Project Monitoring and Control (PMC)
A Project Management Process Area at Maturity Level 2
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 Practices by Goal
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
Records of project performance
Records of significant deviations
Subpractice 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
Subpractice 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
Subpractice 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
Subpractice 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
Subpractice 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
Subpractice 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
Records of commitment reviews
Subpractice 1: Regularly review commitments (both external and internal).
Subpractice 2: Identify commitments that have not been satisfied or that are at significant risk of not being satisfied.
Subpractice 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
Records of project risk monitoring
Subpractice 1: Periodically review the documentation of the risks in the context of the project’s current status and circumstances.
Subpractice 2: Revise the documentation of the risks, as additional information becomes available, to incorporate changes.
Subpractice 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
Records of data management
Subpractice 1: Periodically review data management activities against their description in the project plan.
Subpractice 2: Identify and document significant issues and their impacts.
Subpractice 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
Records of stakeholder involvement
Subpractice: 1 Periodically review the status of stakeholder involvement.
Subpractice: 2 Identify and document significant issues and their impacts.
Subpractice: 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
Documented project review results
Subpractice 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.
Subpractice 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.
Subpractice 3: Identify and document significant issues and deviations from the plan.
Subpractice 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.
Subpractice 5: Document the results of the reviews.
Subpractice 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
Documented milestone review results
Subpractice 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.
Subpractice 2: Review the commitments, plan, status, and risks of the project.
Subpractice 3: Identify and document significant issues and their impacts.
Subpractice 4: Document the results of the review, action items, and decisions.
Subpractice 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.
Many product integration problems arise from unknown or uncontrolled aspects of both internal and external interfaces. Effective management of product component interface requirements, specifications, and designs helps ensure that implemented interfaces will be complete and compatible.
SP 2.1 Analyze Issues
Collect and analyze the issues and determine the corrective actions necessary to address the issues.
Typical Work Products
List of issues needing corrective actions
Subpractice 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
Subpractice 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
Corrective action plan
Subpractice 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
Subpractice 2: Review and get agreement with relevant stakeholders on the actions to be taken.
Subpractice 3: Negotiate changes to internal and external commitments.
SP 2.3 Manage Corrective Action
Manage corrective actions to closure.
Typical Work Products
Corrective action results
Subpractice 1: Monitor corrective actions for completion.
Subpractice 2: Analyze results of corrective actions to determine the effectiveness of the corrective actions.
Subpractice 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.
Generic Practices by Goal
GG 1 Achieve Specific Goals
The process supports and enables achievement of the specific goals of the process area by transforming identifiable input work products to produce identifiable output work products.
GP 1.1 Perform Specific Practices
Perform the specific practices of the project monitoring and control process to develop work products and provide services to achieve the specific goals of the process area.
GG 2 Institutionalize a Managed Process
The process is institutionalized as a managed process.
GP 2.1 Establish an Organizational Policy
Establish and maintain an organizational policy for planning and performing the project monitoring and control process.
Elaboration:
This policy establishes organizational expectations for monitoring performance against the project plan and managing corrective action to closure when actual performance or results deviate significantly from the plan.
GP 2.2 Plan the Process
Establish and maintain the plan for performing the project monitoring and control process.
Elaboration:
This plan for performing the project monitoring and control process can be part of (or referenced by) the project plan, as described in the Project Planning process area.
GP 2.3 Provide Resources
Provide adequate resources for performing the project monitoring and control process, developing the work products, and providing the services of the process.
Elaboration:
Examples of resources provided include the following tools:
Cost tracking systems
Effort reporting systems
Action item tracking systems
Project management and scheduling programs
GP 2.4 Assign Responsibility
Assign responsibility and authority for performing the process, developing the work products, and providing the services of the project monitoring and control process.
GP 2.5 Train People
Train the people performing or supporting the project monitoring and control process as needed.
Elaboration:
Examples of training topics include the following:
Monitoring and control of projects
Risk management
Data management
GP 2.6 Manage Configurations
Place designated work products of the project monitoring and control process under appropriate levels of control.
Elaboration:
Examples of work products placed under control include the following:
Project schedules with status
Project measurement data and analysis
Earned value reports
GP 2.7 Identify and Involve Relevant Stakeholders
Identify and involve the relevant stakeholders of the project monitoring and control process as planned.
Elaboration:
Refer to Table 6.2 on page 95 in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.7 and the Monitor Stakeholder Involvement practice in the Project Monitoring and Control process area.
Examples of activities for stakeholder involvement include the following:
Assessing the project against the plan
Reviewing commitments and resolving issues
Reviewing project risks
Reviewing data management activities
Reviewing project progress
Managing corrective actions to closure
GP 2.8 Monitor and Control the Process
Monitor and control the project monitoring and control process against the plan for performing the process and take appropriate corrective action.
Elaboration:
Refer to Table 6.2 on page 95 in Generic Goals and Generic Practices for more information about the relationship between generic practice 2.8 and the Project Monitoring and Control process area.
Examples of measures and work products used in monitoring and controlling include the following:
Number of open and closed corrective actions
Schedule with status for monthly financial data collection, analysis, and reporting
Number and types of reviews performed
Review schedule (planned versus actual and slipped target dates)
Schedule for collection and analysis of monitoring data
GP 2.9 Objectively Evaluate Adherence
Objectively evaluate adherence of the project monitoring and control process against its process description, standards, and procedures, and address noncompliance.
Elaboration:
Examples of activities reviewed include the following:
Monitoring project performance against the project plan
Managing corrective actions to closure
Examples of work products reviewed include the following:
Records of project performance
Project review results
GP 2.10 Review Status with Higher Level Management
Review the activities, status, and results of the project monitoring and control process with higher level management and resolve issues.
GG 3 Institutionalize a Defined Process
The process is institutionalized as a defined process.
This generic goal's appearance here reflects its location in the continuous representation.
GP 3.1 Establish a Defined Process
Establish and maintain the description of a defined project monitoring and control process.
GP 3.2 Collect Improvement Information
Collect work products, measures, measurement results, and improvement information derived from planning and performing the project monitoring and control process to support the future use and improvement of the organization’s processes and process assets.
Elaboration:
Examples of work products, measures, measurement results, and improvement information include the following:
Records of significant deviations
Criteria for what constitutes a deviation
Corrective action results
GG 4 Institutionalize a Quantitatively Managed Process
The process is institutionalized as a quantitatively managed process.
GP 4.1 Establish Quantitative Objectives for the Process
Establish and maintain quantitative objectives for the project monitoring and control process, which address quality and process performance, based on customer needs and business objectives.
GP 4.2 Stabilize Subprocess Performance
Stabilize the performance of one or more subprocesses to determine the ability of the project monitoring and control process to achieve the established quantitative quality and process-performance objectives.
GG 5 Institutionalize an Optimizing Process
The process is institutionalized as an optimizing process.
GP 5.1 Ensure Continuous Process Improvement
Ensure continuous improvement of the project monitoring and control process in fulfilling the relevant business objectives of the organization.
GP 5.2 Correct Root Causes of Problems
Identify and correct the root causes of defects and other problems in the project monitoring and control process.
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