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.
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 in the project schedule or WBS. Appropriate visibility of progress 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.
Tip
Initially, as processes based on PMC are introduced, project managers and staff members are reactive. However, as monitoring and control of activities become routine, project managers and staff members begin to anticipate problems and success in advance.
The term project plan is used throughout these practices to refer to the overall plan for controlling the project.
Monitoring and control functions are established early in the project as the project’s planning is performed and the acquisition strategy is defined. As the acquisition of technology solutions unfolds, monitoring and control activities are essential to ensure that appropriate resources are being applied and that acquirer activities are progressing according to plan.
When actual status deviates significantly from 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 in the current plan.
If corrective action is required to resolve variances from project plans, these actions should be defined and tracked to closure.
Hint
Normally, variation will occur. Perform corrective action only when a significant deviation occurs.
After one or more suppliers are selected and agreements are established, the role of monitoring and control becomes twofold: (1) The acquirer continues to monitor and control its activities and work products while also (2) monitoring and controlling the progress and performance of supplier activities that affect the overall project plan.
X-Ref
Some corrective actions may require changes to agreements. These maintenance activities are covered in SSAD SP 3.2.
The supplier project progress and performance reporting requirements are established in the supplier agreement consistent with the needs of the project.
Refer to the Project Planning process area for more information about the project plan, including how it specifies the appropriate level of project monitoring, measures used to monitor progress, and known risks.
Refer to the Measurement and Analysis process area for more information about the process of measuring, analyzing, and recording information.
Refer to the Agreement Management process area for more information about resolving supplier agreement issues.
Refer to the Solicitation and Supplier Agreement Development process area for more information about making changes to the supplier agreement.
Specific Goal and Practice Summary
SG 1 Monitor the Project Against the 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
SP 1.8 Monitor Transition to Operations and Support
SG 2 Manage Corrective Action to Closure
SP 2.1 Analyze Issues
SP 2.2 Take Corrective Action
SP 2.3 Manage Corrective Actions
Actual performance and progress of the project are monitored against the project plan.
Monitoring acquirer progress and performance begins as soon as a plan is established. The acquirer is responsible for monitoring the progress and output of the project. After a supplier is selected and a supplier agreement is put in place, the acquirer’s monitoring and control activities extend to the supplier and its activities. The acquirer monitors supplier progress, including achievement of requirements established in the supplier agreement and using specified process, product, and service level measures.
Monitor actual values of 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, costs, effort, and schedule. Attributes of the work products and tasks include size, complexity, weight, form, fit, and function.
Monitoring typically involves measuring actual values of project planning parameters, comparing actual values to estimates in the plan, and identifying significant deviations. Recording actual values of project planning parameters includes recording associated contextual information to help understand measures. An analysis of the impact that significant deviations have on determining the corrective actions to take is handled in specific goal 2 and its specific practices in this process area.
Tip
Actual values gathered during the project are used as “historical data” to provide a basis for estimates in planning for similar projects in the future.
Typical Work Products
- Records of project performance
- Records of significant deviations
- Cost performance reports
Typical Supplier Deliverables
- Supplier project progress and performance reports
- Records of significant deviations
- Cost performance reports
- Monitor progress against the schedule.
- Monitor the project’s costs and expended effort.
- Monitor the attributes of work products and tasks.
Refer to the Project Planning process area for more information about the attributes of work products and tasks.
Refer to the Measurement and Analysis process area for more information about measures defined to support management information needs.
Monitoring attributes applies to both acquirer and supplier work products and tasks.
- Monitor resources provided and used.
Refer to the Project Planning process area for more information about planned resources.
This resource monitoring includes monitoring the availability of resources provided by the supplier for the project.
- Monitor the knowledge and skills of project personnel.
Refer to the Project Planning process area for more information about planning for the knowledge and skills needed to perform the project.
Personnel monitoring includes monitoring the skills and knowledge of supplier personnel provided for the project.
- Document significant deviations in project planning parameters.
Document significant deviations that apply either to acquirer project execution or to supplier deviations from the project plan.
Refer to the Solicitation and Supplier Agreement Development process area for more information about modifying supplier agreements to reflect change requests.
Monitor commitments against those identified in the project plan.
Tip
Things happen that prevent appropriate follow-through with commitments, especially in an immature organization. Therefore, it is necessary to monitor commitments and take corrective action when commitments change.
Resource commitments that result in expenditures (e.g., issued purchase orders and completed supplier deliverables that are accepted) are tracked when the expense is incurred, even prior to formal payment, to ensure that future financial and legal obligations are accounted for as soon as they are incurred. Commitments that do not result in expenditures (e.g., allocation of resources or skill sets) should also be monitored.
Supplier commitments for the project are also monitored by the acquirer through these practices.
Typical Work Products
- Records of commitment reviews
- Regularly review commitments (both external and internal).
- Identify commitments that have not been satisfied or are at significant risk of not being satisfied.
- Document the results of commitment reviews.
Monitor risks against those identified in the project plan.
X-Ref
Specific practice 1.3 is the handshake with the risks that were identified in PP. This practice is reactive and involves minimal risk management activities. For more complete and proactive handling of project risks, refer to RSKM.
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.
The acquirer monitors the overall project risk. Many risks are the sole responsibility of the acquirer and may include information that should not be shared with the supplier (e.g., source selection sensitive, re-competition, or internal staffing).
There can also be risks that require careful coordination with suppliers and the establishment of appropriate mechanisms for the escalation of risks and risk status (e.g., feasibility of the technology to meet end-user performance requirements). Shared risks may require jointly planned mitigations.
Typical Work Products
- Records of project risk monitoring
Typical Supplier Deliverables
- Records of supplier risk monitoring
Subpractices
- Periodically review the documentation of risks in the context of the project’s current status and circumstances.
This review includes the risks defined in the solicitation package, those identified by the supplier in their proposal, and those raised as part of regular supplier status reporting.
- Revise the documentation of risks as additional information becomes available.
- Communicate the risk status to relevant stakeholders.
Monitor the management of project data against the project plan.
Refer to the Plan Data Management specific practice in the Project Planning process area for more information about identifying types of data to be managed and how to plan for their management.
Once 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
Typical Supplier Deliverables
- Records of supplier data management
Subpractices
- Periodically review data management activities against their description in the project plan.
- Identify and document significant issues and their impacts.
- Document results of data management activity reviews.
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 appropriate involvement with them.
Once stakeholders are identified and the extent of their involvement in the project is specified in project planning, that involvement must be monitored to ensure that appropriate interactions are occurring.
This monitoring is particularly true in a system of systems environment in which the involvement of owners, acquirers, and customers of other systems in the system of systems is crucial to the success of that system of systems.
- Records of stakeholder involvement
Typical Supplier Deliverables
- Records of supplier involvement
Subpractices
- Periodically review the status of stakeholder involvement.
- Identify and document significant issues and their impacts.
- Document the results of stakeholder involvement status reviews.
Periodically review the project’s progress, performance, and issues.
Progress reviews are project reviews to keep stakeholders informed. These project reviews can be informal and may not be specified explicitly in project plans.
Refer to the Agreement Management process area for more information about conducting reviews with the supplier per the supplier agreement.
Refer to the Solicitation and Supplier Agreement Development process area for more information about establishing review requirements in the supplier agreement.
Typical Work Products
- Documented project review results
Typical Supplier Deliverables
- Supplier project progress and performance reports
- Supplier review materials and reports
- Documentation of product and document deliveries
Subpractices
- Regularly communicate status on assigned activities and work products to relevant stakeholders.
Managers, staff members, customers, end users, suppliers, and other relevant stakeholders in the organization are included in reviews, as appropriate.
- Review the results of collecting and analyzing measures for controlling the project.
Refer to the Measurement and Analysis process area for more information about measuring and analyzing project performance data.
- Identify and document significant issues and deviations from the plan.
This activity includes identifying and documenting both acquirer and supplier issues and deviations.
- Document change requests and problems identified in work products and processes.
Refer to the Configuration Management process area for more information about managing changes.
- Document the results of reviews.
- Track change requests and problem reports to closure.
Review the project’s accomplishments and results at selected project milestones.
Tip
Milestones are major events in a project. If you are using a project lifecycle model, milestones may be predetermined. Many professional organizations recommend iterative planning and managing at the “inchstone” level for near-term tasks to avoid surprises at the official milestone event.
Refer to the Project Planning process area for more information about milestone planning.
Refer to the Measurement and Analysis process area for more information about the process of measuring, analyzing, and recording project performance data.
Milestone reviews are planned during project planning and are typically formal reviews.
Typical Work Products
- Documented milestone review results
Typical Supplier Deliverables
- Documented measurement results
- Measurement analysis reports
- Conduct milestone reviews with relevant stakeholders at meaningful points in the project’s schedule, such as the completion of selected stages.
Managers, staff members, customers, end users, suppliers, and other relevant stakeholders in the organization are included in milestone reviews, as appropriate.
Conduct milestone reviews with the supplier as specified in the supplier agreement.
Refer to the Acquisition Technical Management process area for more information about conducting technical reviews with the supplier per the supplier agreement.
Refer to the Solicitation and Supplier Agreement Development process area for more information about establishing review requirements in the supplier agreement.
- Review commitments, the plan, the status, and risks of the project.
- Identify and document significant issues and their impacts.
- Document results of the review, action items, and decisions.
- Track action items to closure.
Monitor transition to operations and support.
Tip
A successful transition involves executing an effective plan for the appropriate facilities, training, use, maintenance, and support of the acquired capability.
The acquirer monitors and controls the transition of the accepted product or service against the plan for transition to operations and support.
Refer to the Plan Transition to Operations and Support specific practice in the Project Planning process area for more information about planning for the transition of the product or service to operations and support.
Tip
Sometimes the acquisition organization may be expected to perform specific transition activities itself. In still other cases, it may need to acquire a service supplier to support the capability provided to the customer.
Typically, the supplier has a role in integrating and packaging products and prepares for the transition to operations and support, including support for business user acceptance; the acquirer monitors these supplier activities. These expectations of the supplier and the acceptance criteria for transition to operations and support are included in the solicitation package and then the supplier agreement.
Typical Work Products
- Transition readiness report
- Records of transition to support reviews
- Transition analysis report
- Training materials and supporting artifacts
- Site readiness report
- Verification reports
- Training records
- Operational readiness reports
- Test results
- Pilot results
Subpractices
- Monitor the operations and support organization’s capability and facilities designated to receive, store, use, and maintain acquired products.
The acquirer makes adequate provisions through the supplier agreement or in-house operations and support organizations to operate the acquired product. Typically, the acquirer uses verification practices to confirm that the organization, physical environment, and operations and support resources are equipped to execute operations and support activities.
The acquirer also reviews operations and support organizations designated to take responsibility for the operation of the product and to ensure that resources identified and budgeted are available when needed. The designated operations and support organizations demonstrate their readiness (i.e., capability and capacity) to accept responsibility for the product and to ensure uninterrupted support. Typically, a demonstration involves execution of all the activities of operations (e.g., a pilot).
- Monitor the delivery of training for those involved in receiving, storing, using, and maintaining acquired products.
Typically, the supplier develops training resources for the product. Training materials and resources are specified in the supplier agreement to meet the needs of various audiences (e.g., operations staff, support staff, end users). The acquirer verifies that training is provided at the appropriate time to the appropriate audience and determines whether the training capability provided is adequate.
- Review pilot results, if any, and operational readiness reports for the acquired product.
Determine readiness of the product and involved stakeholders, such as the operations and support organizations, for the transition of responsibility. The acquirer typically uses transition readiness criteria and verification and validation practices to determine if the supplier-delivered products meet specified requirements. The criteria also address the readiness of the product for maintenance over the intended product lifecycle.
- Review and analyze the results of transition activities.
The acquirer reviews and analyzes the results of transition activities and determines whether corrective actions must be completed before responsibility is transferred to the operational and support organizations.
Corrective actions are managed to closure when the project’s performance or results deviate significantly from the plan.
When the acquirer determines (e.g., through its monitoring of measurement data) that supplier progress does not appear to be sufficient to meet a service level defined in the supplier agreement, then the acquirer initiates and manages corrective action with the supplier.
If the supplier does not comply appropriately with the acquirer’s initiation of corrective action, the acquirer escalates and resolves this issue as a supplier agreement issue.
Collect and analyze issues and determine corrective actions necessary to address them.
Corrective action is taken for both acquirer deviations and when supplier execution does not align with project planning (e.g., milestone and work product date slippages).
Many issues and corrective actions are the sole responsibility of the acquirer and may include information that should not be shared with the supplier (e.g., source selection sensitive, recompetition, and internal staffing).
Typical Work Products
- List of issues needing corrective actions
Typical Supplier Deliverables
- List of supplier issues needing corrective action by the acquirer
Subpractices
- Gather issues for analysis.
Issues are collected from reviews and the execution of other processes.
- Analyze issues to determine the need for corrective action.
Refer to the Project Planning process area for more information about corrective action criteria.
Corrective action is required when the issue, if left unresolved, may prevent the project from meeting its objectives.
Take corrective action on identified issues.
Tip
In some cases, the corrective action can be to monitor the situation. A corrective action does not always result in a complete solution to the problem.
Some corrective actions may be assigned to a supplier. The acquirer oversees corrective actions assigned to the supplier, as appropriate.
Typical Work Products
- Corrective action plans
Typical Supplier Deliverables
- Corrective action plans for supplier issues
- Determine and document the appropriate actions needed to address identified issues.
Refer to the Project Planning process area for more information about the project plan when replanning is needed.
Tip
When managing multiple suppliers, the acquirer may need to adjudicate the assignment of actions between the suppliers and itself. Consider including contractual language to set the expectation of suppliers when participating in issue allocation and resolution of issues. Such preparation becomes particularly important near the end of the project when funding is low and suppliers are eager to close out the contract.
- Review and get agreement with relevant stakeholders on the actions to be taken.
- Negotiate changes to internal and external commitments.
Manage corrective actions to closure.
Typical Work Products
- Corrective action results
Typical Supplier Deliverables
- Corrective action results for supplier issues
Subpractices
- Monitor corrective actions for their completion.
- Analyze results of corrective actions to determine the effectiveness of the corrective actions.
- 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.