4.13. PROJECT MONITORING AND CONTROL

Purpose
The purpose of Project Monitoring and Control (PMC) is to provide an understanding of the project’s progress so that appropriate corrective actions can be taken when the project’s performance deviates significantly from the plan.

Introductory Notes
A project’s documented plan is the basis for monitoring activities, communicating status, and taking corrective action. Progress is primarily determined by comparing actual work product and task attributes, effort, cost, and schedule to the plan at prescribed milestones or control levels within the project schedule or work breakdown structure (WBS). Appropriate visibility enables timely corrective action to be taken when performance deviates significantly from the plan. A deviation is significant if, when left unresolved, it precludes the project from meeting its objectives.
The term “project plan” is used throughout these practices to refer to the overall plan for controlling the project.
When actual status deviates significantly from the expected values, corrective actions are taken as appropriate. These actions may require replanning, which may include revising the original plan, establishing new agreements, or including additional mitigation activities within the current plan.
Related Process Areas
Refer to the Project Planning process area for more information about the project plan, including how it specifies the appropriate level of project monitoring, the measures used to monitor progress, and known risks.
Refer to the Measurement and Analysis process area for information about the process of measuring, analyzing, and recording information.

Specific Goal and Practice Summary

SG 1 Monitor Project Against Plan
SP 1.1 Monitor Project Planning Parameters
SP 1.2 Monitor Commitments
SP 1.3 Monitor Project Risks
SP 1.4 Monitor Data Management
SP 1.5 Monitor Stakeholder Involvement
SP 1.6 Conduct Progress Reviews
SP 1.7 Conduct Milestone Reviews

SG 2 Manage Corrective Action to Closure
SP 2.1 Analyze Issues
SP 2.2 Take Corrective Action
SP 2.3 Manage Corrective Action

SG 1 Monitor Project Against Plan

Actual performance and progress of the project are monitored against the project plan.

SP 1.1 Monitor Project Planning Parameters

Monitor the actual values of the project planning parameters against the project plan.

Project planning parameters constitute typical indicators of project progress and performance and include attributes of work products and tasks, cost, effort, and schedule. Attributes of the work products and tasks include such items as size, complexity, weight, form, fit, or function.
Monitoring typically involves measuring the actual values of project planning parameters, comparing actual values to the estimates in the plan, and identifying significant deviations. Recording actual values of the project planning parameters includes recording associated contextual information to help understand the measures. An analysis of the impact that significant deviations have on determining what corrective actions to take is handled in the second specific goal and its specific practices in this process area.
Typical Work Products
1. Records of project performance
2. Records of significant deviations
Subpractices
1. Monitor progress against the schedule.

Progress monitoring typically includes the following:
· Periodically measuring the actual completion of activities and milestones
· Comparing actual completion of activities and milestones against the schedule documented in the project plan
· Identifying significant deviations from the schedule estimates in the project plan
2. Monitor the project's cost and expended effort.
Effort and cost monitoring typically includes the following:
· Periodically measuring the actual effort and cost expended and staff assigned
· Comparing actual effort, costs, staffing, and training to the estimates and budget documented in the project plan
· Identifying significant deviations from the budget in the project plan
3. Monitor the attributes of the work products and tasks.
Refer to the Project Planning process area for information about the attributes of work products and tasks.
Monitoring the attributes of the work products and tasks typically includes the following:
· Periodically measuring the actual attributes of the work products and tasks, such as size or complexity (and the changes to the attributes)
· Comparing the actual attributes of the work products and tasks (and the changes to the attributes) to the estimates documented in the project plan
· Identifying significant deviations from the estimates in the project plan
4. Monitor resources provided and used.
Refer to the Project Planning process area for information about planned resources.
Examples of resources include the following:
· Physical facilities
· Computers, peripherals, and software used in design, manufacturing, testing, and operation
· Networks
· Security environment
· Project staff
· Processes

5. Monitor the knowledge and skills of project personnel.
Refer to the Project Planning process area for information about planning for knowledge and skills needed to perform the project.
Monitoring the knowledge and skills of the project personnel typically includes the following:
· Periodically measuring the acquisition of knowledge and skills by project personnel
· Comparing actual training obtained to that documented in the project plan
· Identifying significant deviations from estimates in the project plan
6. Document the significant deviations in the project planning parameters.

SP 1.2 Monitor Commitments

Monitor commitments against those identified in the project plan.

Typical Work Products
1. Records of commitment reviews
Subpractices
1. Regularly review commitments (both external and internal).
2. Identify commitments that have not been satisfied or that are at significant risk of not being satisfied.
3. Document the results of the commitment reviews.

SP 1.3 Monitor Project Risks

Monitor risks against those identified in the project plan.

Refer to the Project Planning process area for more information about identifying project risks.
Refer to the Risk Management process area for more information about risk management activities.
Typical Work Products
1. Records of project risk monitoring
Subpractices
1. Periodically review the documentation of the risks in the context of the project’s current status and circumstances.
2. Revise the documentation of the risks, as additional information becomes available, to incorporate changes.
3. Communicate risk status to relevant stakeholders.
Examples of risk status include the following:
· A change in the probability that the risk occurs
· A change in risk priority

SP 1.4 Monitor Data Management

Monitor the management of project data against the project plan.

Refer to the Plan for Data Management specific practice in the Project Planning process area for more information about identifying the types of data that should be managed and how to plan for their management.
Once the plans for the management of project data are made, the management of that data must be monitored to ensure that those plans are accomplished.
Typical Work Products
1. Records of data management
Subpractices
1. Periodically review data management activities against their description in the project plan.
2. Identify and document significant issues and their impacts.
3. Document the results of data management activity reviews.

SP 1.5 Monitor Stakeholder Involvement

Monitor stakeholder involvement against the project plan.

Refer to the Plan Stakeholder Involvement specific practice in the Project Planning process area for more information about identifying relevant stakeholders and planning the appropriate involvement with them.
Once the stakeholders are identified and the extent of their involvement within the project is specified in project planning, that involvement must be monitored to ensure that the appropriate interactions are occurring.
Typical Work Products
1. Records of stakeholder involvement
Subpractices
1. Periodically review the status of stakeholder involvement.
2. Identify and document significant issues and their impacts.
3. Document the results of the stakeholder involvement status reviews.

SP 1.6 Conduct Progress Reviews

Periodically review the project's progress, performance, and issues.

Progress reviews are reviews on the project to keep stakeholders informed. These project reviews can be informal reviews and may not be specified explicitly in the project plans.
Typical Work Products
1. Documented project review results
Subpractices
1. Regularly communicate status on assigned activities and work products to relevant stakeholders.
Managers, staff members, customers, end users, suppliers, and other relevant stakeholders within the organization are included in the reviews as appropriate.
2. Review the results of collecting and analyzing measures for controlling the project.
Refer to the Measurement and Analysis process area for more information about the process for measuring and analyzing project performance data.
3. Identify and document significant issues and deviations from the plan.
4. Document change requests and problems identified in any of the work products and processes.
Refer to the Configuration Management process area for more information about how changes are managed.
5. Document the results of the reviews.
6. Track change requests and problem reports to closure.

SP 1.7 Conduct Milestone Reviews

Review the accomplishments and results of the project at selected project milestones.

Refer to the Project Planning process area for more information about milestone planning.
Milestone reviews are planned during project planning and are typically formal reviews.

Typical Work Products
1. Documented milestone review results
Subpractices
1. Conduct reviews at meaningful points in the project’s schedule, such as the completion of selected stages, with relevant stakeholders.
Managers, staff members, customers, end users, suppliers, and other relevant stakeholders within the organization are included in the milestone reviews as appropriate.
2. Review the commitments, plan, status, and risks of the project.
3. Identify and document significant issues and their impacts.
4. Document the results of the review, action items, and decisions.
5. Track action items to closure.

SG 2 Manage Corrective Action to Closure

Corrective actions are managed to closure when the project's performance or results deviate significantly from the plan.

SP 2.1 Analyze Issues

Collect and analyze the issues and determine the corrective actions necessary to address the issues.

Typical Work Products
1. List of issues needing corrective actions
Subpractices
1. Gather issues for analysis.
Issues are collected from reviews and the execution of other processes.
Examples of issues to be gathered include the following:
· Issues discovered through performing verification and validation activities
· Significant deviations in the project planning parameters from the estimates in the project plan
· Commitments (either internal or external) that have not been satisfied
· Significant changes in risk status
· Data access, collection, privacy, or security issues
· Stakeholder representation or involvement issues


2. Analyze issues to determine need for corrective action.
Refer to the Project Planning process area for information about corrective action criteria.
Corrective action is required when the issue, if left unresolved, may prevent the project from meeting its objectives.

SP 2.2 Take Corrective Action

Take corrective action on identified issues.

Typical Work Products
1. Corrective action plan
Subpractices
1. Determine and document the appropriate actions needed to address the identified issues.
Refer to the Project Planning process area for more information about the project plan when replanning is needed.
Examples of potential actions include the following:
· Modifying the statement of work
· Modifying requirements
· Revising estimates and plans
· Renegotiating commitments
· Adding resources
· Changing processes
· Revising project risks

2. Review and get agreement with relevant stakeholders on the actions to be taken.
3. Negotiate changes to internal and external commitments.

SP 2.3 Manage Corrective Action

Manage corrective actions to closure.

Typical Work Products
1. Corrective action results

Subpractices
1. Monitor corrective actions for completion.
2. Analyze results of corrective actions to determine the effectiveness of the corrective actions.
3. Determine and document appropriate actions to correct deviations from planned results for corrective actions.

Lessons learned as a result of taking corrective action can be inputs to planning and risk management processes.