Inputs of Monitor and Control Project Work

Know the following inputs of the Monitor and Control Project Work process:

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

Project Management Plan The project management plan provides the information necessary to monitor the project work and determine whether the project is progressing as planned.

Project Documents Several project documents inform this process and can include but are not limited to the following:

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

We have discussed the majority of this list in previous chapters, but for the purposes of the exam, there are two new concepts you will need to know: schedule forecasts and cost forecasts.

Schedule Forecasts Schedule forecasts reflect whether the project is on track, ahead, or behind schedule, typically expressed in the form of schedule variance (SV) or schedule performance index (SPI). SV and SPI are calculated using earned value management (EVM) techniques. Schedule forecasts are an output of the Control Schedule process.

Cost Forecasts Cost forecasts reflect whether the project is on, over, or under budget. Like schedule forecasts, cost forecasts may be calculated using EVM and expressed in the form of cost variance (CV) or cost performance index (CPI). In addition to CV and CPI, the estimate at completion (EAC) may also be calculated to determine whether forecasts are within a tolerable range from the planned budget. Cost forecasts are an output of the Control Costs process.

Work Performance Information Work performance information is produced as a result of carrying out various processes within the Monitoring and Controlling process group. It reflects performance data that has been analyzed and can therefore be used to make project decisions.

Agreements Contractual terms and conditions are included in a procurement agreement and may offer other items the buyer specifies regarding the seller’s product or service. When a project has outsourced part of the project work, the project manager would be responsible for overseeing the contractor’s work.

Enterprise Environmental Factors The enterprise environmental factors provide the following information utilized by this process:

• Project management information systems (scheduling, cost, resourcing tools, performance indicators, database, project records, and financials)
• Infrastructure
• Stakeholder expectations and risk tolerances
• Government or industry standards

Organizational Process Assets The following organizational process assets are used as inputs:

• Communication requirements
• Procedures for financial controls, risk control, and problem solving
• Monitoring and reporting methods
• Issue and defect management procedures
• Organizational knowledge base, specifically the lessons learned repository

Tools and Techniques of Monitor and Control Project Work

The Monitor and Control Project Work process has four tools and techniques: expert judgment, data analysis, decision making, and meetings.

Expert Judgment Expert judgment involves interpreting the information that results from this process and making key project decisions as a result of the information. Experts with specialized knowledge or training in the following topics should be consulted:

• Earned value analysis
• Interpretation and contextualization of data
• Techniques to estimate duration and costs
• Trend analysis
• Technical knowledge on the industry/project focus area
• Risk and contract management

Data Analysis In the scope of this process, data analysis involves using various analytical techniques to forecast possible scenarios based on existing variables. The PMBOK^® Guide provides the following examples:

• Alternatives analysis
• Cost-benefit analysis
• Earned value analysis
• Root cause analysis
• Trend analysis
• Variance analysis

Decision Making The key decision-making tool used for this process is voting. Whether making decisions based on unanimity, majority, or plurality, voting plays an important role in determining which direction to proceed.

Meetings This process involves a high degree of interaction and analysis by project experts. When used appropriately, meetings can be a powerful mechanism for project team members and other subject matter experts to discuss project performance and to make decisions. Meetings take many forms, including face-to-face, virtual, formal, and informal.

Outputs of Monitor and Control Project Work

The Monitor and Control Project Work process has four outputs.

Work Performance Reports As a result of assessing work performance information, work performance reports are compiled through this process; according to the PMBOK^® Guide, work performance reports are physical or electronic representations of performance data. By documenting this information, it can be distributed to stakeholders and archived for future reference. Work performance reports can also be used as a means of increasing awareness and making decisions in relation to the project.

Change Requests As a result of assessing project performance and making decisions on how to proceed based on this information, changes may be required. Change requests typically include the following items:

• Corrective actions are intended to bring the project back on track with the plan.
• Preventive actions are intended to prevent the project from getting off track with the plan.
• Defect repairs are intended to address product or product components that do not conform to requirements.

Project Management Plan Updates Project management plan updates may include updates to one or more of the following:

• Schedule management plan
• Cost management plan
• Quality management plan
• Scope baseline
• Schedule baseline
• Cost baseline

Project Documents Updates Project documents updates may include updates to the following:

• Cost forecasts
• Issue log
• Lessons learned register
• Risk register
• Schedule forecasts

Inputs of Control Procurements

Know the following inputs of the Control Procurements process:

• Project management plan
• Project documents
• Agreements
• Procurement documentation
• Approved change requests
• Work performance data
• Enterprise environmental factors
• Organizational process assets

Project Management Plan The project management plan includes the procurement management plan, which guides the project management team in carrying out the procurement process. It also documents how the contracts will be managed through to closure. Other elements that serve as inputs to this process include the requirements management plan, risk management plan, change management plan, and schedule baseline.

Project Documents Several project documents inform this process and can include but are not limited to the following:

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

Agreements To administer the relevant contracts, you must first include each contract as an input to this process. The purpose is to ensure that the terms and conditions are met.

Procurement Documentation Procurement documents may include the following supporting documents:

• Procurement contract awards
• Procurement statement of work

Approved Change Requests Approved change requests include changes that have been approved to the contract, such as these:

• Modifications to deliverables
• Changes to the product or service of the project
• Changes in contract terms
• Termination for poor performance

Work Performance Data Work performance data involves monitoring work results and examining the vendor’s deliverables. This includes monitoring their work results against the project management plan and making sure that certain activities are performed correctly and in sequence.

Enterprise Environmental Factors The enterprise environmental factors provide the following information utilized by this process:

• Contract change control system
• Marketplace conditions
• Financial management and accounts payable system
• Buying organization’s code of ethics

Organizational Process Assets Procurement policies are the primary, but not only, organizational process assets used as inputs.

Tools and Techniques of Control Procurements

Be familiar with the following tools and techniques of the Control Procurements process:

• Expert judgment
• Claims administration
• Data analysis
• Inspection
• Audits

Expert Judgment Individuals or groups with specialized knowledge or training in the following areas should be consulted:

• Relevant functional areas such as finance, engineering, design, development, supply chain management, and other applicable areas
• Laws, regulations, and compliance requirements
• Claims administration

Claims Administration Claims administration involves documenting, monitoring, and managing contested changes to the contract. Contested changes usually involve a disagreement about the compensation to the vendor for implementing the change. Here are some things to know about claims administration:

• Contested changes are also known as disputes, claims, or appeals.
• Claims can be settled directly between the parties themselves, through the court system, or by a process called arbitration.

Data Analysis In the scope of this process, data analytical techniques can be used to monitor and control procurements. The PMBOK^® Guide provides the following examples:

• Performance reviews for contracts measure, compare, and analyze quality, resource, schedule, and cost performance against the agreement.
• Earned value analysis (specifically schedule and cost variances) calculates indexes to determine the degree of variance from the target.
• Trend analysis can develop a forecast estimate at completion (EAC) to see if performance is improving or deteriorating.

Inspection Inspections are structured reviews of work being performed by a contractor.

Audits Audits are structured reviews of the procurement process.

Outputs of Control Procurements

Know the following seven outputs of the Control Procurements process:

• Closed procurements
• Work performance information
• Procurement documentation updates
• Change requests
• Project management plan updates
• Project documents updates
• Organizational process assets updates

Closed Procurements After procured work has been completed, an authorized procurement administrator for the buyer provides the seller with formal written notice that the contract has been completed. A contract is closed when all deliverables have been completed and meet any technical or quality requirements, there are no outstanding claims or invoices, and all payments have been made.

Work Performance Information Work performance information reflects performance data of the vendor that has been analyzed. The information will be used to make decisions about any corrective action or changes needed regarding the vendor’s performance.

Procurement Documentation Updates Procurement documentation may require updates as a part of this process. This would include updating the contract with all supporting schedules, requested unapproved contract changes, and approved change requests. Additionally, seller-developed technical documentations, deliverables, seller performance reports and warranties, financial documents, and the results of contract-related inspection may also be updated.

Change Requests Change requests may result from performing the Control Procurements process and may include changes to plans and baselines. Changes may involve addressing any vendor-related performance issues or may even include requests for contract changes.

Change requests are submitted and processed through the project’s change control system.

Project Management Plan Updates Project management plan updates that may result from the Control Procurements process typically include updates to the procurement management plan and baselines. Other plans that may receive updates include the risk management plan as well as the cost and schedule baselines.

Project Documents Updates Project documents typically updated as a result of carrying out this process include procurement documentation. Procurement documentation produced as part of this process includes but is not limited to the following:

• Lessons learned register
• Resource requirements
• Requirements traceability matrix
• Risk register
• Stakeholder register

Organizational Process Assets Updates According to the PMBOK^® Guide, organizational process assets updates typically include the following items:

Payment Schedules and Requests Payment schedules and requests include information about paying the vendor on time and verifying that payment terms have been met and warrant payment.

Seller Performance Evaluation Documentation Seller performance evaluation is a written record of the seller’s performance on the contract and is prepared by the buyer. It should include information about whether the seller successfully met contract dates and fulfilled the requirements of the contract and/or contract statement of work and whether the work was satisfactory.

Prequalified Seller Lists Updates Prequalified seller lists are lists of potential sellers who are preapproved to do work for a buyer. At the conclusion of a project, these lists are updated because sellers could be disqualified and removed from the lists due to subpar performance. Additionally, the list should be updated when sellers meet or exceed expectations.

Lessons Learned Repository To help improve procurements on future projects, the lessons learned should be updated with a comparison of the actual results to the original requests. This should state whether the project objectives were achieved and any reasons they were not.

Procurement File A complete, indexed set of contract documentation, including the closed contract, is included in the final project files.

Inputs of Validate Scope

Know the following inputs of the Validate Scope process:

• Project management plan
• Project documents
• Verified deliverables
• Work performance data

Project Management Plan The scope management plan and scope baseline are used from the project management plan. The scope baseline includes the project scope statement, work breakdown structure (WBS), and WBS dictionary, all of which will be utilized by this process. The requirements management plan may also be consulted.

Project Documents To validate the scope of the project work, the project, product, technical requirements, and any others must be included as an input to this process. Several project documents inform this process, and can include but are not limited to the following:

• Lessons learned register
• Quality reports
• Requirements documentation
• Requirements traceability matrix

Verified Deliverables Verified deliverables include deliverables that have been verified through the Control Quality process. The quality team verifies that deliverables have been completed correctly.

Work Performance Data Work performance data reflects raw data relating to the deliverables, which is used to determine the degree of compliance against the requirements. This can include the number and severity of nonconformities and/or total validation cycles performed.

Tools and Techniques of Validate Scope

The Validate Scope process has two tools and techniques: inspection and group decision-making techniques.

Inspection According to the PMBOK^® Guide, inspection is concerned with making sure the project work and deliverables meet the requirements and product acceptance criteria. This may include ensuring, examining, and validation activities.

Decision Making Voting, the primary form of decision making in this process, is used to reach a conclusion when validation is performed.

Outputs of Validate Scope

The Validate Scope process results in four outputs:

Accepted Deliverables The accepted deliverables output signifies that the deliverables have been formally accepted and signed off by the customer or sponsor. This output, along with related documentation, is then fed into the Close Project or Phase process at the appropriate time.

Work Performance Information Work performance information includes performance-related information relating to deliverables, such as which have been completed or accepted.

Change Requests Change requests addresses deliverables that were rejected or not formally accepted. Remember, these deliverables may require a change request for defect repair.

Project Documents Updates Project documents updates typically include updates to the following items:

• Lessons learned register
• Requirements documentation
• Requirements traceability matrix

Inputs of Control Scope

Know the following inputs of the Control Scope process:

• Project management plan
• Project documents
• Work performance data
• Organizational process assets

Project Management Plan The following components of the project management plan are utilized in controlling scope:

• Scope management plan
• Requirements management plan
• Change management plan
• Configuration management plan
• Scope baseline
• Performance measurement baseline

Project Documents Several project documents inform this process and can include but are not limited to the following:

• Lessons learned register
• Requirements documentation
• Requirements traceability matrix

Work Performance Data Work performance data provides the status and progress of deliverables.

Organizational Process Assets Organizational process assets utilized in this process include any policies, procedures, guidelines, and reporting methods that relate to scope control.

Tools and Techniques of Control Scope

The Control Scope process has one tool and technique: data analysis. Data analysis may include two components, variance analysis and trend analysis. Variance analysis includes reviewing project performance measurements to determine whether there are variances in project scope and whether any corrective action is needed as a result of existing variances. Trend analysis compares the project performance over time to determine if performance is improving or deteriorating.

Outputs of Control Scope

The Control Scope process results in the following outputs:

• Work performance information
• Change requests
• Project management plan updates
• Project documents updates

Work Performance Information Work performance information documents the results of comparing planned and actual scope performance. This information will be used when making scope-related decisions.

Change Requests When scope changes are requested, all areas of the project should be investigated to determine what the changes would impact. Change requests typically involve the scope baseline or other components of the project management plan. Refer to the Perform Integrated Change Control process to make sure change requests are processed for review accordingly.

Project Management Plan Updates Depending on the approved changes, updates to the project management plan may result in changes to the scope management plan as well as the scope, schedule, cost, and performance measurement baselines.

Project Documents Updates Updates to project documents that occur as a result of this process typically include the lessons learned register, requirements documentation, and requirements traceability matrix.

Inputs of Control Schedule

Know the following inputs of the Control Schedule process:

• Project management plan
• Project documents
• Work performance data
• Organizational process assets

Project Management Plan The schedule management plan, schedule baseline, scope baseline, and performance measurement baseline are used to carry out the Control Schedule process from within the project management plan.

Project Documents Several project documents inform this process and can include but are not limited to the following:

• Lessons learned register
• Project calendars
• Project schedule
• Resource calendars
• Schedule data

Work Performance Data Work performance data provides status information on the schedule activities. This can include raw data, such as which activities have started, are in progress, or have finished.

Organizational Process Assets The following organizational process assets are utilized in this process:

• Policies, procedures, guidelines, and reporting methods relating to schedule control
• Monitoring and reporting methods
• Schedule control tools

Tools and Techniques of Control Schedule

The Control Schedule process includes the following tools and techniques:

• Data analysis
• Critical path method
• Project management information system
• Resource optimization
• Leads and lags
• Schedule compression

Data Analysis The following data analysis techniques can be used for this process:

• Earned value analysis encompasses schedule variance (SV) and schedule performance index (SPI), which can be used to determine the impact of the schedule variations and whether corrective action is necessary.
• Iteration burndown chart is a chart that is used to catalog the remaining work to be completed in the iteration backlog.
• Performance reviews in this process examine elements such as actual start and end dates for schedule activities and the remaining time to finish incomplete activities.
• Trend analysis examines the project performance over time.
• Variance analysis compares the actual start and finish dates to the planned dates, and also considers the actual/planned durations and float.
• What-if scenario analysis assesses possible scenarios as guided by the output from the Project Risk Management processes to bring the schedule model into alignment with the approved baseline.

Critical Path Method This technique compares the process along the critical path to help determine schedule status.

Project Management Information System Project management information systems, including scheduling software, can be used to track actual versus planned activity dates and the impact of any existing changes.

Resource Optimization Resource optimization techniques can leverage techniques such as resource leveling and smoothing to better distribute the work among resources. It considers both resource availability and project time.

Leads and Lags Leads and lags are adjusted during this process as a means of bringing the actual schedule back in line with the schedule baseline.

Schedule Compression Schedule compression techniques, such as fast-tracking and crashing, are used to bring the actual schedule back in line with the planned schedule.

Outputs of Control Schedule

The Control Schedule process includes the following outputs:

• Work performance information
• Schedule forecasts
• Change requests
• Project management plan updates
• Project documents updates

Work Performance Information Work performance information typically includes the calculated schedule variance (SV) and schedule performance index (SPI) values. According to the PMBOK^® Guide, SV and SPI are calculated for work packages and control accounts.

Schedule Forecasts Schedule forecasts are derived using the various tools and techniques described. Forecasts reflect the anticipated future performance of the project.

Change Requests Change requests generated as a result of this process typically include modifications to the schedule baseline. Aside from baseline changes, changes may come in the form of corrective or preventive actions as a means of getting the project back on track with the plan.

Project Management Plan Updates Project management plan updates typically include updates to the schedule baseline, cost baseline, schedule management plan, and performance measurement baseline.

Project Documents Updates The project documents updates output may require updates to the schedule data or the project schedule. Project documents updates typically include the following items:

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

Inputs of Control Costs

Know the following inputs of the Control Costs process:

• Project management plan
• Project documents
• Project funding requirements
• Work performance data
• Organizational process assets

Project Management Plan The project management plan includes the cost management plan, the cost baseline, and the performance measurement baseline, which will be utilized by this process. The cost management plan details how costs should be monitored and controlled throughout the life of the project. The cost baseline compares actual expenditures to date on the project to the baseline. The performance measurement baseline, when using the earned value analysis, is compared to actual results to decide if corrective or preventative action is needed.

Project Documents Project documents include but are not limited to the lessons learned register.

Project Funding Requirements Project funding requirements include the periodic and total project funding provided.

Work Performance Data The work performance data input provides information about the project’s progress, including authorized and incurred costs and project estimates.

Organizational Process Assets The following organizational process assets are utilized by this process:

• Policies, procedures, guidelines, and reporting methods relating to cost
• Cost control tools

Tools and Techniques of Control Costs

You should be familiar with the following tools and techniques of the Control Costs process:

• Expert judgment
• Data analysis
• To-complete performance index (TCPI)
• Project management information system

Expert Judgment Expert judgment in this process includes but is not limited to the following examples:

• Variance analysis
• Earned value analysis
• Forecasting
• Financial analysis

Data Analysis Data analysis techniques that can be used to control costs include but are not limited to the following:

Earned Value Analysis (EVA) Performance measurement analysis can be accomplished by using a technique called earned value management (EVM). EVM compares what you’ve received or produced to what you’ve spent and establishes the cause and impact of variances to determine necessary corrective action. It is the most often used performance measurement method.

EVM is performed on the work packages and the control accounts of the WBS. To perform the EVM calculations, the planned value (PV), earned value (EV), and actual cost (AC) are collected. They are defined in Table along with other terms associated with the EVM technique.

PV, AC, and EV measurements can be plotted graphically to show the variances between them. If there are no variances in the measurements, all lines on the graph remain the same, meaning that the project is progressing as planned. All of these measurements include a cost component. Costs are displayed in an S curve because spending is minimal in the beginning of the project, picks up steam toward the middle, and then tapers off at the end. This means your earned value measurements will also take on the S curve shape. Figure 8.7 shows an example that plots these three measurements.

Variance Analysis Variance analysis calculates the difference between the budget at completion and the estimate at completion. To calculate this, use the variance at completion (VAC) formula:

VAC = BAC – EAC

Variance analysis works closely with the performance reviews technique. Aside from calculating VAC, variance analysis also focuses on the cause that led to a deviation from the baselines. By determining the cause of existing or potential variance, the project management team can then formulate an effective response through a change request.

Below is a further explanation of each type of variance analysis that might be conducted.

Cost Variance Cost variance is one of the most popular variances that project managers use, and it tells you whether your costs are higher than budgeted (with a resulting negative number) or lower than budgeted (with a resulting positive number). It measures the actual performance to date or during the period against what’s been spent.

Use this formula:

CV = EV – AC

Schedule Variance Schedule variance, another popular variance, tells you whether the schedule is ahead of or behind what was planned for this period. This formula is most helpful when you’ve used the critical path methodology to build the project schedule.

Use this formula:

SV = EV – PV

Together, the CV and SV are known as efficiency indicators for the project and can be used to compare performance of all the projects in a portfolio.

Cost and schedule performance indexes are primarily used to calculate performance efficiencies, and they’re often used to help predict future project performance.

Cost Performance Index The cost performance index (CPI) measures the value of the work completed against actual cost. It is the most critical of all the EVM measurements according to the PMBOK^® Guide because it tells you the cost efficiency for the work completed to date or at the completion of the project. As mentioned previously, if CPI is greater than 1, your spending is less than anticipated. If CPI is less than 1, you are spending more than anticipated for the work completed.

Use this formula:

CPI = EV ÷ AC

Schedule Performance Index The schedule performance index (SPI) measures the progress to date against the progress that was planned. This formula should be used in conjunction with an analysis of the critical path activities to determine if the project will finish ahead of or behind schedule. As mentioned previously, if SPI is greater than 1, you are ahead of schedule. If SPI is less than 1, you are behind schedule.

Use this formula:

SPI = EV ÷ PV

Trend Analysis Trend analysis examines project performance over time to determine if performance is improving or deteriorating. Below is a further explanation of each type of trend analysis that might be conducted.

Forecasting Forecasting uses the information gathered to date and estimates the future conditions or performance of the project based on what is known when the calculation is performed.

One of the forecasting formulas used is called estimate at completion (EAC). EAC estimates the expected total cost of a work component, a schedule activity, or the project at its completion. This is the probable final value for the work component (or project).

Use this formula:

EAC = AC + bottom-up ETC

The bottom-up estimate to complete (ETC) is the amount of effort remaining based on the activities completed to date and what is thought to occur in the future. Each estimate is summed to come up with a total ETC.

According to the PMBOK^® Guide, there are four EAC forecasting formulas (see Table 8.2), which use budget at completion (BAC). BAC is the sum of all the budgets established for all the work in the work package, control account, schedule activity, or project. It’s the total planned value for the work component or project. In addition to the bottom-up ETC, there is one other formula for calculating ETC that you should be aware of for the exam. This is also listed in Table 8.2.

Reserve Analysis Reserve analysis is used to monitor and manage the amount of funds within the contingency and management reserves. Reserve analysis is covered further later in this chapter as part of controlling risks.

To-Complete Performance Index To-complete performance index (TCPI) is the projected performance level the remaining work of the project must achieve to meet the BAC or EAC. It’s calculated by dividing the work that’s remaining by the funds that are remaining.

The formula for TCPI when using the BAC is as follows:

TCPI = (BAC – EV) ÷ (BAC – AC)

When the BAC is no longer attainable, the project manager should calculate a new EAC, and this new estimate becomes the goal you’ll work toward once it’s approved by management. The formula for TCPI when EAC is your goal is as follows:

TCPI = (BAC – EV) ÷ (EAC – AC)

Project Management Information System (PMIS) Project management information systems are used to monitor PV, EV, and AC. Table shows the formulas used to calculate values.

Outputs of Control Costs

The Control Costs process results in the following outputs:

• Work performance information
• Cost forecasts
• Change requests
• Project management plan updates
• Project documents updates

Work Performance Information Work performance information includes the calculated CV, SV, CPI, SPI, TCPI, and VAC values.

Cost Forecasts Cost forecasts include the calculated EAC and ETC.

Change Requests Change requests that result from this process typically involve a change to the cost baseline.

Project Management Plan Updates Project management plan updates typically include updates to the cost baseline, performance measurement baseline, and cost management plan, which should reflect any approved changes.

Project Documents Updates Project documents updates typically include the following items:

• Assumption log
• Basis of estimates
• Cost estimates
• Lessons learned register
• Risk register

Inputs of Control Quality

Know the following inputs of the Control Quality process:

• Project management plan
• Project documents
• Approved change requests
• Deliverables
• Work performance data
• Enterprise environmental factors
• Organizational process assets

Project Management Plan The project management plan contains the quality management plan, which is used to carry out the Control Quality process.

Project Documents According to the PMBOK^® Guide, project documents typically used as part of this process include lessons learned register, quality metrics, and test and evaluation documents.

Approved Change Requests Approved change requests are requested changes that were approved through the Perform Integrated Change Control process and submitted as an input for implementation.

Deliverables Part of achieving quality is ensuring that all deliverables are completed successfully. Deliverables will be verified as part of this process.

Work Performance Data Work performance data allows the project team to evaluate actual versus planned progress in the areas of technical performance, schedule performance, and cost performance.

Enterprise Environmental Factors The enterprise environmental factors provide the following information utilized by this process:

• Project management information system, specifically quality management software
• Government agency regulations
• Rules, standards, and guidelines pertaining to the project, product, or service

Organizational Process Assets The following organizational process assets are utilized by this process:

• Standards, policies, and guidelines relating to quality standards
• Quality templates such as check sheets and checklists
• Procedures for reporting and communicating issues and defects

Tools and Techniques of Control Quality

Be familiar with the following tools and techniques of the Control Quality process and how they are utilized in this process:

• Data gathering
• Data analysis
• Inspection
• Testing/product evaluations
• Data representation
• Meetings

Data Gathering The data gathering techniques that can be used for this process include but are not limited to the following:

• Checklists
• Check sheets
• Statistical sampling (Statistical sampling involves taking a sample number of parts from the whole population and examining them to determine whether they fall in acceptable variances. The quality management plan defines how to measure the results.)
• Questionnaires and surveys

Data Analysis Performance reviews and root cause analysis (RCA) are the primary techniques used for data analysis.

Inspection Inspection involves physically looking at, measuring, or testing results to determine whether they conform to the requirements or quality standards. Inspection will tell you where problems exist and gives you the opportunity to correct them, thus leading to quality improvements. Here’s some additional information to know about inspections:

• Inspections might occur after the final product is produced or at intervals during the development of the product to examine individual components.
• Inspections are also known as reviews and peer reviews.
• Measurements that fall in a specified range are called tolerable results.
• One inspection technique uses measurements called attributes. Attribute sampling is used to verify conformance and nonconformance to predefined specifications.

Testing/Product Evaluations Organized and constructed investigations to provide information about the quality of a product or service is called testing. For projects, the testing is conducted against the project requirements to attempt to find errors, defects, bugs, or other nonconformance problems. Testing can occur throughout the project as components are completed, as well as at the end when the product or service is completed.

Data Representation Data representation techniques for this process can include cause-and-effect diagrams, control charts, histograms, and scatter diagrams. A more in-depth explanation of each of these elements is included below.

Cause-and-Effect Diagrams Cause-and-effect diagrams, also known as Ishikawa or fishbone diagrams, help identify root causes of issues. The idea is to determine the possible issues or effects of various factors. A cause and its potential sub-causes are plotted on the diagram, which resembles the skeleton of a fish. Figure 8.9 shows what the cause-and-effect diagram may look like.

Control Charts Control charts measure the results of processes over time and display the results in graph form. They provide a way of measuring variances to determine whether process variances are in or out of control.

A control chart is based on sample variance measurements. From the samples chosen and measured, the mean and standard deviation are determined. Quality is usually maintained—or said to be in control—in plus or minus three standard deviations, also referred to as the upper and lower control limits.

Figure 8.10 illustrates a sample control chart.

Out-of-control variances should be investigated to determine whether corrective action is needed.

For reference, know that standard deviation, or sigma, is equal to the following levels of quality:

• ± 1 sigma is equal to 68.27 percent.
• ± 2 sigma is equal to 95.46 percent.
• ± 3 sigma is equal to 99.73 percent.
• ± 6 sigma is equal to 99.99 percent.

If the process measurements fall in the control limits, then 99.73 percent (3 sigma) of the parts going through the process will fall in an acceptable range of the mean.

Histograms Histograms are bar charts that depict the distribution of variables over time. In the Control Quality process, the histogram usually depicts the attributes of the problem or situation.

Scatter Diagrams Scatter diagrams use two variables, one called an independent variable, which is an input, and one called a dependent variable, which is an output. Scatter diagrams display the relationship between these two elements as points on a graph. This relationship is typically analyzed to prove or disprove cause-and-effect relationships.

Figure 8.11 shows a sample scatter diagram.

While not spelled out in the PMBOK^® Guide, other control quality tools that one might encounter as a project manager are flowcharts and Pareto diagrams. They are explained below:

Flowcharts Flowcharts are diagrams that show the logical steps that must be performed to accomplish an objective; they can also show how the individual elements of a system interrelate. Flowcharting helps identify where quality problems might occur on the project and how problems occur.

Pareto Diagrams Pareto diagrams are named after Vilfredo Pareto, who is credited for discovering the theory behind them, which is based on the 80/20 rule. The 80/20 rule as it applies to quality states that a small number of causes (20 percent) create the majority of the problems (80 percent). Pareto theorized that you get the most benefit by spending the majority of time fixing the most important problems.

The information shown in Table is plotted on an example Pareto diagram shown in Figure 8.12 .

The problems are rank-ordered according to their frequency and percentage of defects. The defect frequencies in this figure appear as black bars, and the cumulative percentages of defects are plotted as circles. The rank ordering of these problems demonstrates where corrective action should be taken first.

Meetings The primary types of meetings that may be used as a part of the Control Quality process are approved change requests review and retrospectives/lesson learned.

Outputs of Control Quality

The Control Quality process results in the following outputs:

• Quality control measurements
• Verified deliverables
• Work performance information
• Change requests
• Project management plan updates
• Project documents updates

Quality Control Measurements Quality control measurements include the results of the quality control activities performed during this process.

Verified Deliverables Verified deliverables are deliverables that have been taken through the tools and techniques of this process to determine if they are correct and accurate.

Work Performance Information Work performance information reflects the performance data that has been gathered and analyzed using the various tools and techniques described as part of this process.

Change Requests Change requests to the project management plan may result from carrying out this process and will be submitted to the Perform Integrated Change Control process.

Project Management Plan Updates Updates to the project management plan typically consist of changes to the quality management plan and the process improvement plan.

Project Documents Updates Project documents updates typically include the following items:

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

Inputs of Monitor Risks

There are four inputs of the Monitor Risks process that you should know:

• Project management plan
• Project documents
• Work performance data
• Work performance reports

Project Management Plan The project management plan includes the risk management plan, which provides the necessary information for carrying out this process.

Project Documents Project documents considered as inputs for this process typically include the following:

• Issue log
• Lessons learned register
• Risk register
• Risk report

The risk register contains all of the documented information of the identified risks. It tracks and ranks individual risks, identifies the risk owner, describes risk triggers and residual risks, and lists the response plans and strategies you should implement in the event of an actual risk event. The risk register is fluid, meaning that additions, subtractions, and updates will be made throughout the project.

The risk report assesses the overall project risk exposure as well as agreed-upon risk response strategy.

Work Performance Data Work performance data is used in monitoring previously identified risks. It also includes information that may assist in the identification of risk triggers, indicating that a risk event is about to occur.

Work Performance Reports Work performance reports are examined from the perspective of risk and include information such as status reports, performance measurements, and forecasts.

Tools and Techniques of Monitor Risks

Know the following tools and techniques of the Monitor Risks process:

• Data analysis
• Audits
• Meetings

Data Analysis Technical performance analysis and reserve analysis are the two primary techniques for this process.

Technical performance analysis compares the technical accomplishments of project milestones completed during the Executing processes to the technical milestones defined in the Planning processes. Variations may indicate risk.

Reserve analysis compares the amount of contingency reserve remaining to the amount of risk remaining in the project. The idea is to determine whether the contingency reserve is sufficient.

As part of data analysis, variance and trend analysis looks at the planned results in comparison with the actual results. Deviations may indicate risk.

Audits Risk audits are specifically used to examine the implementation of response plans and their effectiveness at dealing with risks and their root causes. They are also used to determine the effectiveness of the risk management processes.

Meetings Meetings, typically held in the form of status meetings, are used as a means of discussing risks with the project team. Risk reviews are important for this process and should examine and document the effectiveness of risk responses in dealing with overall and individual project risks.

Outputs of Monitor Risks

The Monitor Risks process produces the following five outputs:

• Work performance information
• Change requests
• Project management plan updates
• Project documents updates
• Organizational process assets updates

Work Performance Information Work performance information reflects the risk-related information that has been gathered and analyzed as part of this process.

Change Requests Recommended corrective actions or preventive actions may result from contingency plans or workarounds that were implemented as part of the Monitor Risks process. Change requests are submitted to the Perform Integrated Change Control process.

Project Management Plan Updates The project management plan may include updates to the following documents, among others:

• Schedule management plan
• Cost management plan
• Quality management plan
• Procurement management plan
• Resource management plan
• WBS within the scope baseline
• Schedule baseline
• Cost baseline

Project Documents Updates The result of carrying out this process typically includes the following items:

• Assumption log
• Issue log
• Lessons learned register
• Risk register
• Risk report

As noted earlier, the risk register is typically updated as a result of carrying out this process and typically results in the following:

• Addition of newly identified risks
• Updates to the probability and impact, priority, response plans, and ownership of previously identified risks
• Outcome of the project’s risks and their risk responses

Organizational Process Assets Updates The following updates are typically made to the organizational process assets:

• Risk management templates
• Risk breakdown structure (RBS)
• Lessons learned

Inputs of Perform Integrated Change Control

There are six inputs of the Perform Integrated Change Control process:

• Project management plan
• Project documents
• Work performance reports
• Change requests
• Enterprise environmental factors
• Organizational process assets

Project Management Plan The project management plan includes several documents that will be utilized in this process, such as the approved schedule, budget, and scope. These documents will be used when reviewing submitted changes. Other components include the change management plan and the configuration management plan.

Project Documents The following project documents are typically considered as inputs for this process:

• Basis of estimates
• Requirements traceability matrix
• Risk report

Work Performance Reports Work performance reports include performance results, such as status of deliverables, schedule progress, and reports containing earned value management.

Change Requests Change requests include requests that have been submitted for review and approval, such as corrective action, preventive action, and defect repairs. All change requests must be submitted in writing. Figure 8.15 reiterates that all change requests are submitted as inputs into the Perform Integrated Change Control process.

Enterprise Environmental Factors Enterprise environmental factors used to carry out this process include but are not limited to the following:

• Legal restrictions, including country or local regulations
• Government or industry standards
• Legal and regulatory requirements/constraints
• Organizational governance framework
• Contracting and purchasing constraints

Organizational Process Assets The following organizational process assets are utilized by this process:

• Change control and authorization procedures
• Process measurement database
• Configuration management knowledge base

Tools and Techniques of Perform Integrated Change Control

The Perform Integrated Change Control process has five tools and techniques that you will need to be familiar with.

Expert Judgment The following individuals or groups with specialized knowledge or training in the following topics should be consulted:

• Technical knowledge of the industry and focus area of the project
• Legislation and regulations
• Legal and procurement
• Configuration management
• Risk management

Change Control Tools Change control tools come in the form of manual or automated systems that are used to help facilitate the change management process. Tools should support the following configuration activities:

• Identify configuration item
• Record and report configuration item status
• Perform configuration item verification and audit
• Identify changes
• Document changes
• Decide on changes
• Track changes

You will also need to know about configuration management systems and change control systems, which are not listed as tools and techniques of the process but directly influence how the process is carried out.

Data Analysis There are two primary techniques used for this process: alternatives analysis and cost-benefit analysis.

Decision Making The following decision-making techniques can be used for this process:

• Voting
• Autocratic decision making
• Multicriteria decision analysis

Meetings Change control meetings are meetings in which the change control board reviews and makes decisions on submitted change requests. Roles and responsibilities for a change control board, when they are needed on the project, are clearly defined and agreed upon by appropriate stakeholders. The change control board is established to review all change requests and is given the authority to approve or deny them. This authority is defined by the organization. The decisions should be documented and reviewed by stakeholders.

Outputs of Perform Integrated Change Control

Know the three outputs of the Perform Integrated Change Control process:

Approved Change Requests This output reflects the list of submitted changes that have been approved by the change control board.

Project Management Plan Updates Project management plan updates are made to reflect changes that have been approved or rejected after going through the Perform Integrated Change Control process. This may include changes to the following documents:

• Baselines
• Subsidiary management plans

Project Documents Updates Project documents updates may include updates to any documents impacted by approved or rejected changes as well as the change request log, which will reflect the status update of the change requests.

Inputs of Monitor Communications

The Monitor Communications process includes the following inputs:

• Project management plan
• Project documents
• Work performance data
• Enterprise environmental factors
• Organizational process assets

Project Management Plan The project management plan components for this process include but are not limited to the following:

• Resources management plan
• Communications management plan
• Stakeholder engagement plan

Project Documents The following project documents are the primary inputs to this process:

• Issue log
• Lessons learned register
• Project communications

Work Performance Data Work performance data is collected throughout the Monitoring and Controlling processes. Information such as status of deliverables, schedule, and costs is used in the Monitor Communications process.

Enterprise Environmental Factors Enterprise environmental factors used to carry out this process include but are not limited to the following:

• Organizational culture, political climate, and governance framework
• Established communications channels, tools, and systems
• Global, regional, or local trends and practices
• Geographic distribution of facilities or resources

Organizational Process Assets The following organizational process assets are used in the Monitor Communications process:

• Corporate policies and procedures for social media, ethics, and security
• Organization communications requirements
• Standardized guidelines for development, exchange, storage, and retrieval of information
• Historical information and lessons learned repository
• Stakeholder and communications data

Tools and Techniques of Monitor Communications

You should know the following five tools and techniques of the Monitor Communications process:

• Expert judgment
• Project management information system
• Data representation
• Interpersonal and team skills
• Meetings

Expert Judgment Expert judgment is key to assessing project communication and information to understand its impact and then make decisions accordingly. Individuals and groups with specialized knowledge or training in the following topics should be consulted:

• Communications with the public, the community, and the media
• Communications in an international environment between virtual groups
• Communications and project management systems

Project Management Information System The project management information system can be used by the project manager to capture, store, and disseminate information to project stakeholders. These systems may be complex or may be through the use of a simple spreadsheet.

Data Representation The stakeholder engagement assessment matrix is a primary technique for this process, which can provide information about the effectiveness of communications activities.

Interpersonal and Team Skills The interpersonal and team skills used in this process are observation and conversation. The most appropriate way to update and communicate project performance is through discussion and dialogue.

Meetings Meetings are typically used in the Monitor Communications process to facilitate discussion among project team members and other relevant subject matter experts. Examples of discussions that occur as part of this process include analysis and decision making with regard to issue resolution and dissemination of information.

Outputs of Monitor Communications

The Monitor Communications process results in four outputs:

• Work performance information
• Change requests
• Project management plan updates
• Project documents updates

Work Performance Information Work performance information consists of information that has been analyzed or summarized as a result of carrying out this process. As this information is captured and documented, it can then be distributed to the appropriate stakeholders.

Change Requests The following changes may be requested as a result of carrying out this process:

• Revision of stakeholder communication requirements, including stakeholders’ information distribution, content or format, and distribution method
• New procedures to eliminate bottlenecks

Project Management Plan Updates Updates to the project management plan typically include the communications management plan and stakeholder engagement plan.

Project Documents Updates Project documents typically updated as a result of carrying out this process include issue log, lessons learned register, and stakeholder communications register.

Inputs of Monitor Stakeholder Engagement

There are five inputs of the Monitor Stakeholder Engagement process:

• Project management plan
• Project documents
• Work performance data
• Enterprise environmental factors
• Organizational process assets

Project Management Plan The project management plan contains the stakeholder engagement plan, which guides the project manager in carrying out the process. Additionally, the communications management plan and resource management plan serve as inputs to this process.

Project Documents Documents typically referred to as part of the Monitor Stakeholder Engagement process include the lessons learned register, stakeholder register, issue logs, risk register, and project communications.

Work Performance Data Work performance data includes measurements captured throughout the Monitoring and Controlling processes. Examples of data that may be used as part of this process includes what work has been completed, change requests submitted, and technical performance measurements.

Enterprise Environmental Factors Enterprise environmental factors used to carry out this process include but are not limited to the following:

• Organizational culture, political climate, and governance framework
• Personnel administration policies
• Stakeholder risk thresholds
• Established channels of communication
• Global, regional, or local trends and practices
• Geographic distribution of facilities and resources

Organizational Process Assets The following organizational process assets are utilized by this process:

• 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
• Historical project information

Tools and Techniques of Monitor Stakeholder Engagement

The Monitor Stakeholder Engagement process has six tools and techniques that you will need to be familiar with.

Data Analysis Three primary data analysis techniques come into play with this process: alternatives analysis, root cause analysis, and stakeholder analysis.

Decision Making Multicriteria decision analysis and voting are two of the decision-making techniques that can be used for the Monitor Stakeholder Engagement process.

Data Representation The stakeholder engagement assessment matrix is the primary, but not sole, data representation technique used for this process.

Communication skills Feedback and presentations are the two primary techniques used for this process.

Interpersonal and Team Skills Several interpersonal skills are used for this process:

• Active listening
• Cultural and political awareness
• Leadership
• Networking

Meetings Meetings are often used to bring experts together to analyze information obtained when carrying out a process and making decisions based on this information.

Outputs of Monitor Stakeholder Engagement

Know the four outputs of the Monitor Stakeholder Engagement process:

Work Performance Information As with other processes that fall in the Monitoring and Controlling process group, performance data that has been captured and analyzed is documented as an output. This information is key in making decisions at the project level.

Change Requests As the process is carried out, corrective actions or preventive actions may be needed. These are submitted in the form of change requests, which are then funneled into the change control process.

Project Management Plan Updates Various subsidiary plans, such as the stakeholder engagement plan, resource management plan, and communications management plan, may need to be updated as a result of carrying out this process.

Project Documents Updates Project documents typically updated as a result of carrying out this process include the issue log, lessons learned register, risk register, and stakeholder register.