Monitoring and Controlling Process Group

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These are the processes required to track, review and regulate the progress and performance of a project, identify deviations from the plan, bringing activities back into alignment with the plan when appropriate and update the plan as required. These processes include monitoring and controlling the work, performing integrated change control, scope verification and control, schedule control, cost control, quality control, risk monitoring and control, procurement administration and performance reporting. This process group uses the following PMBOK Knowledge Areas:

  • Project Integration Management
  • Project Quality Management
  • Project Human Resource Management
  • Project Communications Management
  • Project Procurement Management
  • Project Stakeholder Management

 

***See end of page for links to artifact documents.


4.0 Project Integration Management

Monitoring and controlling project work is the process of making sure the deliverables are provided to the customer as promised, that the project activities are carried out as planned, that costs are incurred as planned, and that project and product quality are maintained. Integrated change control provides a means be which changes are evaluated, properly planned for and approved by the proper parties. It also ensures that only approved changes are implemented and incorporated in the project plan. The Project Integration Management processes used in this process group are:

4.4 Monitor and Control Project Work
4.5 Perform Integrated Change Control

 

4.4 Monitor and Control Project Work

Process Definition

Then project manager has the job of monitoring the work being performed by collecting, evaluating and distributing performance information, then recommending improvements to effect control. One of the most common outputs is change control and corrective actions. The PM will also update forecasts and issue logs.

Process Assessment

The project manager must continually monitor and control the project work.  This is, after all, one of his primary jobs.  

 figure 36 inputs, tools & techniques, outputs to monitor and control project work.jpg

Figure 36. Monitor and Control Project Work: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 86. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Work Performance Report: This homework problem from PMGT 614 calculates earned value variances. This information supports project document updates as an output of the monitor and control process.
  2. Change Request: This change from PMGT 614 helps put a project back on track through integrated change management. Change requests are a frequent output of the monitor and control process.
  3. Work Performance Information: Brief overview of Earned Value Management created by Dr. Carswell for instructional purposes. EVM information makes up part of the work performance information that is an input of the monitor and control process.

 

4.5 Perform Integrated change Control

Process Definition

All changes to a project, whether driven by changing requirements, risk management or external market forces, must be captured in the plan.  Changes in deliverables should be reflected in the scope, schedule adjustments must be captured in the schedule, and cost impacts should be captured in the budget.  The use for formal change processes, including documentation, review and configuration management, are key to the success of any project.

Process Assessment

Integrated change control is the key to avoiding chaos on a project. It is absolutely critical to evaluate the impact of all changes on all aspects of the project prior to permitting them.  Then all changes and activities associated with them must be captured in the scope, schedule and budget, as appropriate.  And finally, the team must keep an eye out for risk every time there is a change in the project plan.  

figure 37 inputs, tools & techniques, outputs to perform integrated change control.jpg

Figure 37. Perform Integrated Change Control: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 94. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Work Performance Report: This homework problem from PMGT 614 calculates earned value variances. This information supports project document updates as an Input of the integrated change control process.
  2. Approved Change Request: This change from PMGT 614 helps put a project back on track through integrated change management. Change requests are a frequent output of the monitor and control process.
  3. Project Document Updates: Earned Value Management, described in this essay, is a performance report incorporated into project document updates, an output of the integrated change control process. 

 

5.0 Project Scope Management

Scope verification involves the use of a scope baseline from the project management plan and the requirements documentation to formalize acceptance of deliverables by the customer. The outputs of scope verification include accepted deliverables and change requests for issues that need to be resolved prior to delivery and acceptance. Scope control involves monitoring the status of the project to ensure all deliverables are prepared in accordance with project scope baseline and requirements. The Project Scope Management processes used in this process group are:

5.5 Validate Scope
5.6 Control Scope

 

5.5 Validate Scope

Process Definition

Scope validation formalizes the acceptance of the final project deliverables. It ensures that the deliverables have been completed according to the plan and meet all the requirements set forth throughout the project. Unlike quality control, scope validation is primarily concerned with customer acceptance.

Process Assessment

This process should be started earlier in a project than most people consider.  Waiting until the last minute to validate the scope can result in very expensive changes after much of the work is completed, and lead to very large schedule slips. 

figure 38 inputs, tools & techniques, outputs to validate scope.jpg 

Figure 38. Validate Scope: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 133. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Work Performance Report: This homework problem from PMGT 614 calculates earned value variances. This information supports project document updates as an output of the monitor and control process.
  2. Change Request: This change from PMGT 614 helps put a project back on track through integrated change management. Change requests are a frequent output of the monitor and control process.
  3. Work Performance Information: Brief overview of Earned Value Management created by Dr. Carswell for instructional purposes. EVM information makes up part of the work performance information that is an input of the monitor and control process.

 

5.6 Control Scope

Process Definition

Controlling scope ensues that changes to the scope baseline are properly captured in the project plan or that changes and corrective actions are taken to bring scope activities into compliance with the plan. Variance analysis is a key tool for this process, and integrated change requests one of the primary outputs.

Process Assessment

Controlling scope is important from two perspectives.  It's important to keep the sponsor/customer from changing scope objectives after the project has been initiated and planned.  It's also important to keep the design team from "over designing" the products.  This is know as "shooting the engineer."  Sometimes you just have to pull the trigger. 

figure 39 inputs, tools & techniques, outputs to control scope.jpg

Figure 39. Control Scope: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 136. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Work Performance Data: Homework problem from PMGT 501 to develop a work performance data by calculating earned value variances. This is an important input for scope control
  2. Work Performance Information: This artifact is a brief overview of earned value management, a performance report that supports project document updates as an output of the integrated change control process.
  3. Accepted Deliverables: This document is an output of this process that acknowledges formally accepted deliverables for the project.

 

6.0 Project Time Management

6.7 Control Schedule

Process Definition

Schedule control involves monitoring the progress of schedule execution to ensure the baseline plan is being adhered to. The project manager must determine the current status of scheduled activities, manage resources and stakeholders to bring variances into conformance, when possible, and implementing integrated project changes when necessary.

Process Assessment

Poor schedule control is one of the most commons facing project managers.  The schedule should be reviewed at least weekly, if not daily, for variance identification.  Once a schedule begin to slip, it is very difficult to recover lost time.  It is helpful to have a Monte Carlo assessment done and use the resulting tornado diagram to identify the high risk activities as early as possible.  Appropriate attention and resources can then be applied to those high risk activities as early as possible in order to avoid schedule problems down the road.   

figure 40 inputs, tools & techniques, outputs to control schedule.jpg

Figure 40. Control Schedule: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 185. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Work Performance Information: This artifact is a project schedule that has been updated to show percent complete of individual activities, summary activities and level 2 WBS elements. The updated schedule is work performance information, an output of the "Control Schedule" process.
  2. Schedule Forecasts: Homework problem from PMGT 614 to identify schedule variances through earned value calculations, and calculate updated schedule forecasts, an output of the "Control Schedule" process.
  3. Nightingale Homework on Schedule Crashing: This homework assignment shows an example of schedule "crashing" in order to meet a deadline. Crashing is an important tool and technique in time management monitoring and controlling.

 

7.0 Project Cost Management

7.4 Control Costs

Process Definition

Cost control involves monitoring the progress of project execution to ensure the baseline plan is being adhered to. The project manager must update the budget to reflect project progress and any deviations from plan. All budget increases must be approved through a formal change control process. Two key PM activities include enforcing budgetary discipline on the project team and maintaining updated budget forecasts.

Process Assessment

Earned value management is a powerful tool in controlling costs.  And it must be initiated and adhered to early in the project, which is when most projects that are going to go off the rails begin to do so.

figure 41 inputs, tools & techniques, outputs to control costs.jpg

Figure 41. Control Costs: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 215. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Work Performance Information: Homework problem from PMGT 614 to develop a performance report showing schedule variances through earned value calculations. Work performance information and measurements are outputs from the "Control Costs" process.
  2. Cost Forecast: This homework problem from PMGT 501 demonstrates how to forecast Budget at Completion (BAC) and Variance at Completion (VAC). These budget forecasts are key outputs from the "Control Costs" process.
  3. Earned Value Management: Brief overview of Earned Value Management, a key tool and technique of the control costs process. 

 

8.0 Project Quality Management

8.3 Control Quality

Process Definition

Quality control is the process of monitoring project deliverables to ensure they are created in accordance with project requirements and recommending necessary changes when items are found to be unacceptable. Key inputs include the quality management plan and work performance measurements. Primary outputs include validated deliverables and change requests.

Process Assessment

The project managers job is to make sure the quality control team does its job.  Engaging the quality team as early as possible, including in the design phase, allows them to maximize their effectiveness. 

figure 42 inputs, tools & techniques, outputs to control quality.jpg

Figure 42. Control Quality: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 249. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Quality Control Measurements: Quality control measurements are shown in this report from PMGT 614, an output of the "Perform Quality Control Process."
  2. Performance Report: Homework problem from PMGT 501 to develop a performance report showing planned vs. actual project performance in technical, schedule and cost areas. Work performance reports are inputs to the "Perform Quality Control" process.
  3. Seven Quality Concepts: This paper from PMGT 614 discusses the seven quality concepts of quality control, a key tool and technique for this process.

 

10.0 Project Communications Management

10.3 Control Communications

Process Definition

Controlling communications reporting ensures that all stakeholders receive the correct information at the right time. This includes status reports, progress measurements and forecasts. A project performance report should include a forecasted project completion estimate.

Process Assessment

Controlling the communications is critically important for a project manager.  Having the wrong people talk to each other, or having inaccurate messages transmitted by any team member can be a real problem.  It's not that there is anything to hide, it's just that different messages have different meanings to different people, and it's the PM's job to understand and control those messages and meanings. 

figure 43 inputs, tools & techniques, outputs to control communications.jpg

Figure 43. Control Communications: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 303. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Information Management System: This dashboard from PMGT 614 is a common information management system tool for communications.
  2. Bicycle Project Change Request: The change request form from PMGT 614 is an output for reporting performance, making sure all team members are kept up to date on project performance.
  3. Work Performance Information: Homework problem from PMGT 501 to develop work performance information showing planned vs. actual project performance in technical, schedule and cost areas. Work performance information and measurements are key inputs to the "Report Performance" process and work performance reports are an output of the process.

 

11.0 Project Risk Management

11.6 Control Risks

Process Definition

Risk monitor and control involves implementing risk response plans and updating risk evaluations to make sure the responses are effective. New risks can also be identified during this process, with new response plans developed and implemented.

Process Assessment

Controlling risk is often overlooked by project teams.  A great deal of time can be spent up front identifying and planning for risk, but then everything is shelved and people focus on the problem de jour.  Keeping an eye on risk helps minimize those problems.  

figure 44 inputs, tools & techniques, outputs to control risks.jpg

Figure 44. Control Risks: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 349. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Risk Management Plan: Example of a risk management plan for small businesses and small projects. The risk management plan is an input to the "Control Risks" process.
  2. Variance and Trend Analysis: Homework problem from PMGT 501 to develop work performance information showing variance trends in technical, schedule and cost areas. This analysis is a tool and technique for this process. 
  3. Project Document Updates: Example progress report showing risk response implementation and consequent risk probability and impact reduction. Risk register updates are an output from the "Monitor and Control Risks" process.

 

12.0 Project Procurement Management

12.3 Control Procurements

Process Definition

The control phase of procurement management involves administering procurements to manage procurement relationships, monitor contract performance, make changes and corrections as needed and, above all, make sure all contractual obligations are met.

Process Assessment

Procurements can become forgotten items in long term projects.  Teams tend to treat them as "fire and forget" items.  Then when things go wrong it's always a last-minute discovery and causes major problems on a project.  Always monitor and control your procurements.

figure 45 inputs, tools & techniques, outputs to control procurements.jpg

Figure 45. Control Procurements: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 379. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Project Procurement Management Plan: This procurement management plan, an input for this process, provides a framework for monitoring and controlling procurements.
  2. Organizational Process Asset Updates: This service outsourcing project statement of work is part of the archived organizational process asset documentation for a project, an output of this process.
  3. Procurement Change Request: Change request form for a bicycle project, providing disciplined, considered changes to a procurement. Change requests are outputs of the "Control Procurements" process.

 

13.0 Project Stakeholder Management

13.4 Control Stakeholder Engagement

Process Definition

Controlling stakeholder engagement involves monitoring stakeholder relationships and adjusting the plan through integrated change control, when necessary, to meet the needs and expectations of all the stakeholders.  Success in this phase ensures efficient engagement from stakeholders and successful resolution of problems.

Process Assessment

Once the project plan is in place, managing stakeholders is one of the biggest jobs of the project manager.  Making sure the customer/sponsor is happy with progress, and making sure the executing team has the resources necessary to execute consumes most of the time of the project manger. 

figure 45 inputs, tools & techniques, outputs to control procurements.jpg

Figure 46. Control Stakeholder Engagement: Inputs, Tools and Techniques, and Outputs. Reprinted from "A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Edition" by Project Management Institute, 2013, p. 410. Copyright 2013 by Project Management Institute, Inc. Reprinted without permission.

  1. Team Meeting Best Practices: Conducting good meetings is a tool and technique for controlling stakeholder engagement. 
  2. Work Performance Data: This homework problem from PMGT 614 calculates earned value variances. This information supports project document updates as an input by providing information that will be communicated to project stakeholders.
  3. Change Request: This change from PMGT 614 helps put a project back on track through stakeholder engagement. Change requests are a frequent output of this process.

 

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