Project Monitoring and Control Process

PR-PMC-03 v1.0

Project Monitoring and Control Process for SSC Pacific

1/27/09

Process: Project Monitoring and Control Phase: Global Process Owner: SSC Pacific Management Integrated Product Team (IPT) Description: The purpose of Project Monitoring and Control (PMC) is to monitor the status of the project using identified measures and perform re-planning as necessary when a significant variance exists between the status and the plan. Entry Criteria: Outputs: • A project is currently in execution • Updated plans and planning documentation • WBS has been developed • Updated Action/Issue/Risk Log • Measures have been identified • Measurement and analysis results Inputs: • Information on work performance • Approved project planning documentation, such • Measures of project status as those listed below: • Change management records  Project Management Plan • Verification of task and activity completion  Configuration Management Plan Exit Criteria:  Quality Assurance Plan • The deliverable work product(s) or provided  Risk Management Plan service is complete OR  Requirement Management Plan • The project has been suspended  Communications Plan Project monitoring and controlling activities are  Training Plan not expected to cease until the project is made  Facilities Plan inactive or closed.  Project Measurement Plan Roles: • Project Manager (PM) and/or designee: Monitors and controls the project and its resulting products and/or services. Reviews and interprets data. Authorizes replanning actions • Sponsor/Senior management: May review and interpret data; may authorize revised actions; may conduct formal reviews • Project Members: participate in reviewing project plans, perform implementation of work products, and submit measurement/status data, as requested • Quality Assurance (QA): Objectively verifies implementation of this process and its work products. • Configuration Management (CM): Controls designated work products of the process. Assets/References: a. SSC Pacific Standard Process Assets Architecture (SPAA) Definition, DC-OPD-15, SSC Pacific b. Systems/Software Engineering Management Policy, SSC San Diego Instruction 5234.2, SSC San Diego c. SSC San Diego Project Management Guide (PMG), PR-OPD-29, SSC San Diego d. Procedure Development Process (Expert Mode), PRX-OPD-09, SSC San Diego e. Expert Mode Process/Procedure Template, TM-OPD-04, SSC San Diego f. Peer Review Process for SSC Pacific, PR-VER-01, SSC Pacific g. Systems Engineering – System Life Cycle Processes, International Organization for Standardization (ISO)/International Electrotechnical Commission (IEC) 15288, ISO/IEC 15288:2002(E), Nov 2002 h. CMMI for Development (CMMI-DEV, V1.2), Carnegie Mellon University (CMU) / Software Engineering Institute (SEI), CMU/SEI-2006-TR-008, Aug 2006 at http://www.sei.cmu.edu/cmmi/ i. Supplier Agreement Management (SAM) Process for SSC Pacific (draft), PR-SAM-02, SSC Pacific j. Action/Issue/Risk Log k. Product and Process Quality Assurance Process for SSC San Diego, PR-PPQA-02, SSC Pacific l. Project Planning Process for SSC Pacific, PR-PP-11, SSC Pacific m. Measurement & Analysis Process for SSC Pacific, PRX-MA-02, SSC Pacific n. Configuration Management Process for SSC Pacific, PR-CM-02, SSC Pacific

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PR-PMC-03 v1.0

Project Monitoring and Control Process for SSC Pacific

1/27/09

Tasks: 1. Continuously Monitor the Project 2. Analyze Issues 3. Take Corrective Action 4. Manage Corrective Action to Closure Measures: (These are suggested measures. Use one or more or devise your own.) • Number and types of reviews held vs. planned • Planned vs. actual milestones met • Number of needed and completed corrective actions • Effort expended on process tasks vs. planned

INTRODUCTION This process is one of the Organization’s Set of Standard Processes (OSSP) described in the SSC Pacific Standard Process Assets Architecture (SPAA) Definition, reference (a). The process satisfies applicable requirements in the Systems/Software Engineering Management Policy, reference (b) and the SSC San Diego Project Management Guide, reference (c). The process was developed using standard process documentation guidance in the Procedure Development Process (Expert Mode), reference (d) and the format described in the Expert Mode Process/Procedure Template, reference (e). The process was verified through peer reviews as described in the Peer Review Process for SSC Pacific, reference (f). The primary sources for tasks in this process were the Systems Engineering – Systems life cycle processes, reference (g) and the CMMI for Development, reference (h). A diagram of the Project Monitoring and Control Process is shown in Figure 1.

TASKS NOTES: 1.

Tasks 1a through 1f are performed independently.

2. Significant deviations can mean different things to different projects; the acceptable performance parameters of a project should be determined during the project planning process. In general, a significant deviation is one that would preclude meeting project objectives if left unresolved, thus requiring project or process re-planning. 3. For the monitoring and control of supplier agreements, see the SAM Process for SSC Pacific, reference (i). 1. Continuously Monitor the Project (Project Manager/Project Members) The PM tracks the project’s planning parameters, the commitments to and from its stakeholders, the risks and issues associated with planning and monitoring, the involvement of stakeholders, and the management of all data associated with planning and tracking. a. Monitor Project Planning Parameters (Project Manager/Project Members) Monitor project planning parameters such as budget, schedule, work products, activity attributes, resources, knowledge and skills. Measure the actual data against the project plan(s); do not forget that requirements changes can potentially affect project planning parameters as well. Criteria to trigger re-planning are documented during project planning to define when a significant deviation occurs. Go to Task 2.

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PR-PMC-03 v1.0

Project Monitoring and Control Process for SSC Pacific

1/27/09

Figure 1. Project Monitoring and Control Process Flow b. Monitor Commitments (Project Manager/Project Members) Monitor that the project’s commitments are being met. This involves the project meeting its commitment to others and determining that others are meeting their commitments to the project. Determine if there are any significant deviations from the project plan. Go to Task 2. c. Monitor Project Risks (Project Manager/Project Members) The PM establishes monitoring procedures to capture issues and risks associated with planning and tracking. These procedures include the activities listed below: 1) Measuring the progress of issue/risk resolution 2) Validating risks identified in earlier project activities 3) Determining if there are new risks 4) Updating the project’s Action/Issue/Risk Log, reference (j) to reflect updated riskrelated activity 5) Communicating issue/risk status to the project’s stakeholders. Determine if there are any significant deviations from the plan. Go to Task 2.

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PR-PMC-03 v1.0

Project Monitoring and Control Process for SSC Pacific

1/27/09

d. Monitor Data Management (Project Manager/Project Members/QA/CM) Verify that the project’s data are being managed according to plan. Establish that the project data are being retained as planned. This activity is related to auditing the Configuration Management (CM) function using Process and Product Quality and Assurance (PPQA) Process, reference (k). Determine if there are any significant deviations from the project plan. Go to Task 2. e. Monitor Stakeholder Involvement (Project Manager/Project Members) Ensure that the project stakeholders are participating according to plan. Determine if there are new, previously-unidentified stakeholders or changes to the status of previously-identified stakeholders. Determine if there are any significant deviations from the project plan. Go to Task 2. f.

Conduct Progress and Milestone Reviews (Project Manager/Project Members)

Conduct progress and milestone reviews as planned. Progress reviews do not have to be formal; however, resulting decisions and action items need to be recorded and tracked for implementation and to closure. Milestone reviews are more formal and should be treated as such since they mark significant points in the project’s lifecycle. (Are they being conducted on schedule?) Determine if there are any significant deviations from the plan. Go to Task 2. If there are no significant deviations (greater than the documented criteria in the project plan that triggers re-planning), continue with monitoring and control activities as planned. If there are significant deviations, go to Task 2. 2. Analyze Issues (Project Manager/Project Members) Analyze the issues associated with the deviations. A full understanding of both the obvious and underlying issues (some root origin analysis may be appropriate) is necessary before determining the necessary corrective action. Identify answerable individual(s) for this action. 3. Take Corrective Action (Project Manager/Project Members) Document the needed corrective action by updating applicable project plan(s) and any project records affected. This may involve re-planning budget, schedule, and/or resources. Return to the Project Planning Process for SSC Pacific, reference (l), if needed. Take corrective action as documented and agreed upon by the answerable individual(s). 4. Manage Corrective Action to Closure (Project Manager) Ensure that all steps taken to mitigate significant deviations from the plan are carried out as scheduled. Ensure any data that needs to be modified as a result of the corrective action is appropriately updated, using the previously-defined change mechanism. Document lessons learned from following this process. Return to Task 1 unless the project is suspended or completed. Tailoring Guidance Task(s) may be added to; task(s) may not be deleted; tasks may be combined. Tasks may be reworded to reflect Department terminology so long as the spirit of the task is retained. The process owner is expected to be changed.

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PR-PMC-03 v1.0

Project Monitoring and Control Process for SSC Pacific

1/27/09

Monitoring and Controlling consists of those processes performed to observe project execution so that potential problems can be identified in a timely manner and corrective action can be taken, when necessary, to control the execution of the project. The key benefit is that project performance is observed and measured regularly to identify variances from the project management plan.

Monitoring and Controlling includes: •

Measuring the ongoing project activities (where we are);

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Monitoring the project variables (cost, effort, scope, etc.) against the project management plan and the project performance baseline (where we should be);

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Identify corrective actions to address issues and risks properly (How can we get on track again);

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Influencing the factors that could circumvent integrated change control so only approved changes are implemented

In multi-phase projects, the Monitoring and Controlling process also provides feedback between project phases, in order to implement corrective or preventive actions to bring the project into compliance with the project management plan. Project Maintenance is an ongoing process, and it includes: •

Continuing support of end users

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Correction of errors

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Updates of the software over time

In this stage, auditors should pay attention to how effectively and quickly user problems are resolved. Over the course of any construction project, the work scope may change. Change is a normal and expected part of the construction process. Changes can be the result of necessary design modifications, differing site conditions, material availability, contractor-requested changes, value 5

PR-PMC-03 v1.0

Project Monitoring and Control Process for SSC Pacific

1/27/09

engineering and impacts from third parties, to name a few. Beyond executing the change in the field, the change normally needs to be documented to show what was actually constructed. This is referred to as Change Management. Hence, the owner usually requires a final record to show all changes or, more specifically, any change that modifies the tangible portions of the finished work. The record is made on the contract documents – usually, but not necessarily limited to, the design drawings. The end product of this effort is what the industry terms as-built drawings, or more simply, “as built.” The requirement for providing them is a norm in construction contracts. When changes are introduced to the project, the viability of the project has to be re-assessed. It is important not to lose sight of the initial goals and targets of the projects. When the changes accumulate, the forecasted result may not justify the original proposed investment in the project. Closing

Closing Process Group Processes.[18]

Closing includes the formal acceptance of the project and the ending thereof. Administrative activities include the archiving of the files and documenting lessons learned. This phase consists of: •

Project close: Finalize all activities across all of the process groups to formally close the project or a project phase

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Contract closure: Complete and settle each contract (including the resolution of any open items) and close each contract applicable to the project or project phase

Project control systems

Project control is that element of a project that keeps it on-track, on-time and within budget. Project control begins early in the project with planning and ends late in the project with postimplementation review, having a thorough involvement of each step in the process. Each project should be assessed for the appropriate level of control needed: too much control is too time consuming, too little control is very risky. If project control is not implemented correctly, the cost to the business should be clarified in terms of errors, fixes, and additional audit fees. Control systems are needed for cost, risk, quality, communication, time, change, procurement, and human resources. In addition, auditors should consider how important the projects are to the financial statements, how reliant the stakeholders are on controls, and how many controls exist. Auditors should review the development process and procedures for how they are implemented. The process of development and the quality of the final product may also be assessed if needed or requested. A business may want the auditing firm to be involved throughout the process to catch problems earlier on so that they can be fixed more easily. An auditor can serve as a controls consultant as part of the development team or as an independent auditor as part of an audit.

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PR-PMC-03 v1.0

Project Monitoring and Control Process for SSC Pacific

1/27/09

Businesses sometimes use formal systems development processes. These help assure that systems are developed successfully. A formal process is more effective in creating strong controls, and auditors should review this process to confirm that it is well designed and is followed in practice. A good formal systems development plan outlines: •

A strategy to align development with the organization’s broader objectives

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Standards for new systems

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Project management policies for timing and budgeting

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Procedures describing the process

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Identify the inputs used to direct and manage project execution Recognize examples of the tools used to direct and manage project execution Recognize examples of outputs of the Direct and Manage Project Execution process Distinguish between monitoring activities and controlling activities Sequence the steps in the project monitoring and control cycle Recognize examples of the inputs to monitoring and controlling work performance Recognize the actions a project manager would take to monitor and control project performance Recognize the principles associated with updating project baselines Identify the outputs of the Monitor and Control Project Work process

• •

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