Monitoring and Controlling includes all of the activities, processes, and metrics needed to ensure the project is proceeding in accordance with the Project Management Plan (PMP). This includes ensuring that the project remains within the approved scope, schedule, budget, and quality thresholds so that it can proceed with the least possible risk. Actual project performance is compared to planned project performance, with corrective or preventative actions approved, planned and executed as necessary.

•   Recommended Practices

• Monitoring and Controlling incorporates multiple, proactive processes and activities to help determine if a project is still on track. If changes are required, preventative or corrective actions are implemented through Change Requests and/or changes to project plans. Constant vigilance is required of Project Managers and the project team to maintain effective Monitoring and Controlling activities throughout the project. The following practices are recommended to assist project teams with conducting Monitoring and Controlling.

  Continually Monitoring and Controlling Throughout the Project

  Monitoring and Controlling does not have a finite beginning or end during the project lifecycle. In most projects, Monitoring and Controlling starts in the Initiating Process Phase and concludes at the close of the project. Depending on the project, its processes and activities are conducted continuously. Monitoring and Controlling spans the breadth of project activity, including integrated Change Control, schedule, costs, scope, risks, issues, communications, contracts and procurements (including contractor performance, and quality).

  See the Big Picture and Practice Integrated Change Control

  Monitoring and Controlling may result in Change Requests and/or updates to project plans or other documentation. Integrated Change Control ensures that these changes are not handled in isolation, but rather are managed in coordination with all of the project’s knowledge and activity areas. Monitoring and controlling the entire project, including changes to project plans and work.

  Take Corrective and Preventative Actions Sooner Rather Than Later

  Monitoring and Controlling is a continuous process, proactive by nature. A goal is to use the most up-date-date metrics and progress/status reports for comparison against project plans to identify potential issues or risks as early as possible. This allows preventative or corrective actions to be taken while a problem is still very manageable or has not yet impacted the project in a significant way.

  Manage Project Team and Stakeholders in a Way that Encourages Open Communication About Project Progress

  Monitoring and Controlling will be much less effective without an open and accurate flow of information how a project is progressing. Maintain an atmosphere that encourages team members (including any vendor staff) and other Stakeholders (including any contractor staff) to maintain accurate status and progress reporting and voice any concerns based on their perspective of project work. Ensure that external Stakeholders are “kept in the loop” and know-how and where to provide feedback as provided for in the project’s Stakeholder Management Plan and/or Communication Management Plan.

  Maintain a Clear View of Ongoing Contractor Performance
  If the project is contracting out for some part of its work, ensure that the correct state procedures are being followed to ensure that the contracted work is being performed on schedule and with the expected quality. Consult the contract(s), the project’s Contract Management Plan, and legal counsel as necessary if reporting and/or performance issues arise.

•   Roles

• The following table identifies primary participant roles and responsibilities during Monitoring & Controlling. In some cases, a project might have unique requirements that call for additional roles or responsibilities depending on the project’s size, type, and complexity.

  Definitions of all roles referenced in the CA-PMF is provided in Project Role Definitions in the Additional Resources chapter.

  Role	Responsibilities
  Executive Sponsor(s)	Provides agreement for executive intervention to overcome organizational roadblocks. Key to driving the project goals and objectives to align with the organization’s strategic direction.
  Project Sponsor	Key to driving the project goals and objectives to align with the organization’s strategic direction. Key to resolving escalated issues related to the Triple Constraint: scope, schedule, cost, and quality.
  IT Sponsor	Provides technical information, resources, and support to complete Monitoring and Controlling activities.
  Business Owner(s)*	Provides information pertaining to a preferred product or solution. Able to validate that requirements are met.
  Project Manager	Responsible for directing, managing, monitoring, controlling, and communicating all work associated with the project outcome.
  Stakeholders	Any person or group that has an active interest in the project outcome or process, and wishes to participate, or is invited to participate, in the tasks associated with Monitoring and Controlling activities. At this point in the project, a Stakeholder is usually receiving project status reports.
  Department of Technology (CDT)	Provides input, guidance, approval/disapproval of the project and/or project activities.

  * May also be referred to as Business Sponsor.
   
•   Processes

• The following processes are associated with this process phase. The list below contains a high-level description of these processes. See the Processes and Activities section of the Concept chapter in the AIT-PMF for more detail.

  Identify the Project Sponsor(s) and Stakeholders - The sponsoring organization’s leadership typically will be tasked with the assignment of a Project Sponsor and the preliminary identification of key potential Stakeholders. If applicable, consult with the organization’s Project Management Office (PMO) or IT Governance Process to determine if there already are internal processes for proposing and approving project concepts. Typically, a Project Manager has not yet been formally named at this early stage.

  Conduct a Readiness Assessment - The Readiness Assessment is used to communicate the reason for taking on the project, including the business problem or opportunity to be addressed, potential benefits and outcome, strategic alignment, and return on investment. It also assesses the potential project’s impacts on the organization and its staff, and whether the organization is prepared to successfully conduct the project.

  Project Approval Process - The state’s project approval process starts during the Concept Process Phase. This includes completing and submitting a draft Stage 1 Business Analysis (S1BA) as part of the Project Approval Lifecycle (PAL). The information compiled for Concept Development and Readiness Assessment can be useful in departmental and/or statewide project approval processes.

  Concept Process Phase Review - A Concept Project Phase Checklist is completed after all of the phase’s activities are done. This ensures that the necessary activities have been completed and that a foundation has been established for the project.

•   Activities

• The following activities are undertaken in support of the processes that are associated with Monitoring & Controlling. The list below contains a high-level description of these activities. See the Processes and Activities section for more detail.

  Manage Change Control, Procurements, Costs, Issues, Project Work, Quality, Requirements, Risks, Schedule, Scope, Communication, and Stakeholder Engagement (Executing) - Monitoring and controlling involves comparing actual performance with planned performance, and taking corrective action to reach the desired outcome when significant deficiencies exist. Monitoring and Controlling is likewise very much part of the Project Management Lifecycle (PMLC) as described in the CA-PMF. In the CA-PMF, the Monitoring and Controlling processes are continuously performed throughout the life of the project starting in the Initiation Process Phase. However, many Monitoring and Controlling activities occur during the project’s Execution Process Phase.

  Update and Edit the Process Phase Documents (Initiating) - The Initiating Process Phase introduces monitoring and controlling activities. This includes the Project Sponsor and Project Manager updating and editing the process phase’s outputs to ensure quality and timeliness of completion. The Charter, PMP, and other project plans are updated based on information collected from monitoring activities and approved Change Requests.

  Complete Change Request Documentation (Most Process Phases) - The Change Control Process description in the Change Control Management Plan should include the person or governing body (board) responsible for reviewing, evaluating, approving, delaying, or rejecting changes and communicating the decision. In some cases, major corrective or preventative actions may trigger reporting requirements to Control Agencies or development of a Special Project Report (SPR). The project should accurately complete all documentation related to Change Requests and Change Control management and ensure it is readily available for review in the project library.

  Review and update the Issue Log, Risk Log, and Project Schedule (Concept, Planning, and Executing) - Monitoring includes project risks, issues, and schedule. Tools include the Issue Log, Risk Log, and Schedule, which are analyzed and updated as required. This is primarily conducted during the Planning and Execution Process Phases, though initial risk analysis takes place in the Concept Process Phase. Conducting Risk Management activities will, in turn, require periodic updates to the risk, issue and change logs as necessary for proper monitoring and controlling of the project. The Issue Log is updated based on information collected from monitoring activities per the project’s Issue Management Plan. The Risk Log is updated based on new risk information collected from monitoring activities per the project’s Risk Management Plan. The Project Schedule is updated as necessary based on information collected from monitoring activities and approved Change Requests.

•   Tools

• A number of project management documents are used during the Monitoring & Controlling of a project. Those listed in the table below may be updated and revised throughout the Monitoring & Controlling process. Additional project documents may also be revised or updated depending on the specific nature of the project.

  For a complete list of all tools that are part of the CA-PMF see the templates page.

  Tool/ Output	Definition
  Risk Log	The Risk Log is updated based on new risk information collected from monitoring activities per the project’s Risk Management Plan.
  Issue Log	The Issue Log is updated based on information collected from monitoring activities per the project’s Issue Management Plan.
  Project Status Reports (Oversight)	Project Status Reports are created/updated based on internal status reports and information collected from monitoring activities.
  Project Schedule	The Project Schedule is updated as necessary based on information collected from monitoring activities and approved Change Requests.
  Project Plans	The Charter, PMP, and other project plans are updated based on information collected from monitoring activities and approved Change Requests.
  Change Request Forms and Change Request Log	Change Request Forms are completed to initiative Change Requests based on monitoring activities. The Change Request Log is updated to reflect the status of all Change Requests.

   
•   Outputs

• As Monitoring & Controlling is an activity that transpires through much of the project life cycle, project documentation is updated at various stages. Specific deliverables associated with each process phase are developed as a result of the processes and activities conducted during that phase. Outputs associated with Monitoring & Controlling are listed below:

  • Updated Risk Log

  • Updated Issue Log

  • Change Requests

  • Updated Change Request Log

  • Updated Project Schedule

  • Updated Project Plans and Documents as needed

  • Updated Project Status Reports