The purpose of the Monitoring and Controlling Process Group is to review project work results and compare them to planned results. A significant variance indicates the need for preventive actions, corrective actions, or change requests. There are 11 processes in the Monitoring and Controlling Process Group:
The intent of the Monitoring and Controlling Process Group is to at least:
Monitoring and controlling takes place throughout the project, from inception to closing. All variances are identified, and all change requests are processed here. The product deliverables are also accepted in the monitoring and controlling processes.
The forms used to document these activities include:
The team member status report is filled out by team members and submitted to the project manager on a regular basis. It tracks schedule, quality, and cost status for the current reporting period and provides planned information for the next reporting period. Status reports also identify new risks and issues that have arisen in the current reporting period. Typical information includes:
This information is generally compiled by the project manager into a project status report. The team member status report and the project status report are examples of work performance reports, as mentioned in 4.5 Monitor and Control Project Work in the PMBOK® Guide – Sixth Edition. This report is submitted at predefined intervals throughout the project.
Consider the following tips to help tailor the team member status report to meet your needs:
The team member status report should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.1 to assist you in developing the team member status report.
TABLE 4.1 Elements of a Team Member Status Report
Document Element | Description |
Activities planned this reporting period | List all activities scheduled for this period, including work to be started, continued, or completed. |
Activities accomplished this reporting period | List all activities accomplished this period, including work that was started, continued, or completed. |
Activities planned but not accomplished this reporting period | List all activities that were scheduled for this period, but not started, continued, or completed. |
Root cause of variances | For any work that was not accomplished as scheduled, identify the cause of the variance. |
Funds spent this reporting period | Record funds spent this period. |
Funds planned to be spent this reporting period | Record funds that were planned to be spent this period. |
Root cause of variances | For any expenditures that were over or under plan, identify the cause of the variance. Include information on labor vs. material variances. Identify if the basis of estimates or the assumptions were inaccurate. |
Quality variances identified this period | Identify any product performance or quality variance. |
Planned corrective of preventive action | Identify any actions needed to recover cost, schedule, or quality variances or prevent future variances. |
Activities planned for next reporting period | List all activities scheduled for next period, including work to be started, continued, or completed. |
Costs planned for next reporting period | Identify funds planned to be expended next period. |
New risks identified | Identify any new risks that have arisen. New risks should be recorded in the risk register as well. |
Issues | Identify any new issues that have arisen. New issues should be recorded in the issue log as well. |
Comments | Document any comments that add relevance to this report. |
The project status report (sometimes known as a performance report or progress report) is filled out by the project manager and submitted on a regular basis to the sponsor, project portfolio management group, project management office (PMO), or other project oversight person or group. The information is compiled from the team member status reports and includes overall project performance. It contains summary-level information, such as accomplishments, rather than detailed activity-level information. The project status report tracks schedule and cost status for the current reporting period and provides planned information for the next reporting period. It indicates impacts to milestones and cost reserves as well as identifying new risks and issues that have arisen in the current reporting period. Typical information includes:
The project status report is an example of a work performance report, an output of 4.5 Monitor and Control Project Work in the PMBOK® Guide – Sixth Edition. This report is submitted at predefined intervals throughout the project.
Consider the following tips to help tailor the project status report to meet your needs:
The project status report should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.2 to assist you in developing the project status report.
TABLE 4.2 Elements of a Project Status Report
Document Element | Description |
Accomplishments for this reporting period | List all work packages or other accomplishments scheduled for completion for the current reporting period. |
Accomplishments planned but not completed this reporting period | List all work packages or other accomplishments scheduled for the current period but not completed. |
Root cause of variances | Identify the cause of the variance for any work that was not accomplished as scheduled for the current period. |
Impact to upcoming milestones or project due date | Identify any impact to any upcoming milestones or overall project schedule for any work that was not accomplished as scheduled. Identify any work currently behind on the critical path or if the critical path has changed based on the variance. |
Planned corrective or preventive action | Identify any actions needed to make up schedule variances or prevent future schedule variances. |
Funds spent this reporting period | Record funds spent this period. |
Root cause of variance | Identify the cause of the variance for any expenditure over or under plan. Include information on the labor variance versus material variance and whether the variance is due to the basis of estimates or estimating assumptions. |
Impact to overall budget or contingency funds | Indicate the impact to the overall project budget or whether contingency funds must be expended. |
Planned corrective or preventive action | Identify any actions needed to recover cost variances or to prevent future schedule variances. |
Accomplishments planned for next reporting period | List all work packages or accomplishments scheduled for completion next period. |
Costs planned for next reporting period | Identify funds planned to be expended next period. |
New risks identified | Identify any new risks that have been identified this period. These risks should be recorded in the risk register as well. |
Issues | Identify any new issues that have arisen this period. These issues should be recorded in the issue log as well. |
Comments | Record any comments that add relevance to the report. |
Variance analysis reports collect and assemble information on project performance variances. Common topics are schedule, cost, and quality variances. Information on a variance analysis includes:
Variance analysis is an example of a data analysis technique in the PMBOK® Guide – Sixth Edition. The information can be provided as a standalone report, as part of the project status report, or as backup to an earned value status report. It is identified as a technique in these processes:
Consider the following tips to help tailor the variance analysis to meet your needs:
The variance analysis should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.3 to assist you in developing the variance analysis.
TABLE 4.3 Elements of Variance Analysis
Document Elements | Description | |
Schedule variance | Planned result | Describe the work planned to be accomplished. |
Actual result | Describe the work actually accomplished. | |
Variance | Describe the variance. | |
Root cause | Identify the root cause of the variance. | |
Planned response | Document the planned corrective or preventive action. | |
Cost variance | Planned result | Record the planned costs for the work planned to be accomplished. |
Actual result | Record the actual costs expended. | |
Variance | Calculate the variance. | |
Root cause | Identify the root cause of the variance. | |
Planned response | Document the planned corrective or preventive action. | |
Quality variance | Planned result | Describe the planned performance or quality measurements. |
Actual result | Describe the actual performance or quality measurements. | |
Variance | Describe the variance. | |
Root cause | Identify the root cause of the variance. | |
Planned response | Document the planned corrective action. |
Earned value analysis shows specific mathematical metrics that are designed to reflect the health of the project by integrating scope, schedule, and cost information. Information can be reported for the current reporting period and on a cumulative basis. Earned value analysis can also be used to forecast the total cost of the project at completion or the efficiency required to complete the project for the baseline budget. Information that is generally collected includes:
Earned value analysis is an example of a data analysis technique in the PMBOK® Guide – Sixth Edition. The information can be provided as a standalone report or as part of the project status report. Earned value analysis is conducted at pre-defined intervals throughout the project. It is identified as a technique in these processes:
Consider the following tips to help tailor earned value analysis to meet your needs:
Earned value analysis should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.4 to assist you in developing an earned value analysis.
TABLE 4.4 Elements of Earned Value Analysis
Document Element | Description |
Planned value | Enter the value of the work planned to be accomplished. |
Earned value | Enter the value of the work actually accomplished. |
Actual cost | Enter the cost for the work accomplished. |
Schedule variance | Calculate the schedule variance by subtracting the planned value from the earned value. SV = EV – PV |
Cost variance | Calculate the cost variance by subtracting the actual cost from the earned value. CV = EV – AC |
Schedule performance index | Calculate the schedule performance index by dividing earned value by the planned value. SPI = EV/PV |
Cost performance index | Calculate the cost performance index by dividing the earned value by the actual cost. CPI = EV/AC |
Root cause of schedule variance | Identify the root cause of the schedule variance. |
Schedule impact | Describe the impact on deliverables, milestones, or critical path. |
Root cause of cost variance | Identify the root cause of the cost variance. |
Budget impact | Describe the impact on the project budget, contingency funds and reserves, and any intended actions to address the variance. |
Percent planned | Indicate the cumulative percent of the work planned to be accomplished. PV/BAC |
Percent earned | Indicate the cumulative percent of work that has been accomplished. EV/BAC |
Percent spent | Indicate the total costs spent to accomplish the work. AC/BAC |
Estimates at completion | Determine an appropriate method to forecast the total expenditures at the project completion. Calculate the forecast and justify the reason for selecting the particular estimate at completion. For example: |
If the CPI is expected to remain the same for the remainder of the project: EAC = BAC/CPI | |
If both the CPI and SPI will influence the remaining work: EAC = AC + [(BAC – EV)/(CPI × SPI)] | |
To complete performance index | Calculate the work remaining divided by the funds remaining. TCPI = (BAC – EV)/(BAC – AC) to complete on plan, or TCPI = (BAC – EV)/(EAC – AC) to complete the current EAC. |
Risk audits are used to evaluate the effectiveness of the risk identification, risk responses, and risk management process as a whole. Information reviewed in a risk audit can include:
The risk audit is a tool used in process 11.7 Control Risks in the PMBOK® Guide – Sixth Edition. It is conducted periodically as needed.
Consider the following tips to help tailor the risk audit to meet your needs:
The risk audit should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.5 to assist you in developing the risk audit.
TABLE 4.5 Elements of Risk Audit
Document Element | Description | ||||
Risk event audit | Event | List the event from the risk register. | |||
Cause | Identify the root cause of the event from the risk register. | ||||
Response | Describe the response implemented. | ||||
Comment | Discuss if there was any way to have foreseen the event and respond to it more effectively. | ||||
Risk response audit | Event | List the event from the risk register. | |||
Response | List the risk response from the risk register. | ||||
Successful | Indicate if the response was successful. | ||||
Actions to improve | Identify any opportunities for improvement in risk response. | ||||
Risk management process audit | Plan risk management | Followed: Indicate if the various processes were followed as indicated in the risk management plan. | |||
Identify risks | Tools and techniques used: Identify tools and techniques used in the various risk management processes and whether they were successful. | ||||
Perform qualitative risk analysis | |||||
Perform quantitative risk analysis | |||||
Plan risk responses | |||||
Control risks | |||||
Description of good practices to share | Describe any practices that should be shared for use on other projects. Include any recommendations to update and improve risk forms, templates, policies, procedures, or processes to ensure these practices are repeatable. | ||||
Description of areas for improvement | Describe any practices that need improvement, the improvement plan, and any follow-up dates or information for corrective action. |
The contractor status report is filled out by the contractor and submitted on a regular basis to the project manager. It tracks status for the current reporting period and provides forecasts for future reporting periods. The report also gathers information on new risks, disputes, and issues. Information can include:
This information is generally included in the project status report compiled by the project manager. The contractor status report is an example of work performance information identified in 12.3 Control Procurements in the PMBOK® Guide – Sixth Edition. This report is submitted at pre-defined intervals throughout the project.
Consider the following tips to help tailor the contractor status report to meet your needs:
The contractor status report should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.6 to assist you in developing the contractor status report.
TABLE 4.6 Elements of a Contractor Status Report
Document Element | Description |
Scope performance this reporting period | Describe progress on scope made during this reporting period. |
Quality performance this reporting period | Identify any quality or performance variances. |
Schedule performance this reporting period | Describe whether the contract is on schedule. If ahead or behind, identify the cause of the variance. |
Cost performance this reporting period | Describe whether the contract is on budget. If over or under budget, identify the cause of the variance. |
Forecast performance for future reporting periods | Discuss the estimated delivery date and final cost of the contract. If the contract is a fixed price, do not enter cost forecasts. |
Claims or disputes | Identify any new or resolved disputes or claims that have occurred during the current reporting period. |
Risks | List any risks. Risks should also be in the risk register. |
Planned corrective or preventive action | Identify planned corrective or preventive actions necessary to recover schedule, cost, scope, or quality variances. |
Issues | Identify any new issues that have arisen. These should also be entered in the issue log. |
Comments | Add any comments that will add relevance to the report. |
The procurement audit is the review of contracts and contracting processes for completeness, accuracy, and effectiveness. Information in the audit can be used to improve the process and results on the current procurement or on other contracts. Information recorded in the audit includes:
The procurement audit is a technique from process 12.3 Control Procurements in the PMBOK® Guide – Sixth Edition. It is conducted periodically throughout the project, or as needed.
Consider the following tips to help tailor the procurement audit to meet your needs:
The procurement audit should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.7 to assist you in developing the procurement audit.
TABLE 4.7 Elements of a Procurement Audit
Document Element | Description | ||||
What worked well | Scope | Describe aspects of contract scope that were handled well. | |||
Quality | Describe aspects of product quality that were handled well. | ||||
Schedule | Describe aspects of the contract schedule that were handled well. | ||||
Cost | Describe aspects of the contract budget that were handled well. | ||||
Other | Describe any other aspects of the contract or procurement that were handled well. | ||||
What can be improved | Scope | Describe aspects of contract scope that could be improved. | |||
Quality | Describe aspects of product quality that could be improved. | ||||
Schedule | Describe aspects of the contract schedule that could be improved. | ||||
Cost | Describe aspects of the contract budget that could be improved. | ||||
Other | Describe any other aspects of the contract or procurement that could be improved. | ||||
Procurement management process audit | Plan procurements | Indicate if each procurement was followed or not. | Describe any tools or techniques that were effective for each procurement. | ||
Conduct procurements | |||||
Control procurements | |||||
Good practices to share | Describe any good practices that can be shared with other projects or that should be incorporated into organization policies, procedures, or processes. Include information on lessons learned. | ||||
Areas for improvement | Describe any areas that should be improved with the procurement process. Include information that should be incorporated into policies, procedures, or processes. Include information on lessons learned. |
Contract closeout involves documenting the vendor performance so that the information can be used to evaluate the vendor for future work. Contract closure supports the project closure process and helps ensure contractual agreements are completed or terminated. Before a contract can be fully closed or terminated, all disputes must be resolved, the product or result must be accepted, and the final payments must be made. Information recorded as part of closing out a contract includes:
The date of contract completion, who signed off on it, and the date of the final payment are other elements that should be recorded.
Consider the following tips to help tailor the contract closeout report to meet your needs:
The contract closeout report should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.8 to assist you in developing the contract closeout report.
TABLE 4.8 Elements of a Contract Closeout
Document Element | Description | |
What worked well | Scope | Describe aspects of contract scope that were handled well. |
Quality | Describe aspects of product quality that were handled well. | |
Schedule | Describe aspects of the contract schedule that were handled well. | |
Cost | Describe aspects of the contract budget that were handled well. | |
Other | Describe any other aspects of the contract or procurement that were handled well. | |
What can be improved | Scope | Describe aspects of contract scope that could be improved. |
Quality | Describe aspects of product quality that could be improved. | |
Schedule | Describe aspects of the contract schedule that could be improved. | |
Cost | Describe aspects of the contract budget that could be improved. | |
Other | Describe any other aspects of the contract or procurement that could be improved. | |
Record of contract changes | Change ID | Enter the change identifier from the change log. |
Change description | Enter the description from the change log. | |
Date approved | Enter the date approved from the change log. | |
Record of contract disputes | Description | Describe the dispute or claim. |
Resolution | Describe the resolution. | |
Date resolved | Enter the date the dispute or claim was resolved. |
Product acceptance should be done periodically throughout the project as each deliverable or component is validated and accepted.
The product acceptance form can include this information:
Product acceptance is part of process 5.5 Validate Scope in the PMBOK® Guide – Sixth Edition. Product acceptance should be done periodically throughout the project life cycle.
Consider the following tips to help tailor the product acceptance form to meet your needs:
The product acceptance form should be aligned and consistent with the following documents:
You can use the element descriptions in Table 4.9 to assist you in developing the product acceptance form.
TABLE 4.9 Elements of Product Acceptance
Document Element | Description |
ID | Enter a unique requirement identifier from the requirements documentation. |
Requirement | Enter the requirement description from the requirements documentation. |
Acceptance criteria | Enter the criteria for acceptance. |
Validation method | Describe the method of validating the requirement meets the stakeholder’s needs. |
Status | Document whether the requirement or deliverable was accepted or not. |
Sign-off | Obtain the signature of the party accepting the product. |
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