that helps project managers capture,
store and distribute information to project stakeholders.
The third tool and technique for the monitor communications process is data
representation. The tool that may be used is the stakeholder engagement
assessment matrix. This may provide insights into the effectiveness of the
communication activities.
The fourth tool and technique for the monitor communications process is
interpersonal and team skills. The interpersonal and team skills that may be
used include observation/conversation. This technique allows the project
manager to identy issues with the project team, conflicts between
stakeholders, and/or performance issues.
The fifth tool and technique for the monitor communications process is
meetings. Meetings are the place when the project team will decide how to
update information on project performance and handle requests from project
stakeholders for project information. Meetings must include project team
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members, project stakeholder and other that are involved in creation or

control of project communications.
Monitor Communications Outputs
The outputs for the monitor communications process are:

• Change requests

The first output for the monitor communications process is work

performance information. Work performance information is the process of
measuring the work that has been performed to date. The performance data
typically provides status and progress information at a level of detail that is
required by project stakeholders. This information is then communicated to
the appropriate group of project stakeholders.
The second output for the monitor communications process is change

requests. Implementing the monitor communications process may result in
the need to make change requests. Change requests may result in:
• Revision of stakeholder communication requirements, and
• New procedures to eliminate bottlenecks.
The third output for the monitor communications process is project

management plan updates. The components of the project management
plan that may require updating include:
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The fourth output for the monitor communications process is project

document updates. The documents that may need to be updated as a result
of implementing the monitor communications process include:
• Issue log,
• Stakeholder register.
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Monitor Risks
The tenth process in the monitoring and controlling process group is monitor
risks.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Monitor Risks Description
During the planning phase of the project, the risk management plan was
created. This plan describes how risks will be managed and controlled during
the project. Monitor risks, therefore, is the process of tracking all project
risks that are identified during the risk planning process. This includes
analyzing identified risks to track their possible occurrence on the project,
verifying that risk management policies are being followed, checking for new
risks, checking residual or secondary risks, and monitoring contingency
reserves to verify they are adequate to implement the planned risk
responses.
Monitor risks also include implementing any required responses to project

risks that occur during the project. This may also include executing any
contingencies or fallback plans to deal with project risks. This process
includes evaluating the effectiveness of the risk response plan throughout
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the project lifecycle. Finally, the monitor risks process includes updating
project risk plans, organizational process assets, lessons learned data, and
risk management templates for future projects.
Monitor Risks Inputs
The inputs for the monitor risks process are:


The first input for the monitor risk process is the project management plan.
The project management plan contains the risk management plan, which
provides guidance for risk monitoring. The risk management plan is a
document that defines how risk management will be performed during the
project, including roles and responsibilities, budgeting and timing.
The second input for the monitor risk process is project documents. The
• Issue log,
• Risk report.
The risk register is a document that lists the risks that have been
identified and potential responses to these risks. It should identify risks,
the root cause of the risks, risk owners, warning signs, the priority
ranking of the risks, risks categorized as a near-term and long-term, and
should include a watch list of low priority risks.
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The third input for the monitor risk process is work performance data. Work
performance data would include information on the project execution
including deliverable status, schedule status, and the budget status. If these
are off from the planned status, the project is moving into a high-risk status.
The fourth input for the monitor risk process is work performance reports.
Work performance reports are reports that provide information on
measurements of the project performance and analysis to include: variance
analysis, earned value data and forecasting of future project performance.
Monitor Risks Tools and Techniques
The tools and techniques for the monitor risks process are:
• Data analysis
• Audits
• Meetings

The first tool and technique for the monitor risk process is data analysis. The
data analysis techniques that can be used include:
• Technical performance analysis,
• Reserve analysis.
Technical performance analysis is a separate measurement investigating

the technical performance of the project work so it can be compared to
the project management plan’s technical performance. This would include
any measurements related to the product of the project or the
deliverables of the project. For example, if a product was being created,
technical performance measurements might include the number of
defects, the specific weight of the product or some other acceptance
criteria. It might also include a performance characteristic, such as
achieving a specific transmission speed or making sure that it does not
exceed a specific loss measurement, or that it achieves a certain capacity
67
capability of the product of the project or the service. This can help
determine the technical risk on the project.
Reserve analysis is the process of monitoring reserves that have been

established for the project, which can impact project budget or schedule.
Significant variance in project reserves may indicate a significant risk to
the project’s scope and may indicate a higher than expected degree of
technical risk on the project.
The second tool and technique for the monitor risk process is audits. This is
the process of analyzing risk responses to determine their effectiveness. Risk
auditing should also provide an overall evaluation of the risk management
process for the project. The project manager is the individual that is
responsible for making sure that risk audits are performed at specified
intervals throughout the project, as defined by the risk management plan.
The third tool and technique for the monitor risk process is meetings.
Meetings are held throughout the duration of the project. Project risk should
always be an agenda items at all project status meetings. The risk
management plan should be reviewed, and risks should be discussed with all
project members, including identified risks to watch for, risk owners and the
planned responses for all identified risks. The more risks are discussed, the
more likely the project team will see the warning signs and deal with risks as
planned.
68
Monitor Risks Outputs
The outputs for the monitor risks process are:

• Change requests
• Organizational process assets updates

The first output for the monitor risk process is work performance
information. Work performance information is the process of measuring the
work that has been performed to date. This provides a mechanism to
communicate and support project decision-making.
The second output for the monitor risk process is change requests. Change
requests may result from implementing risk responses and typically include
recommended corrective actions and recommended preventive actions.
The third output for the monitor risk process is project management plan
updates. Risk affects most elements of the project management plan.
The fourth output for the monitor risk process is project document updates.
The project document that may need to be updated as a result of the
monitor risk process include:
• Assumption log,
• Issue log,
• Risk report.
The fifth output for the monitor risk process is organizational process assets.
The organizational process assets that may need to be updated as a result of
the monitor risk process include templates for the risk management plan,
risk register, and risk report. It also includes the risk breakdown structure.
69
Control Procurements
The eleventh process in the monitoring and controlling process group is

control procurements.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Control Procurements Description
During the planning phase of the project, we took the time to plan project
procurements, and the procurement management plan for the project was
created. The procurement management plan identifies what goods and/or
services need to be purchased from outside of the organization. The
procurement management plan documents all project purchase decisions, it
specifies the approach that will be used for making project purchases, and it
defines the process that will be used to identify potential vendors. The
conduct procurements is the process for obtaining responses to bids and
proposals from potential vendors and contractors and then selecting sellers.
Control procurements is the process of managing and controlling those

procurements that are required for the project. This would include
monitoring contract performance in order to verify that vendors and/or
contractors are meeting their obligations. This might include verifying
70
materials are delivered on schedule, work is being completed on schedule,

milestones are being achieved, and the proper employees are being provided
for the project. This means that they have the correct skill level,
qualifications, required skill set, and they have the correct training.
Control procurements also has a financial management component that

requires monitoring payments to vendors. This will ensure that contract
payment terms are met and payments are linked to project performance or
project milestones that are defined in the contract.
Control Procurements Inputs
The inputs for the control procurements process are:

• Agreements
• Procurement documentation

The first input for the control procurements process is the project
management plan. The components of the project management plan that
may be reviewed include:
• Requirements management plan,
• Risk management plan,
• Procurement management plan,
• Change management plan, and
• Schedule baseline.
The second input for the control procurements process is project documents.
The project documents that may be reviewed include:
• Assumption log,
71
• Milestone list,
• Requirements documentation,
• Requirements traceability matrix,
The third input for the control procurements process is agreements.

Agreements are understandings between parties, which include an
understanding of the duties of each party.
The fourth input for the control procurements process is procurement

documentation. This is the supporting documentation for all of the
procurement activities.
The fifth input for the control procurements process is approved change
requests. These are all modifications to the terms and conditions for a
contract. Changes might include request the deliverables, pricing, contract
terms, contract resources, or contract schedule. All requested changes to a
contract must be formally requested in writing and approved before being
implemented.
The sixth input for the control procurements process is work performance
data. This would include reports related to the actual project performance. It
should include information related to the quality of the work, schedule
adherence, as well as costs incurred to date.
The seventh input for the control procurements process is enterprise

environmental factors. The enterprise environmental factors that may
influence the control procurements process include:
• Contract change control system,
• Marketplace conditions,
• Financial management and accounts payable system, and
• Buying organization’s code of ethics.
The eighth input for the control procurements process is organizational

process assets. The organizational process assets that may influence the
control procurements process include procurement policies.
72
Control Procurements Tools and Techniques
The tools and techniques for the control procurements process are:
• Expert judgment
• Claims administration
• Data analysis
• Inspection
• Audits

The first tool and technique for the control procurements process is expert
judgment. Subject matter experts must have expertise in the following
areas:
• Relevant functional areas;
• Laws, regulations, and compliance requirements; and
• Claims administration.
The second tool and technique for the control procurements process is
claims administration. Claims administration occurs when buyers and sellers
cannot agree that a change has occurred. Contested changes are called
claims.
The third tool and technique for the control procurements process is data
analysis. The data analysis techniques that may be used to monitor and
control procurements include:
• Performance reviews,
• Earned value analysis, and
• Trend analysis.
The fourth tool and technique for the control procurements process is
inspection. This is a technique of performing actual inspections of the seller's
work during the execution of the contract. One of the primary objectives of
this technique is to verify that the performance documentation supplied by
the seller is accurate.
73
The fifth tool and technique for the control procurements process is audits.
Audits are structured reviews of the procurement process.
Control Procurements Outputs
The outputs for the control procurements process are:

• Closed procurements
• Procurement documentation updates
• Change requests
• Organizational process assets updates

The first output for the control procurements process is closed

procurements. The buyer will send a formal written notice that the contract
has been completed. The terms and conditions of the contract to finalize
procurements are defined in the procurement management plan.
The second output for the control procurements process is work performance
information. This would include reports related to the actual project
performance for vendors that are performing procurement related works.
Work performance information should be reporting on compliance of
contracts. It should include information related to the quality of the work,
schedule adherence, as well as costs incurred to date. This will provide the
contracting organization with the information to track specific deliverables
expected and received from the vendor.
Work performance information provides a basis for identifying current

problems on the project or future problems, which may require new
procurements. By reporting on the performance of a vendor, the
organization and the project manager can increase knowledge related to the
procurement process. This will support improved forecasting, risk
management, and decision making. Performance reports can also be used as
documentation if there is a dispute with a vendor in the future.
74
The third output for the control procurements process is procurement

documentation updates. This are updates to the procurement
documentation, which includes contracts and all supporting documentation.
The fourth output for the control procurements process is change requests.
Change requests would include changes made to the project procurement
plan or project baselines as a result of the control procurements process.
The fifth output for the control procurements process is project management
require updating include:
• Risk management plan,
• Procurement management plan,
• Schedule baseline, and
• Cost baseline.
The sixth output for the control procurements process is project documents
updates. The project documents that may require updating include:
• Resource requirements,
• Requirements traceability matrix,
The seventh output for the control procurements process is organizational

process assets updates. The organizational process assets that require
updating as a result of the control procurements process include:
• Payment schedules and requests,
• Seller performance evaluation documentation,
• Prequalified seller lists updates,
• Lessons learned repository, and
• Procurement file.
75
Monitor Stakeholder Engagement
The twelfth process in the monitoring and controlling process group is

monitor stakeholder engagement.

• Validate scope
• Control scope
• Control costs
• Control quality
• Monitor risks

Monitor Stakeholder Engagement Description
Monitor stakeholder engagement is the process of monitoring the entire

stakeholder management process and relationships. This process also
requires making any necessary adjustments to plans and strategies for
engaging stakeholders. This process should seek to increase the efficiency of
stakeholder engagement activities as the project evolves and the project
environment changes.
76
Project Stakeholder Management
Monitor stakeholder engagement is the fourth process in the project

stakeholder management knowledge area.
• Identify stakeholders
• Plan stakeholder engagement
• Manage stakeholder engagement

Project stakeholder management is a knowledge area that includes

processes that are required to identify project stakeholders, plan stakeholder
management, manage stakeholder engagement, and monitor stakeholder
engagement.
Project stakeholder management starts with identifying stakeholders. The

PMBOK® Guide defines a stakeholder as:
“An individual, group, or organization that may affect, be affected by, or

perceive itself to be affected by a decision, activity, or outcome of a project,
program, or portfolio.”
As you can see from this definition, a stakeholder is an individual, group or

organization. To qualify as a stakeholder, the individual, group or
organization that can either impact a project or be impacted by the project.
As a result, the first step in the knowledge area is to identify stakeholders.
Once project stakeholders are identified, the project manager must discover
stakeholder expectations, their anticipated level of involvement and the
influence each stakeholder will have on the project. Once these are identified
and documented, then the appropriate management strategies can be
77
developed to effectively engage stakeholders in project decisions and the

execution of the project.
Stakeholder management also addresses the communication with project

stakeholders. The communication process should seek to understand
stakeholder information needs and expectations. Communication is the
vehicle for engaging stakeholders related to making decisions about project
issues as well as managing conflict. This should encourage the key objective
of this knowledge area, which is to manage stakeholder satisfaction.
Every project has stakeholders that could impact or likely to be impacted by

a project in either a positive or negative way. It is important to understand
that some stakeholders have a significant ability to impact a project while
others have a limited ability to influence the project. It is the responsibility
of the project manager to correctly identify each type of stakeholder for the
project.
Monitor Stakeholder Engagement Inputs
The inputs for the monitor stakeholder engagement process are:


The first input for the monitor stakeholder engagement process is the
project management plan. The components of the project management plan
that may be reviewed include:
The second input for the monitor stakeholder engagement process is project
78
• Issue log,
• Project communications,
The third input for the monitor stakeholder engagement process is work
performance data. Work performance data is the documentation of the
actual performance of project deliverables. These are the measurements
that are collected during the controlling process.
The fourth input for the monitor stakeholder engagement process is

enterprise environmental factors. The enterprise environmental factors that
may influence the monitor stakeholder engagement process include:
• Organizational culture, political climate, and governance framework;
• Personnel administration policies;
• Stakeholder risk thresholds;
• Established communication channels;
• Global, regional, and local trends, practices, or habits; and
• Geographic distribution of facilities and resources.
The fifth input for the monitor stakeholder engagement process is

organizational process assets. The organizational process assets that may
influence the monitor stakeholder engagement process include:
• Corporate policies and procedures for social media, ethics, and
security;
• Corporate policies and procedures for issue, risk, change, and data
management;
• Organizational communication requirement;
• Standardized guidelines for development, exchange, storage, and
retrieval of information; and
• Historical information from previous projects.
79
Monitor Stakeholder Engagement Tools and Techniques
The tools and techniques for the monitor stakeholder engagement process
are:
• Data analysis
• Decision making
• Communication skills
• Meetings

The first tool and technique for the monitor stakeholder engagement process
is data analysis. The data analysis techniques that may be used include:
• Root cause analysis, and
• Stakeholder analysis.
The second tool and technique for the monitor stakeholder engagement
process is decision making. The decision-making techniques that may be
used include:
• Multicriteria decision analysis,
• Voting.
The third tool and technique for the monitor stakeholder engagement
process is data representation. A data representation technique that may be
used is a stakeholder engagement assessment matrix. A stakeholder
engagement assessment matrix monitors stakeholder engagement.
The fourth tool and technique for the monitor stakeholder engagement
process is communication skills. The communication skills that may be used
include:
• Feedback,
• Presentations.
80
The fifth tool and technique for the monitor stakeholder engagement process
is interpersonal and team skills. The interpersonal skills that can be used
include:
• Active listening,
• Cultural awareness,
• Leadership,
• Networking, and
• Political awareness.
The sixth tool and technique for the monitor stakeholder engagement
process is meetings. Meetings to monitor stakeholder engagement include
status meetings, standup meetings, and retrospectives.
Monitor Stakeholder Engagement Outputs
The outputs for the monitor stakeholder engagement process are:

• Change requests

The first output for the monitor stakeholder engagement process is work
performance information. This is the actual performance data collected from
project controlling processes. This data is analyzed in order to make project
decisions. This information is distributed to project stakeholders through the
communication processes.
The second output for the monitor stakeholder engagement process is

change requests. Change requests are often generated when analyzing
project performance and interacting with project stakeholders. Change
requests are processed through the Perform Integrated Change Control
process to include:
81
• Recommended corrective actions in order to bring expected future

performance back in line with the project management plan, and
• Recommended preventive actions that can reduce the probability of
realizing negative future project performance
The third output for the monitor stakeholder engagement process is project
management plan updates. The components of the project management
plan that may require updating include:
• Stakeholder management plan.
The fourth output for the monitor stakeholder engagement process is project
documents updates. The project documents that may need to be updated as
a result of implementing the control stakeholder engagement process
include:
• Issue log,

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1

Monitoring and Controlling Projects

Copyright 2015 to 2018 by NetCBT, Inc.

Monitoring and Controlling Projects is a course that will provide an overview

At the end of this course, students will be able to:

• Identify the purpose of the monitoring and controlling process group.

This course is aligned with A Guide to the Project Management Body of

* PMBOK is a registered mark of the Project Management Institute, Inc.

Projects typically occur in phases in order to focus on the project planning,

• Sequential relationship. This is where one phase must finish before

The phase deliverable is an output that must be produced and approved in

Project Life Cycle

In most cases, the phases of a project match the following:

• A starting phase where the project or project phase is officially started.

All of the following are common characteristics of projects:

• The chances of the project completing successfully are lowest at the

Project Management Process Groups

Project Management Institute, A Guide to the Project Management Body of Knowledge,

A process is defined as a group of interrelated activities that are performed

For example, monitoring the execution of a project may identify a problem

Project Management Process Groups

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Monitoring and Controlling Group Processes

• Monitor and control project work

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Monitoring and Controlling Process Group Description

The monitoring and controlling process group is where project performance

Monitor and Control Project Work

The first process in the monitoring and controlling process group is to

• Monitor and control project work

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Monitor and Control Project Work Description

Monitoring and controlling project work is a continuous process, which will

This process will provide the following information:

• Actual project performance data so it can be compared to the project

Monitor and Control Project Work Inputs

• Project management plan

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Monitor and Control Project Work Tools and Techniques

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Monitor and Control Project Work Outputs

• Work performance reports

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Perform Integrated Change Control

The second process in the monitoring and controlling process group is to

• Monitor and control project work

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Perform Integrated Change Control Description

Perform integrated change control is the process of gathering and reviewing

When analyzing change requests, it is important not only to consider if the

The perform integrated change control process is done throughout the

Perform Integrated Change Control Inputs

• Project management plan

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Perform Integrated Change Control Tools and Techniques

Project Management Institute, A Guide to the Project Management Body of Knowledge,

Tools should support the following configuration management activities:

Tools should support the following change management activities:

Examples of voting techniques include:

• Unanimity. A decision that is reached whereby everyone agrees on a

Perform Integrated Change Control Outputs

• Approved change requests

Project Management Institute, A Guide to the Project Management Body of Knowledge,

• Monitor and control project work