5

MONITORING AND CONTROLLING PROCESS GROUP

The Monitoring and Controlling Process Group consists of those processes required to track, review, and regulate the progress and performance of the project; identify any areas in which changes to the plan are required; and initiate the corresponding changes. Monitoring is collecting project performance data, producing performance measures, and reporting and disseminating performance information. Controlling is comparing actual performance with planned performance, analyzing variances, assessing trends to effect process improvements, evaluating possible alternatives, and recommending appropriate corrective action as needed. The key benefit of this Process Group is that project performance is measured and analyzed at regular intervals, appropriate events, or when exception conditions occur in order to identify and correct variances from the project management plan. The Monitoring and Controlling Process Group also involves:

• Evaluating change requests and deciding on the appropriate response;
• Recommending corrective or preventive action in anticipation of possible problems;
• Monitoring the ongoing project activities against the project management plan and project baselines; and
• Influencing the factors that could circumvent the change control process so only approved changes are implemented.

Continuous monitoring provides the project team and other stakeholders with insight into the status of the project and identifies any areas that require additional attention. The Monitoring and Controlling Process Group monitors and controls the work being done within each Knowledge Area, each Process Group, each life cycle phase, and the project as a whole. The Monitoring and Controlling Process Group (Figure 5-1) includes the project management processes identified in Sections 5.1 through 5.12.

5.1 MONITOR AND CONTROL PROJECT WORK

Monitor and Control Project Work is the process of tracking, reviewing, and reporting the overall progress to meet the performance objectives defined in the project management plan. The key benefit of this process is that it allows stakeholders to understand the current state of the project, to recognize the actions taken to address any performance issues, and to have visibility into the future project status with cost and schedule forecasts. This process is performed throughout the project. The inputs and outputs for this process are depicted in Figure 5-2.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.1.1 PROJECT MANAGEMENT PLAN COMPONENTS

Any component of the project management plan may be an input for this process.

5.1.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Basis of estimates,
• Cost forecasts,
• Issue log,
• Lessons learned register,
• Milestone list,
• Quality reports,
• Risk register,
• Risk report, and
• Schedule forecasts.

5.1.3 PROJECT MANAGEMENT PLAN UPDATES

Any component of the project management plan may be updated as a result of this process.

5.1.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Cost forecasts,
• Issue log,
• Lessons learned register,
• Risk register, and
• Schedule forecasts.

5.2 PERFORM INTEGRATED CHANGE CONTROL

Perform Integrated Change Control is the process of reviewing all change requests; approving changes and managing changes to deliverables, organizational process assets, project documents, and the project management plan; and communicating the decisions. This process reviews all requests for changes to project documents, deliverables, or the project management plan, and determines the resolution of the change requests. The key benefit of this process is that it allows for documented changes within the project to be considered in an integrated manner while addressing overall project risk, which often arises from changes made without consideration of the overall project objectives or plans. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 5-3.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.2.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Change management plan,
• Configuration management plan,
• Scope baseline,
• Schedule baseline, and
• Cost baseline.

5.2.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Basis of estimates,
• Requirements traceability matrix, and
• Risk report.

5.2.3 PROJECT MANAGEMENT PLAN UPDATES

Any component of the project management plan may be updated as a result of this process.

5.2.4 PROJECT DOCUMENTS UPDATES

Any formally controlled project document may be changed as a result of this process. A project document that is normally updated as a result of this process is the change log. The change log is used to document changes that occur during a project.

5.3 VALIDATE SCOPE

Validate Scope is the process of formalizing acceptance of the completed project deliverables. The key benefit of this process is that it brings objectivity to the acceptance process and increases the probability of final product, service, or result acceptance by validating each deliverable. This process is performed periodically throughout the project as needed. The inputs and outputs of this process are depicted in Figure 5-4.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.3.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Scope management plan,
• Requirements management plan, and
• Scope baseline.

5.3.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Lessons learned register,
• Quality reports,
• Requirements documentation, and
• Requirements traceability matrix.

5.3.3 PROJECT DOCUMENTS UPDATES

Examples of project documents that may be updated as a result of this process include but are not limited to:

• Lessons learned register,
• Requirements documentation, and
• Requirements traceability matrix.

5.4 CONTROL SCOPE

Control Scope is the process of monitoring the status of the project and product scope and managing changes to the scope baseline. The key benefit of this process is that the scope baseline is maintained throughout the project. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 5-5.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.4.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Scope management plan,
• Requirements management plan,
• Change management plan,
• Configuration management plan,
• Scope baseline, and
• Performance measurement baseline.

5.4.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Lessons learned register,
• Requirements documentation, and
• Requirements traceability matrix.

5.4.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Scope management plan,
• Scope baseline,
• Schedule baseline,
• Cost baseline and
• Performance measurement baseline.

5.4.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Lessons learned register,
• Requirements documentation, and
• Requirements traceability matrix.

5.5 CONTROL SCHEDULE

Control Schedule is the process of monitoring the status of the project to update the project schedule and manage changes to the schedule baseline. The key benefit of this process is that the schedule baseline is maintained throughout the project. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 5-6.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.5.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Schedule management plan,
• Schedule baseline,
• Scope baseline, and
• Performance measurement baseline.

5.5.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Lessons learned register,
• Project calendars,
• Project schedule,
• Resource calendars, and
• Schedule data.

5.5.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Schedule management plan,
• Schedule baseline, and
• Cost baseline and
• Performance measurement baseline.

5.5.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Basis of estimates,
• Lessons learned register,
• Project schedule,
• Resource calendars,
• Risk register, and
• Schedule data.

5.6 CONTROL COSTS

Control Costs is the process of monitoring the status of the project to update the project costs and managing changes to the cost baseline. The key benefit of this process is that the cost baseline is maintained throughout the project. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 5-7.

The needs of the project determine which components of the project management plan are necessary.

5.6.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Cost management plan,
• Cost baseline, and
• Performance measurement baseline.

5.6.2 PROJECT DOCUMENTS EXAMPLES

An example of a project document that may an input for this process includes but is not limited to the lessons learned register.

5.6.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Cost management plan,
• Cost baseline, and
• Performance measurement baseline.

5.6.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Basis of estimates,
• Cost estimates,
• Lessons learned register, and
• Risk register.

5.7 CONTROL QUALITY

Control Quality is the process of monitoring and recording results of executing the quality management activities to assess performance and ensure the project outputs are complete, correct, and meet customer expectations. The key benefit of this process is verifying that project deliverables and work meet the requirements specified by key stakeholders for final acceptance. This process is performed throughout the project. The inputs and outputs of this process are shown in Figure 5-8.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.7.1 PROJECT MANAGEMENT PLAN COMPONENTS

An example of a project management plan component that may be an input for this process includes but is not limited to the quality management plan.

5.7.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Lessons learned register,
• Quality metrics, and
• Test and evaluation documents.

5.7.3 PROJECT MANAGEMENT PLAN UPDATES

A component of the project management plan that may be updated as a result of this process includes but is not limited to the quality management plan.

5.7.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Issue log,
• Lessons learned register,
• Risk register, and
• Test and evaluation documents.

5.8 CONTROL RESOURCES

Control Resources is the process of ensuring that the physical resources assigned and allocated to the project are available as planned, as well as monitoring the planned versus actual utilization of resources and taking corrective action as necessary. The key benefit of this process is ensuring that the assigned resources are available to the project at the right time and in the right place and are released when no longer needed. This process is performed throughout the project. The inputs and outputs of this process are shown in Figure 5-9.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.8.1 PROJECT MANAGEMENT PLAN COMPONENTS

An example of a project management plan component that may be an input for this process includes but is not limited to the resource management plan.

5.8.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Issue log,
• Lessons learned register,
• Physical resource assignments,
• Project schedule
• Resource breakdown structure,
• Resource requirements, and
• Risk register.

5.8.3 PROJECT MANAGEMENT PLAN UPDATES

A component of the project management plan that may be updated as a result of this process includes but is not limited to:

• Resource management plan,
• Schedule baseline, and
• Cost baseline.

5.8.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Issue log,
• Lessons learned register,
• Physical resource assignments,
• Resource breakdown structure, and
• Risk register.

5.9 MONITOR COMMUNICATIONS

Monitor Communications is the process of ensuring the information needs of the project and its stakeholders are met. The key benefit of this process is the optimal information flow as defined in the communications management plan and stakeholder engagement plan. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 5-10.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.9.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Resource management plan,
• Communications management plan, and
• Stakeholder engagement plan.

5.9.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Issue log,
• Lessons learned register, and
• Project communications.

5.9.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Communications management plan, and
• Stakeholder engagement plan.

5.9.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Issue log,
• Lessons learned register, and
• Stakeholder register.

5.10 MONITOR RISKS

Monitor Risks is the process of monitoring the implementation of agreed-upon risk response plans, tracking identified risks, identifying and analyzing new risks, and evaluating risk process effectiveness throughout the project. The key benefit of this process is that it enables project decisions to be based on current information about overall project risk exposure and individual project risks. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 5-11.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.10.1 PROJECT MANAGEMENT PLAN COMPONENTS

An example of a project management plan component that may be an input for this process includes but is not limited to the risk management plan.

5.10.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Issue log,
• Lessons learned register,
• Risk register, and
• Risk report.

5.10.3 PROJECT MANAGEMENT PLAN UPDATES

Any component of the project management plan may be updated as a result of this process.

5.10.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Assumption log,
• Issue log,
• Lessons learned register,
• Risk register, and
• Risk report.

5.11 CONTROL PROCUREMENTS

Control Procurements is the process of managing procurement relationships, monitoring contract performance and making changes and corrections as appropriate, and closing out contracts. The key benefit of this process is that it ensures that both the seller's and buyer's performance meets the project's requirements according to the terms of the legal agreements. This process is performed throughout the project, when procurements are active. The inputs and outputs of this process are depicted in Figure 5-12.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.11.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Requirements management plan,
• Risk management plan,
• Procurement management plan,
• Change management plan, and
• Schedule baseline.

5.11.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Assumption log,
• Lessons learned register,
• Milestone list,
• Quality reports,
• Requirements documentation,
• Requirements traceability matrix,
• Risk register, and
• Stakeholder register.

5.11.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Risk management plan,
• Procurement management plan,
• Schedule baseline, and
• Cost baseline.

5.11.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Lessons learned register,
• Resource requirements,
• Requirements traceability matrix,
• Risk register, and
• Stakeholder register.

5.12 MONITOR STAKEHOLDER ENGAGEMENT

Monitor Stakeholder Engagement is the process of monitoring project stakeholder relationships, and tailoring strategies for engaging stakeholders through modification of engagement strategies and plans. The key benefit of this process is that it maintains or increases the efficiency and effectiveness of stakeholder engagement activities as the project evolves and its environment changes. This process is performed throughout the project. The inputs and outputs of this process are depicted in Figure 5-13.

The needs of the project determine which components of the project management plan and which project documents are necessary.

5.12.1 PROJECT MANAGEMENT PLAN COMPONENTS

Examples of project management plan components that may be inputs for this process include but are not limited to:

• Resource management plan,
• Communications management plan, and
• Stakeholder engagement plan.

5.12.2 PROJECT DOCUMENTS EXAMPLES

Examples of project documents that may be inputs for this process include but are not limited to:

• Issue log,
• Lessons learned register,
• Project communications,
• Risk register, and
• Stakeholder register.

5.12.3 PROJECT MANAGEMENT PLAN UPDATES

Components of the project management plan that may be updated as a result of this process include but are not limited to:

• Resource management plan,
• Communications management plan, and
• Stakeholder engagement plan.

5.12.4 PROJECT DOCUMENTS UPDATES

Project documents that may be updated as a result of this process include but are not limited to:

• Issue log,
• Lessons learned register,
• Risk register, and
• Stakeholder register.