Project Monitoring & Control (PMC)  Category: Project Management

Notes:

        The contents of this web page were extracted from the following document: Capability Maturity Model Integration (CMMISM), Version 1.1, Continuous Representation, CMU/SEI-2002-TR-011, March 2002 (CMMI-SE/SW/IPPD/SS). Copyright 2002 by Carnegie Mellon University. NO WARRANTY.

        Ignore the identifiers in square brackets that appear at the end of paragraphs.

        The formatting may not be the same as in the printed CMMI document. The web page is best viewed in Internet Explorer.

        In the CMMI, a subset is known as a "Process Area (PA)" and a requirement is known as a "Practice". The specific practices are referred to as SPs and the generic practices are referred to as GPs.

        This web page contains the text for SPs and GPs as it appears in Chapter 7 of the CMMI document, in the section corresponding to the process area named in the heading of this page. This web page does not include the detailed description of the GPs that appears in a separate chapter of the CMMI document; the detailed description of the GPs is available in a separate web page. (Note: Using the hyperlink provided here will open that web page in a separate window.)

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Purpose   The purpose of Project Monitoring and Control 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.  [PA162]

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. 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.  [PA162.N101]

The term “project plan” is used throughout these practices to refer to the overall plan for controlling the project.  [PA162.N102]

When actual status deviates significantly from the expected values, corrective actions are taken as appropriate. These actions may require re-planning, which may include revising the original plan, establishing new agreements, or including additional mitigation activities within the current plan.  [PA162.N103]

Specific Goals

SG 1           Monitor Project Against Plan  [PA162.IG101]

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

SG 2           Manage Corrective Action to Closure  [PA162.IG102]

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

Generic Goals

GG 1           Achieve Specific Goals   [CL102.GL101]

                   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.

GG 2           Institutionalize a Managed Process  [CL103.GL101]

                   The process is institutionalized as a managed process.

GG 3           Institutionalize a Defined Process  [CL104.GL101]

                   The process is institutionalized as a defined process.

GG 4           Institutionalize a Quantitatively Managed Process  [CL105.GL101]

                   The process is institutionalized as a quantitatively managed process.

GG 5           Institutionalize an Optimizing Process  [CL106.GL101]

                   The process is institutionalized as an optimizing process.

Practice-to-Goal Relationship Table

SG 1 Monitor Project Against Plan  [PA162.IG101]

SP 1.1-1      Monitor Project Planning Parameters

SP 1.2-1      Monitor Commitments

SP 1.3-1      Monitor Project Risks

SP 1.4-1      Monitor Data Management

SP 1.5-1      Monitor Stakeholder Involvement

SP 1.6-1      Conduct Progress Reviews

SP 1.7-1      Conduct Milestone Reviews

SG 2 Manage Corrective Action to Closure  [PA162.IG102]

SP 2.1-1      Analyze Issues

SP 2.2-1      Take Corrective Action

SP 2.3-1      Manage Corrective Action

GG 1 Achieve Specific Goals   [CL102.GL101]

GP 1.1        Perform Base Practices

GG 2 Institutionalize a Managed Process  [CL103.GL101]

GP 2.1        Establish an Organizational Policy

GP 2.2        Plan the Process

GP 2.3        Provide Resources

GP 2.4        Assign Responsibility

GP 2.5        Train People

GP 2.6        Manage Configurations

GP 2.7        Identify and Involve Relevant Stakeholders

GP 2.8        Monitor and Control the Process

GP 2.9        Objectively Evaluate Adherence

GP 2.10      Review Status with Higher Level Management

GG 3 Institutionalize a Defined Process  [CL104.GL101]

GP 3.1        Establish a Defined Process

GP 3.2        Collect Improvement Information

GG 4 Institutionalize a Quantitatively Managed Process  [CL105.GL101]

GP 4.1        Establish Quantitative Objectives for the Process

GP 4.2        Stabilize Subprocess Performance

GG 5 Institutionalize an Optimizing Process  [CL106.GL101]

GP 5.1        Ensure Continuous Process Improvement

GP 5.2        Correct Root Causes of Problems

Specific Practices by Goal

SG 1           Monitor Project Against Plan

                   Actual performance and progress of the project are monitored against the project plan.  [PA162.IG101]

SP 1.1-1      Monitor Project Planning Parameters

Monitor the actual values of the project planning parameters against the project plan.  [PA162.IG101.SP101]

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.  [PA162.IG101.SP101.N101]

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.  [PA162.IG101.SP101.N102]

Typical Work Products

1.    Records of project performance  [PA162.IG101.SP101.W101]

2.    Records of significant deviations  [PA162.IG101.SP101.W102]

Subpractices

1.    Monitor progress against the schedule.  [PA162.IG101.SP101.SubP101]

Progress monitoring typically includes the following:  [PA162.IG101.SP101.SubP101.N101]

       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.  [PA162.IG101.SP101.SubP102]

Effort and cost monitoring typically includes the following:  [PA162.IG101.SP101.SubP102.N101]

       Periodically measuring the actual effort and cost expended and staff assigned

       Comparing actual effort, costs, staffing, and training to the estimates and budgets documented in the project plan

       Identifying significant deviations from the budgets in the project plan

3.    Monitor the attributes of the work products and tasks.  [PA162.IG101.SP101.SubP103]

Refer to the Project Planning process area for information about the attributes of work products and tasks.  [PA162.IG101.SP101.SubP103.R101]

Monitoring the attributes of the work products and tasks typically includes the following:  [PA162.IG101.SP101.SubP103.N101]

       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.  [PA162.IG101.SP101.SubP104]

Refer to the Project Planning process area for information about planned resources.  [PA162.IG101.SP101.SubP104.R101]

For Software Engineering

Examples of software-engineering resources include the following:  [PA162.IG101.SP101.SubP104.AMP101]

  Host computers and peripherals

  Networks

  Software test computers and peripherals

  Target computer environment software

  Software-engineering environment (e.g., software tools)

 

Examples of resources include:  [PA162.IG101.SP101.SubP104.N101]

       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.  [PA162.IG101.SP101.SubP105]

Refer to the Project Planning process area for information about planning for knowledge and skills needed to perform the project.  [PA162.IG101.SP101.SubP105.R101]

Monitoring the knowledge and skills of the project personnel typically includes the following:  [PA162.IG101.SP101.SubP105.N101]

       Periodically measuring the acquisition of knowledge and skills by project personnel

       Comparing the actual training obtained to that documented in the project plan

       Identifying significant deviations from the estimates in the project plan

6.    Document the significant deviations in the project planning parameters.  [PA162.IG101.SP101.SubP106]

SP 1.2-1      Monitor Commitments

Monitor commitments against those identified in the project plan.  [PA162.IG101.SP102]

Typical Work Products

1.    Records of commitment reviews  [PA162.IG101.SP102.W101]

Subpractices

1.    Regularly review commitments (both external and internal).  [PA162.IG101.SP102.SubP101]

2.    Identify commitments that have not been satisfied or which are at significant risk of not being satisfied.  [PA162.IG101.SP102.SubP102]

3.    Document the results of the commitment reviews.  [PA162.IG101.SP102.SubP103]

SP 1.3-1      Monitor Project Risks

Monitor risks against those identified in the project plan.  [PA162.IG101.SP103]

Refer to the Project Planning process area for more information about identifying project risks.  [PA162.IG101.SP103.R101]

Refer to the Risk Management process area for more information about risk management activities.  [PA162.IG101.SP103.R102]

Typical Work Products

1.    Records of project risk monitoring  [PA162.IG101.SP103.W101]

Subpractices

1.    Periodically review the documentation of the risks in the context of the project’s current status and circumstances.  [PA162.IG101.SP103.SubP101]

2.    Revise the documentation of the risks, as additional information becomes available, to incorporate changes.  [PA162.IG101.SP103.SubP102]

3.    Communicate risk status to relevant stakeholders.  [PA162.IG101.SP103.SubP103]

Examples of risk status include the following:  [PA162.IG101.SP103.SubP103.N101]

       A change in the probability that the risk occurs

       A change in risk priority

 

SP 1.4-1      Monitor Data Management

Monitor the management of project data against the project plan.  [PA162.IG101.SP106]

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.  [PA162.IG101.SP106.R101]

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.  [PA162.IG101.SP106.N101]

Typical Work Products

1.    Records of data management  [PA162.IG101.SP106.W101]

Subpractices

1.    Periodically review data management activities against their description in the project plan.  [PA162.IG101.SP106.SubP101]

2.    Identify and document significant issues and their impacts.  [PA162.IG101.SP106.SubP102]

3.    Document the results of data management activity reviews.  [PA162.IG101.SP106.SubP103]

SP 1.5-1      Monitor Stakeholder Involvement

Monitor stakeholder involvement against the project plan.  [PA162.IG101.SP107]

Refer to the Plan Stakeholder Involvement specific practice in the Project Planning process area for more information on identifying relevant stakeholders and planning the appropriate involvement with them.  [PA162.IG101.SP107.R101]

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.  [PA162.IG101.SP107.N101]

Typical Work Products

1.    Records of stakeholder involvement  [PA162.IG101.SP107.W101]

Subpractices

1.    Periodically review the status of stakeholder involvement.  [PA162.IG101.SP107.SubP101]

2.    Identify and document significant issues and their impacts.  [PA162.IG101.SP107.SubP102]

3.    Document the results of the stakeholder involvement status reviews.  [PA162.IG101.SP107.SubP103]

SP 1.6-1      Conduct Progress Reviews

Periodically review the project's progress, performance, and issues.  [PA162.IG101.SP104]

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.  [PA162.IG101.SP104.N101]

Examples of these reviews include the following:  [PA162.IG101.SP104.N102]

           Reviews with staff

           Reviews with project engineers and support

           Reviews with management

 

For Supplier Sourcing

Examples of these reviews also include the following:  [PA162.IG101.SP104.N102.AMP101]

  Reviews with key suppliers

 

Typical Work Products

1.    Documented project review results  [PA162.IG101.SP104.W101]

Subpractices

1.    Regularly communicate status on assigned activities and work products to relevant stakeholders.  [PA162.IG101.SP104.SubP101]

Managers, staff members, customers, end users, suppliers, and other relevant stakeholders within the organization are included in the reviews as appropriate.  [PA162.IG101.SP104.SubP101.N101]

2.    Review the results of collecting and analyzing measures for controlling the project.  [PA162.IG101.SP104.SubP102]

Refer to the Measurement and Analysis process area for more information about the process for measuring and analyzing project performance data.  [PA162.IG101.SP104.SubP102.R101]

3.    Identify and document significant issues and deviations from the plan.  [PA162.IG101.SP104.SubP103]

4.    Document change requests and problems identified in any of the work products and processes.  [PA162.IG101.SP104.SubP104]

Refer to the Configuration Management process area for more information about how changes are managed.  [PA162.IG101.SP104.SubP104.R101]

5.    Document the results of the reviews.  [PA162.IG101.SP104.SubP105]

6.    Track change requests and problem reports to closure.  [PA162.IG101.SP104.SubP106]

SP 1.7-1      Conduct Milestone Reviews

Review the accomplishments and results of the project at selected project milestones.  [PA162.IG101.SP105]

Refer to the Project Planning process area for more information about milestone planning.  [PA162.IG101.SP105.R101]

Milestone reviews are planned during project planning and are typically formal reviews.  [PA162.IG101.SP105.N101]

Typical Work Products

1.    Documented milestone review results  [PA162.IG101.SP105.W101]

Subpractices

1.    Conduct reviews at meaningful points in the project's schedule, such as the completion of selected stages, with relevant stakeholders.  [PA162.IG101.SP105.SubP101]

Managers, staff members, customers, end users, suppliers, and other relevant stakeholders within the organization are included in the milestone reviews as appropriate.  [PA162.IG101.SP105.SubP101.N101]

2.    Review the commitments, plan, status, and risks of the project.  [PA162.IG101.SP105.SubP102]

3.    Identify and document significant issues and their impacts.  [PA162.IG101.SP105.SubP103]

4.    Document the results of the review, action items, and decisions.  [PA162.IG101.SP105.SubP104]

5.    Track action items to closure.  [PA162.IG101.SP105.SubP105]

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.  [PA162.IG102]

SP 2.1-1      Analyze Issues

Collect and analyze the issues and determine the corrective actions necessary to address the issues.  [PA162.IG102.SP101]

Typical Work Products

1.    List of issues needing corrective actions  [PA162.IG102.SP101.W101]

Subpractices

1.    Gather issues for analysis.  [PA162.IG102.SP101.SubP101]

Issues are collected from reviews and the execution of other processes.  [PA162.IG102.SP101.SubP101.N101]

Examples of issues to be gathered include:  [PA162.IG102.SP101.SubP101.N102]

       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.  [PA162.IG102.SP101.SubP102]

Refer to the Project Planning process area for information about corrective action criteria.  [PA162.IG102.SP101.SubP102.R101]

Corrective action is required when the issue, if left unresolved, may prevent the project from meeting its objectives.  [PA162.IG102.SP101.SubP102.N101]

SP 2.2-1      Take Corrective Action

Take corrective action on identified issues.  [PA162.IG102.SP102]

Typical Work Products

1.    Corrective action plan  [PA162.IG102.SP102.W101]

Subpractices

1.    Determine and document the appropriate actions needed to address the identified issues.  [PA162.IG102.SP102.SubP101]

Refer to the Project Planning process area for more information about the project plan when re-planning is needed.  [PA162.IG102.SP102.SubP101.R101]

Examples of potential actions include the following:  [PA162.IG102.SP102.SubP101.N101]

       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.  [PA162.IG102.SP102.SubP102]

3.    Negotiate changes to internal and external commitments.  [PA162.IG102.SP102.SubP103]

SP 2.3-1      Manage Corrective Action

Manage corrective actions to closure.  [PA162.IG102.SP103]

Typical Work Products

1.    Corrective action results  [PA162.IG102.SP103.W101]

Subpractices

1.    Monitor corrective actions for completion.  [PA162.IG102.SP103.SubP101]

2.    Analyze results of corrective actions to determine the effectiveness of the corrective actions.  [PA162.IG102.SP103.SubP102]

3.    Determine and document appropriate actions to correct deviations from planned results for corrective actions.  [PA162.IG102.SP103.SubP103]

Lessons learned as a result of taking corrective action can be inputs to planning and risk management processes.  [PA162.IG102.SP103.SubP103.N101]

Generic Practices by Goal

(Note: The detailed description of the GPs is available in a separate web page. Using the hyperlink provided here will open that web page in a separate window. However, the GP elaborations pertinent to the process area of this web page are available below.)

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 Base Practices

Perform the base practices of the project monitoring and control process to develop work products and provide services to achieve the specific goals of the process area.  [GP102]

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.  [GP103]

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.  [PA162.EL101]

GP 2.2        Plan the Process

Establish and maintain the plan for performing the project monitoring and control process.  [GP104]

Elaboration:

This plan for performing the project monitoring and control process is typically a part of the project plan, as described in the Project Planning process area.  [PA162.EL102]

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.  [GP105]

Elaboration:

Examples of resources provided include the following tools:  [PA162.EL103]

           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.  [GP106]

GP 2.5        Train People

Train the people performing or supporting the project monitoring and control process as needed.  [GP107]

Elaboration:

Examples of training topics include the following:  [PA162.EL104]

           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 configuration management.  [GP109]

GP 2.7        Identify and Involve Relevant Stakeholders

Identify and involve the relevant stakeholders of the project monitoring and control process as planned.  [GP124]

Elaboration:

This generic practice is different from monitoring stakeholder interaction for the project, which is covered by a specific practice in this process area.  [PA162.EL107]

Examples of activities for stakeholder involvement include the following:  [PA162.EL108]

           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.  [GP110]

Elaboration:

Examples of measures used in monitoring and controlling include the following:  [PA162.EL105]

           Number of open and closed corrective actions

           Project milestone dates (e.g., planned versus actual and slipped milestones)

           Number and types of reviews performed

           Review schedule (planned versus actual and slipped target dates)

 

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.  [GP113]

Elaboration:

Examples of activities reviewed include the following:  [PA162.EL106]

           Monitoring project performance against the project plan

           Managing corrective actions to closure

 

Examples of work products reviewed include the following:  [PA162.EL109]

           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.  [GP112]

GG 3           Institutionalize a Defined Process

                   The process is institutionalized as a defined process.

GP 3.1        Establish a Defined Process

Establish and maintain the description of a defined project monitoring and control process.  [GP114]

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.  [GP117]

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 that address quality and process performance based on customer needs and business objectives.  [GP118]

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.  [GP119]

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.  [GP125]

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.  [GP121]