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CHAPTER 5
PROJECT EXECUTION AND CONTROL

TABLE OF CONTENTS

WHAT HAPPENS DURING PROJECT EXECUTION?....................................................3
MANAGEMENT DURING PROJECT EXECUTION.........................................................3
PROJECT CONTROL PROCESSES..................................................................................................................4
PROJECT CONTROL PROCESS....................................................................................5
CHANGE CONTROL........................................................................................................6
CHANGE CONTROL DURING PROJECT EXECUTION.........................................................................................6
CHANGE CONTROL PROCESS.....................................................................................8
THE CHANGE CONTROL FORM .....................................................................................................................9
WHAT IS ISSUE MANAGEMENT?................................................................................11
ISSUE MANAGEMENT PROCESS................................................................................12
THE ISSUE RESOLUTION FORM...................................................................................................................13
CORRECTIVE ACTIONS DURING PROJECT EXECUTION ........................................15
SOURCES OF PROJECT PROBLEMS ............................................................................................................15
FIXING A PROBLEM WITH A RECOVERY PLAN ..............................................................................................16
THE FORMAL REVIEW PROCESS...............................................................................17
THE INFORMAL REVIEW PROCESS...........................................................................17
THE STATUS REVIEW.................................................................................................................................18
A MODEL MEETING AGENDA......................................................................................................................19
EXECUTIVE STEERING COMMITTEE MEETINGS.............................................................................................20
RISK CONTROL.............................................................................................................20
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RISK MONITORING AND MITIGATION DURING PROJECT EXECUTION ..............................................................20
RISK MONITORING IS AN ITERATIVE PROCESS.............................................................................................21
RISK CONTROL CYCLE...............................................................................................................................21
THE ROLE OF THE RISK MANAGER .............................................................................................................22
RISK MEETINGS.........................................................................................................................................22
ON-GOING RISK IDENTIFICATION.................................................................................................................22
RISK RESOLUTION.......................................................................................................23
PROJECT TRACKING AND MONITORING..................................................................24
EXAMPLE - PROJECT TRACKING MATRIX................................................................28
ACTIVITY AND SCHEDULE TRACKING ..........................................................................................................30
PROJECT SCHEDULE UPDATE...................................................................................31
WHAT IS PROJECT MONITORING? ............................................................................31
FINANCIAL METRICS ..................................................................................................................................37
PROJECT TRACKING AND REPORTING PROCESS.........................................................................................41
THE STATUS REPORT PACKAGE.................................................................................................................42
INDEPENDENT REVIEWS .............................................................................................................................42
MANAGING EXTERNAL PROJECT MANAGERS........................................................44
EXTERNAL PM PROCESS...........................................................................................................................45










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What Happens During Project Execution?

Once a project reaches the execution process, the Project Plan should have been fine-tuned and
baselined, and a Project Team and the necessary resources should be in place to produce the
project deliverables. The Project Manager now focuses on working the plan. This process is
graphically presented below.

Management during Project Execution
BaselinePlan
Established
Updateto
BaselineDone
as Needed
ChangeControl,
Risk Management
and Issue
Identification Done
Project is
Executed
Project is Tracked,
Monitored, and
Reviewed





The focus of project management during the execution process is to:
Track and monitor project activities to measure actual performance to planned
performance
Review and communicate status and future actions
Monitor and mitigate potential risks
Execute a rigorous change management process to control changes to the projects
objectives, specifications and overall definition
Execute an issue tracking process to ensure that there is a central repository for
project issues that are addressed in a timely fashion
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Have in place a process to document and track plans to correct an issue that
impacts the plan and which establishes guidelines for updates.
Project Control Processes

The Project Plan serves as the basis for the project's monitoring, controlling and reporting
activities. By following the Plan and gathering data for the status meetings and reports,
information will be available to accurately identify any concerns or problems.

Once a project has been baselined and project execution starts, then it needs to be controlled.
This section deals with the control of the project after start-up. This involves processes that
should be in place to ensure that the project progresses according to the Project Plan. During
tracking, monitoring and reviewing, the Project Team collects data to assess the status of the
project. These activities always include:
Reviewing the completed activities and comparing to plan
Identifying milestones reached and comparing to plan
Identifying deliverables completed comparing to plan
Identifying problems or issues.

Project control activities that may be needed include:
Addressing issues
Reviewing change requests and taking action on them
Preparing action plans to deal with planned and unplanned risks
Rescheduling as necessary and as approved by the Steering Committee,
Sponsor or stakeholders.
Reallocating resources to adjust for productivity variances
Adding resources and/or equipment to deal with changed scope
Updating project schedule and progress information
Updating budget and variances.


The next figure presents a graphic view of the project control process.












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Project Control Process

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Change Control

Change Control during Project Execution

There are three processes that will significantly increase the chances of project success and will
help with the overall management of the project. These processes are collectively referred to as
Change Management and include:
Change Management
Issue Management
Version Management

During planning, the management approach for these areas is identified. At start-up,
responsibility for these areas should be assigned, and these processes should be in place and
working. In many regards, the processes are similar and the purposes are the same -- to help
control the project. At times, a requester may not be sure if an item is a change or an issue. In
fact, many times an item will start in the issue process and end up in the change process.

The difference between an issue and a change rests in how a project is impacted. Change, as
indicated in its name, affects the view of the project and will impact the project scope or product
scope, e.g. project definition, and/or specification.

Issues may not have an impact on the defined projects product scope or project scope. Issues
are identified in the form of questions, problems or suggestions raised by the Project Team,
management, or contractor. If they become a change request, they can often affect the status of
tasks or deliverables, which would result in changes to cost and schedule.

Version management or version control is important to ensure a quality product, to minimize
errors and to minimize duplication of effort. Version control is a process used to control the
release and installation of versions of potentially any deliverable produced by the project team. It
is similar to change and issue management because it requires the same level of focus. A
project without good version control processes is at high risk of project failure.

You Can't Manage What You Don't Control

As discussed earlier, too much change in a project is one of the major reasons projects fail. This
is the area in which Project Managers continually lose control. One reason is a lack of discipline
within the Project Team and with the customer to resist changing the stated deliverable of the
project. A solution is to establish a critical baseline of the projects deliverable and to document
it. These documents are the Project Plan, the product specification, and other development
documents that are placed under Change Management. Whenever a question is raised about
changing the project or deliverable, the baseline documents are always the reference point.
Anything that alters the baseline is a change.

If an individual is not sure if it is a change, then treat it as an issue.

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Part of controlling a project is to have established change management processes. These
processes are established, or at least reviewed, as part of the planning process and kept current
until project close-out.

The key elements to these processes are:
A central repository for change, issue and version information
Summary of information for the processes on either a change request form or issue
form
Detailed and well understood change management processes
Assignment of a responsible person to track change management by the Project
Manager, Project Sponsor or Steering Committee
The change management process can be managed by either the Project Manager or a
member of the Project Team
Inclusion of change and issue summary information as part of the standard project
status meetings
Consistent and ongoing evaluation of change and issue items and development of
appropriate resolution/implementation strategies.

To maintain the balance between requirements and the schedule, the project team should use a
well-defined Change Management Process. This process allows for change during the project's
life cycle, but always puts the change in the context of the latest version of the approved Project
Plan. This version is called the current baseline.

The change management process consists of a series of steps that allows changes to be
identified, evaluated, priced and tracked through closure. If the change is significant, you should
perform a Cost Schedule Impact Analysis (CSIA). A CSIA is a detailed analysis of what the
change might cost and what impact it might have on the project schedule. This analysis is
performed and approved under the direction of the Project Sponsor and the Steering Committee.

The process defined in the following figure may be too complex for some projects and not
complex enough for others. It portrays an overall flow of a change request within a change
management framework. In any case, the goal is for projects to implement and use a process
that fits the project and the organization.








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Change Control Process






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The Change Control Form

Stakeholders may submit a change request on any desired change to the planned work or the
features or functions of any planned products. An approved change control form should be
submitted, and after the related authorization has been completed, changes would be
implemented. This might impact project plan and budget.

The change control form is included in Appendix B: Forms.

The form is additive. In other words, additional information is completed on the form as it moves
through the process. This process is iterative in that it will keep occurring until the project is
complete.

Section 1 - Requester Information

The change control form includes the following:

Identification Block - is completed by the requester and identifies the change request title, which
will be used in subsequent communication, the date submitted, and the person and organization
submitting the request.

Proposed Change Description and References - describes the change being proposed and
clearly identifies whether the change is system, organizational, procedural or product related.
Any reference material that will assist the reviewers should be identified and attached.

J ustification - a discussion of why the change is being proposed, including a cost benefit
analysis, if already complete. In summary, the requestor should define how the organization will
benefit from the change.

Impact Statement - if the change is not implemented, how will it adversely affect the customer
and organization?

Alternatives - list at least one alternative (more if possible) to the change you are proposing, and
briefly indicate why the proposed change is better.

When complete, submit to the Project Manager or appropriate individual. At that time, a control
number will be assigned so it can be tracked to resolution.

Section 2 - Initial Review of the Change Request

All change requests will be reviewed on a regular basis by the Project Manager, Project Sponsor
and, if necessary, the Steering Committee. The actual schedule will depend on where the
Project Team is in terms of the project life cycle. The Project Manager will drive the schedule
based on the number and complexity of change requests.

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As part of phase 2 of the change control process, the appropriate person will complete the
second part of the form, which includes:

Initial review results and disposition - the Project Manager will review the initial request and
determine whether to proceed, reject or defer the request. In moving forward, the request may
be assigned to an analyst for further analysis.


Section 3: Initial Impact Analysis

The assigned team members will make an initial assessment of the cost, schedule and
resources needed to implement the proposed change. If the requested change is complex, and
an initial assessment cannot be made quickly, a Cost/Schedule Impact Analysis (CSIA) should
be requested.

The analyst will indicate this and will estimate the cost, schedule and resources needed to
perform the CSIA.

The Project Sponsor or Steering Committee will once again review the requested change and
either accept, reject or defer the change.

Section 4: Final Review Results and Change Priority

When the analysis has been completed, and if the change is approved by the Project Manager
or Project Sponsor, and if it exceeds their approved budget level, the Project Manager will submit
the change to the Steering Committee for review.

If approved, the appropriate processes will be followed to update contracts and the baseline
documents.











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What is Issue Management?

PMBOK defines an issue as a point or matter in question or in dispute, or a point or matter that is
not settled and is under discussion or over which there are opposing views or disagreements.
Issue management is a process that provides a mechanism to process and review issues.
Issues that develop during the project need a way to be raised by the Project Team and for the
Team to know that they will be addressed.

When issues arise, they need to be resolved in a consistent and disciplined manner in order to
maintain the quality of the deliverable, as well as to control schedules and cost. The issue
management process ensures that the differences, questions and unplanned requests are
defined properly, escalated for management attention and resolved quickly and efficiently.

The issue management process should handle technical problems or issues, as well as process,
organizational and operational issues. The process considers:

Appropriate procedures for issue escalation
Level of management that needs to be involved for escalation
Required time for resolution
Responsibility for researching or resolving the issue.

The following chart is a generic process for submitting, reviewing and gaining closure on an
issue within a project. This is a process that may be too complex for some projects and not
complex enough for others. The goal is for projects to implement and use a process that fits the
project and the organization.
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Issue Management Process
Business Issue or
Technical Issue
"Individual"
Resolution
Resolved ?
P roject
Status Team
Review
Conduct
Research and
Report Results
Resolved?
Executive
Management
Review
Document
Resolution
Does Resolution
Lead to Change
P roblem
Closure
Go to
Change
P rocess
By P M or Sponsor
using Informal P rocesses
Y
N
Y
Y
N
N
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The Issue Resolution Form

The issue resolution form gives everyone involved with the project a way to report issues or
problems. It provides a template for documenting the issue, assessing the impact of the issue
and making recommendations. If it becomes a change request, it provides a mechanism for
documenting the Cost and Schedule Impact Analysis.

The issue process is also iterative in that it will keep occurring until the issue is closed or the
project is complete.

Section 1 - Requester Information

The issue resolution form is included in Appendix B: Forms.

The issue resolution form is divided into major categories. The first part is completed by the
person reporting the issue. Its major categories include:

Identification block - identifies the issue title, which will be used in subsequent communication,
the date submitted, and the person and organization submitting the issue.

Issue classification and description -
Description of issue
Recommendations, if any
Impact (if not resolved)
Date required and proposed assignee.

Each category should be self-explanatory, but individuals should be directed to the Change
Manager for assistance, as needed. Attach any supporting documentation that helps clarify the
problem or issue, such as report outputs, customer screens being used, the steps performed
leading to the problem, error messages, etc. When complete, submit to the Change Manager.
At that time, a control number will be assigned so that the issue can be tracked to completion.

Section 2 - Initial Review of the Issue

All issues should be reviewed on a regular basis at the project team status meetings.

The group will complete the second part of the form which includes:

Reviewer information and initial comments
Estimate of additional effort, if appropriate
If the issue becomes a change, responsible person and planned completion date
Signatures.
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Section 3: Tracking

All items will be tracked until they are resolved either by closure or by moving to the change
control process. The Change Manager will report on all open issues at the status meetings. If
the list of issues is too long, only the new or key issues should be discussed. At times, it may be
advisable to pre-distribute issue information so that the group can review the material before the
meeting. Major issues and their resolution should always be reported to the Project Sponsor or
Steering Committee.

Section 4: Final Review Results and Change Priority

When the issue or problem has been resolved, verified and documented the issue is closed.

If the issue does become a change, the process is to transfer the issue to the change control
process and track it as a change request.







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Corrective Actions During Project Execution

When a project encounters problems, they need to be evaluated and decisions made on
corrective actions. If the project is off schedule or over budget, steps should be taken to
determine the following:

Is the project still meeting its original objectives?
Are the issues so great that the project must be adjusted?
Can the project meet the documented organizations business needs?

The corrective action process can go hand-in-hand with the change control process; however,
the change control process is not intended to solve problems that need to be addressed in an
urgent manner or where there is a question on the stability of the project.

Generally, problems that fall into the category of needing corrective action require immediate
action by the Project Management Team and the Steering Committee.
Sources of Project Problems

Situations that normally require corrective actions fall into the following categories:

Internal Examples:
A task or group of tasks is significantly behind schedule or over budget, and it
impacts the overall Project Plan
A major milestone is missed
The functionality of the project deliverables are not meeting project objectives
Critical path dates are being missed.

External Examples:
A major problem may have surfaced, and the resolution to the problem does not
allow the project to be developed as specified
The organization environment has changed, and the current IT project is not part of
the solution for meeting the defined business needs
Regulatory changes have occurred
Funding has been withdrawn or modified.

All of the internal situations identified above represent increasing severity for the Project Team.
They span a wide range of possible solutions ranging from simple additional attention at the
status meeting to developing complete and detailed corrective plans or actually stopping the
project.

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A key part of project management is providing immediate action to identified problems and
developing successful corrective plans. Corrective action plans can take the form of updates,
reallocating resources or changing the way the project is coordinated or organized.

Corrective action that was planned as a result of risk planning is referred to as contingency
actions. Corrective action that was unplanned is referred to as a workaround.

The corrective actions available revolve around balancing the cost, schedule and technical
performance parameters of the project. However, stakeholders and executive managers should
also be involved at an early point in the process. They have the ability to impact the corrective
action process by shifting business priorities, reaffirming their support for the project and
showing commitment to having it updated. If they are not brought in early, their support may be
more difficult to obtain.

Fixing a Problem with a Recovery Plan

An effective control process doesnt just track, monitor and review, but it also re-directs the
project if a major problem occurs. The first rule is to try and protect the overall integrity of the
project charter and the project schedule by developing a Recovery Plan. The goals of the
Recovery Plan are to:

Fix the problem quickly
Limit the damage.

Detailed recovery plans should be put in place if a problem will cause harm to cost, schedule or
quality of the project. The Recovery Plan should:

Identify the owner of the Recovery Plan
Identify the sequence of activities that must occur to complete the resolution
Determine the dates when each activity of the Plan will be started and completed,
and identify the dependencies of each activity
Ensure that the appropriate people approve the Recovery Plan
Reflect the outcome, if the Recovery Plan is successful, in terms of schedule,
activities modification and cost.

All recovery plans should be tracked following the reporting guidelines covered in the Tracking
and Monitoring section of this chapter.





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The Formal Review Process

J ust as tracking and monitoring are critical to controlling a project, so too is reviewing. One of
the major causes of a project getting off schedule is the lack of attention to:

Formal and consistent project reviews
Setting up and using informal assessment methods.

The focus of project reviews is to ensure that information is being shared, communicated and
evaluated. Where tracking and monitoring focused on the process of measuring actual project
performance to the baseline, reviewing focuses on sharing that data and other related
information with the project stakeholders.

As in all other areas of project management, the review process needs to be tailored to the
specific project. However, there are some minimum review activities that should be performed.
All of these should be in the Project Plan:

Detailed design reviews, design walkthroughs and peer reviews
Status meetings should be conducted by project team leaders as needed
Executive reviews - as needed
Quality assurance audits - as needed; will depend on the size of the project and the
risk. However, each organization is encouraged to develop its own schedules and
standards for quality reviews.

The Informal Review Process

The informal reviews are the processes that the Project Manager and key project staff set up to
measure the atmosphere of the project. This is sometimes referred to as Management By
Walking Around (MBWA).

This information can be gathered by:
Walking the halls
Visiting team work areas
Sitting in on some team status meetings

The purpose of informal reviews is to get input from all parties on issues beyond what is
presented in the formal reviews. Formal reviews often limit the open exchange of information.
By talking with one team member, it might be discovered that a key technical staff member is
very unhappy about some decisions on the project. This unhappiness might escalate to the
point where a person would leave the project, and/or it could develop into a major problem.


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Part of the Project Managers strategy includes collecting information and interjecting it into the
formal processes where it can then be analyzed to determine if actions are required.

Lastly, the way a project is organized will drive the way the project is reviewed. Each key project
activity needs to be tracked and reviewed as such, and the person or group responsible for the
activities will need to provide input to the control process.

The Status Review

The cornerstone of the project review process is the project status meeting with the key team
members. The Project Team should know that this meeting is not optional. For this reason, it is
recommended that status meetings occur regularly and consistently throughout the project life
cycle. Meeting too often is disruptive and does not allow the Project Team to focus on other
tasks. Not meeting enough will allow issues to go unresolved.

Some projects set up the project status meeting on the same day, at the same time and at the
same place. Another consideration is that the meeting time should be on Tuesday, Wednesday
or Thursday to avoid Mondays and Fridays, due to scheduling conflicts. By providing a
consistent schedule, a routine can be established. Consistent meetings also drive a discipline
into the project organization.

The purpose of the project status meeting is to coordinate the schedule, resource and financial
needs of the project. The objective will be to share and receive data and to make group
decisions critical to the Project Plan. Areas of prime interest are the financial, schedule, quality
and technical issues of each group and how they work together within the overall project
structure. Another objective of the status meetings is to gather information that will eventually go
into the project status report.

The first project status meeting serves as a training session for the participants. The training
session covers how future meetings will be conducted and what each participants roles and
responsibilities will be during and after the meeting. Preparation for this meeting is critical and
should lead to the generation of the project status report.

The following topics should be covered in the first meeting:
What is the baseline Project Plan?
How are risks to be managed and reported?
How will changes and issues be tracked and reviewed?
Who will keep the schedule and cost information, and how will it be updated for
review?
What are key lessons learned from other projects?
Who will be the reporter or scribe for the team meetings?
When will expected meetings take place?
How will quality be evaluated and measured?
How will behavior and performance guidelines be created?


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After the initial orientation meetings, attendees serving on a large project might be specifically
selected and the numbers limited. They should consist of individuals who can provide status
information and contribute to issues, risks and general status discussions.

As a guideline, if the Project Team is small (12 or less), then the full Project Team may attend. If
the Project Team numbers over 12, then only lead team members (planning, development, test,
quality, etc.) should attend.

The bottom line is that the persons attending the meeting communicate the status of the project
activities and action items for their assigned area of responsibility. However, the number of
attendees should be controlled so that the group is not too large to be productive.

A location should be selected that will provide the fewest disruptions. It should not be in
someones office or in a public area. A conference room where telephones can be controlled is
a good location. Disruptions cause the meeting to appear disorganized and cause the length to
extend. This results in people not wanting to attend because it is viewed as a waste of time.

A Model Meeting Agenda

All meetings should have an agenda. Since a large percentage of project time is spent in
meetings of one form or another, a set of rules should be applied to each meeting type. These
rules follow standard meeting management principles:
Start and end on time
Come prepared
Bring handouts; information should not just be in the attendee's head
Summarize information; do not read it
Bring minutes from the last meeting.
A list of action items and resolutions should be the by-products from the meeting. The action
items and discussion topics should be written up and disseminated. If a project action item,
change request, issue or new risk element is mentioned, then the support person responsible
for distributing the status meeting information should ensure that the responsible Project
Team member is informed.

Since a Project Manager is responsible for reporting on the projects status to other levels of the
organization, written materials are needed to complete the necessary reports.

If significant tasks are not on schedule, then the responsible person should address:
Why the task completion is late or early
What other areas might become impacted
What actions need to be taken?



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Executive Steering Committee Meetings
If appropriate for your project, conduct a monthly or quarterly meeting with executives who are
not on the Steering Committee, but have a large vested interest in the success of the project.
The timing of this meeting should be built into the Project Plan.

Risk Control

Risk Monitoring and Mitigation during Project Execution

Risk monitoring and mitigation are key processes needed to successfully complete a project.
Part of controlling a project during the execution process is to have an established risk
management process that is relevant to the size, type and risk of the project. This process
begins as part of project planning and is kept current until project close-out. The key elements to
this process are:
Creating a central repository for risk information and associated documentation of risk
items and resolution strategies
Documenting risk information on a risk analysis worksheet
Including a risk summary report in the regular status meetings
Providing a consistent and ongoing evaluation of risk items and development of risk
strategies:
Identify the risk
Evaluate the risk and assess its potential impact
Define a resolution strategy
Implement the strategy
Track and monitor the risk.


The risk control process begins in project planning, is baselined at project startup and is fully
maintained during project execution. The key is not the format of the data but that the Risk
Management Plan is kept current during the execution process.

Remember, risks are not events that have occurred but events that might occur that would
adversely impact the project. Events that have occurred and are impacting the project are
addressed in the change management, issue management or exception reporting process.

As the project evolves through the project life cycle, the ability to define and specify the risk
items increases. This is attributable to the fact that more is known about the project and the
associated issues. This allows for the development of realistic contingency plans, including
specific action plans. These actions are then tracked. The Risk Management Plan should
reflect these activities.

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Risk Monitoring is an Iterative Process

Risk analysis is an iterative process that is performed throughout the project. Risk analysis
examines the risk and its potential impact on the project. Risk planning defines actions to
eliminate or to mitigate the impact of that risk should it occur.
The process starts with the risks identified in the Project Plan and the first definition of resolution
strategies. There are typically three types of resolution strategies: eliminating, reducing or
accepting.
The risk management process, as defined in Chapter 3, includes five overlapping steps:
Risk identification
Risk assessment and prioritization or risk analysis
Risk reduction and contingency planning
Risk management plan execution
Risk tracking and reviewing or risk monitoring

The balance of this section of the chapter further addresses the risk control cycle. The risk
control cycle is shown below.

Risk Control Cycle




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The Role of the Risk Manager

The risk control role is assigned in the planning process and is documented in the Project Plan
as the Risk Manager. The Risk Manager is responsible for ensuring that risk management is
performed throughout the project execution. This person may be the Project Manager, although
in most large projects this is not advisable due to the associated workload. The Risk Manager
should:
Be senior enough in the project organization structure that they would have the ability
to request that specific risk contingency plans be assigned and staffed
Attend the Project Team status meetings
Have an understanding of the overall project.

The identity of the Risk Manager should be publicly announced and should also be reflected in
the project organization chart. In most cases, the Risk Manager will also be fulfilling another
management or technical role on the Project Team. The notation can be in the form of an
asterisk or sub-heading. A risk management box may be assigned, and names will be repeated
for different functions.

Risk Meetings

Risk management, of which risk control is part, is a process that involves all members of the
Project Team and occurs throughout the project life cycle. Risk meetings contribute to the
process of identifying risks and developing ways to approach the risks.

Risk Identification Meetings. It is during this process that the current risk list is reviewed
and updated.
Steering Committee Meetings. A risk summary report of the top risk items for the project
should be included in the project status report. Ideally, this should be not more than one
page. It should list the risk, state the recommended resolution and indicate the current
status.
Project Team Status Meetings. The Risk Manager should report to the project status
group on the current status of project risks. There should be a written summary,
preferably using the actual risk management worksheet.

On-going Risk Identification

The initial list of risks from the planning process will evolve over time. To ensure that new risks
are added and resolved risks are eliminated, risk identification meetings should be held. How
often this should occur is based on the size of the project and the perception of the Project Team
and key stakeholders as to the degree of risk that exists for the project. For most projects,
monthly risk identification meetings are adequate. Risk is normally updated by using the status
report form and documenting any concerns with risk in the appropriate areas.


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The format for these meetings should be open and interactive to facilitate a wide consideration of
risk areas. The starting point for this meeting is the previous risk list. The group should be given
some ground rules in terms of the degree of risks that will be tracked and ways to eliminate or
include risk items.

Current problems are not to be considered, as these are issues for other processes. The
meeting will require a facilitator and note taker.

This group assists in the process of prioritizing the new risks or updates by determining the
probability of their occurrence and the impact the risk could have on the project.

Focus on Key Risks

Risks must be prioritized to ensure that the key risks are addressed. Be careful to focus on high
priority risks and not to identify so many minor risks that major risks are buried. The basic ground
rules for prioritization are:
There should generally be about 5 to 10 risks being worked at any one time. These
should be the risks with the highest probability of occurring and the potential impact.
However, for very large projects, each major activity may be tracking this number of
risk items.
The list of actively monitored risks should generally be no longer than a single sheet.
Keep a separate list of lower priority risks so that they can be reviewed at future risk
identification meetings.
Focus on the risk items that have the greatest possible impact on cost and/or
schedule.
The prioritization process starts with the group that identified the risk, but also
includes the Project Manager and related stakeholders.

Risk Resolution

For the top risk items, mitigation/resolution strategies must be developed. From the steps
above, a view of the risk is developed that includes: where, when and to what extent the risk will
impact the project.

Some of the following is review from Chapter 3, but is included here to consider when identifying
new risks during execution. The following options should be considered:

Eliminating or avoiding the specific threat, usually by eliminating the cause. The
Project Team can never eliminate all risk, but specific risk events can often be
avoided. Eliminating a risk usually involves taking specific action to change a planned
event in the project. That is, if a risk is identified that will occur if the project
continues on its current course, the option is to change the course. Risk elimination
depends on the extent of change that would be required to the overall Project Plan,
considering the cost to make the change and the calculated severity of the risk

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should it occur. As a general rule, elimination should be pursued when the risk
cannot be managed away or it will be costly to the project.

Reducing the impact to the budget from a risk through mitigation. In some ways it
can be seen as insurance. The area of reducing risk is the most familiar resolution
approach used during the planning process. Risk mitigation often involves
developing risk contingency reserves. It is defined as a set aside of project dollars
and/or schedule to be used to cover the problems that a risk event would cause. The
contingency reserve is a calculated figure based on the cumulative risk hours
documented on the risk management worksheet.

Accepting that a risk will occur and developing contingency plans to be executed
should the risk event occur. A risk contingency plan can be developed for the project
that defines the actions to be taken, the resource plans and the factor(s) that trigger
an action, should a given risk occur. Contingency plans are pre-defined action steps
to be taken if an identified risk event should occur.

Historical Record of Project Risks

A record of the risks that were planned and those that actually occurred should be stored in your
project archive and will be maintained over time. This history can be used as lessons learned,
and the Project Team can benefit from reviewing past risks and occurrences.

Project Tracking and Monitoring

The Project Plan as the Road Map

To begin the tracking process, use the Project Plan as the roadmap. The tracking activities
contained in this document serve as the minimum set of planned events that are to be tracked
and monitored over the lifetime of the project.

It should be noted that part of planning was to acknowledge which events were to be tracked and
how often they were to be tracked. The planning process, in conjunction with the tracking
process, provides a practical, workable method to evaluate where a project stands at a given
point in time with regard to the initial baselined plan.

The concept of a perfect Project Plan is an illusion. Plans are living documents that change as
the environment of the project changes. Success is dependent on strategies, project resources
and people. The focus should be on monitoring and directing these dynamic elements and not
on hard-and-fast precepts.

The Project Plan as the Baseline

The key elements that are needed for tracking include:

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Scope of Work including project objectives and success factors
Functional specifications or product scope description
Work Breakdown Structure (WBS) -- activity list and activity network
Work packages
Budgets and estimates along with the assumptions on which they were based
Master and supporting schedules
Financial and funding plans
Quality and Change Management Plans
Staffing Plan
Spending Plan.


Even very large projects can be controlled well if adequate time is spent planning, tracking and
monitoring.

Why Tracking and Monitoring?

The management functions of tracking and monitoring are indispensable to the effective and
efficient control of the project. In this methodology, tracking is defined as the fact-finding
processes, and monitoring is the analysis of these facts. Both are needed for the management of
the project.

Control processes are established not to determine what has happened but rather to predict and
manage what may happen in the future.


Tracking Monitoring
Prediction of
Likely Events
Effective
Management
Fact-Finding Analysis



Information generated during the tracking and monitoring processes forms the basis for reaching
a judgment about the project status and whether corrective action is required. It also allows the
Project Team to answer these specific questions:

General
Where is the project on schedule, cost, performance, quality, objectives and goals?
What is the status of activities that were to be completed?
How does this status impact future project activities?
What is going right on the project?

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What is going wrong?
What opportunities are emerging?
Are the project stakeholders comfortable with the results of the project?

Organization
Is the Project Team an effective and suitable organization?
Does the Project Manager have adequate control and authority?
Have key roles been defined in the project?
Are the Project Team personnel innovative and creative by suggesting
improvements?
Does the Project Team get together on a regular basis to see how things are
progressing?
Does the project have an efficient method for handling change requests?
Does the Project Team seek the advice of stakeholders on matters of mutual
concern?

Tracking at the Right Level of Detail?

A key management issue in every project is to develop processes that provide critical information
without becoming a burden. Many think this is only an issue in large projects, but small projects
share equally in the problem because they typically lack the necessary resources to do many of
the management functions.

The Project Manager should focus on putting in place the most critical parts of tracking and
monitoring and then add additional items to track as necessary, based on the complexity of the
project.

Tracking and monitoring means focusing on the following kinds of information:

Status current activities and planned activities

Comparing the planned schedule to the actual progress and determining the current
position. This analysis should be done at the top levels of the Work Breakdown
Schedule for reporting, but should also be done at the actual task level for
determining work activities. Key items are:
Tasks planned and actual start/finish dates
Impact of actuals on Project Plan





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Comparing the planned budget with the actual expenditure. The tracking and
monitoring processes should generate:
Actual expenditures to date
Estimate to Complete (ETC)
Estimated Cost at Completion (EAC)
Adjusted baseline after replanning, if necessary.

Performance and quality indicators from each stage of the project.

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The frequency of the various tracking and monitoring activities will vary with the specific element
and the amount of detail needed and should complement the various reviewing processes of the
project. The frequency of tracking activities should be noted in a project tracking matrix. A
sample matrix is provided:

Example - Project Tracking Matrix

Tracking Activity Recommended
Frequency
Possible
Automated
Tools**
Remarks
Updated Project
Milestone Schedule
Status Report
Qtrly, Milestone, or
Phase Completion
Reviews
MS Project
Timeline
FastTrack
GANTT chart preferred
Save copy of previous
month's chart
Updated Work
Product Identification
Status Report
Qtrly, Milestone, or
Phase Completion
Review
As deliverable dates
change
Automated
Project
Database

Provide updates to
Database Manager
Updated Estimate at
Completion (EAC)
Status Reports
As required when ahead
or behind schedule
Qtrly, Milestone, or
Phase Completion
Reviews
MS Project
(Estimating
add-in)
Excel
Lotus
Get task leaders to cost out
subtasks
Include project costs to date
Updated Detailed
Financial Status
Status Report
For Qtrly, Milestone, or
Phase Completion
Reviews
As required when ahead
or behind schedule
MS Excel
MS Word
Labor hours awarded vs.
labor hours expended
Dollars awarded vs. dollars
expended
Updated Planned vs.
Actual Spending
Profile
Status Reports Excel
Lotus
Provide Dashboard Report
for Mgmt
Updated Staffing
Profile
Status Report
For Qtrly, Milestone, or
Phase Completion
Reviews
As work product
deliverable dates change
MS Project

Are there unacceptable
peaks and valleys?
Updated Resource
Loading
Status Report
Qtrly, Milestone, or
Phase Completion
Reviews
As deliverable dates
change
Excel Validate need for resources

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Updated Risk
Identification
Status Report

MS Word
Automated
project
database
Update risk matrix
Is risk mitigation required?
Has a risk materialized?
Updated Work
Packages
As required when work
package is rescheduled,
or changed
MS Word
Automated
project
database
When requirements change
Change control list for
details
Updated Project
Requirements
As required when
requirements have been
approved for change
MS Word
Automated
project
database
Contract modification
Change control list for
details
Updated Quality
Project Plan
As required
Quarterly
For Qtrly, Milestone, or
Phase Completion
Reviews
MS Word
MS Project

Use baselined plan

Updated Change
Management Plan
As required when ahead
or behind schedule
Status Report
MS Word
MS Project

Use baselined plan

Updated Action Items As required
For weekly/ bi-weekly
status meetings
MS Word
Automated
project
database
Tracked until resolved
Issue Resolution List for
details
Updated Corrective
Action Items
As required
Status Report
MS Word
Automated
project
database
Tracked until resolved

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Activity and Schedule Tracking

A large part of the tracking and monitoring process is knowing the projects status. The only way
to determine this is to:
Review what activities were planned
Determine that the work has been done to complete these activities
Analyze whether the level of work is consistent with the level of effort that had been
planned
Compare this to the planned start and finish dates
Determine if adjustments are needed for this activity
Analyze if any required adjustments impact other tasks.


There are numerous ways to collect, analyze and present this information. Two methods are
presented here: activity tracking table and updated project schedule. For large, complex projects
that have an involved activity network, additional levels of analysis and mathematical models
would be needed. These tools should be used first to generate the project schedule during
planning and should then continue to be used to track the schedule.
Activity Tracking Table

WBS Activity Description Depend Planned Schedule Actual Schedule Target Schedule

Start Finish Dur Start Finish Dur Start Finish Dur
1.0
1.1
1.2
1.3
1.4
1.5

Once the activity tracking table is completed, the Project Manager can prepare a graphical
presentation of this information. If an automated tool is being used, this graphic will be
automatically generated. In most cases, the Project Manager has a choice in the graphical
representation. At a minimum, it should be shown as a Gantt chart, as illustrated in the next
figure. For this example, planned dates and duration are still shown on the schedule, even
though the task has been completed.

The objective of tracking and monitoring is to preserve the original schedule (baseline) for
comparison. In the above sample, the actual schedule is reflected for all those tasks completed.
For tasks still open and ones that have not been completed, the new target schedule is reflected.





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ID TaskName Duration Work
1 1 Plan Net wor k Infr as t r uct ur e 45 d 40 d
2 1.1 Determine Current Environment 9 d 9 d
3 1.2 Establish General Req's 20 d 20 d
4 1.3 Create Conceptual Diagramof Network 16 d 11 d
5 2 Ins t all LAN in Admin 55 d 41.5 d
6 2.1 Get Bids on Wiring and Equipment 1 d 1 d
7 2.2 Order Wiring, Hub, PCs, Servers, etc. 1 d 1 d
8 2.3 Install Wiring 26 d 22 d
9 2.4 Receive and Store Equipment 2 d 0.5 d
10 2.5 Install Equipment 1 d 1 d
11 2.6 Setup and Install NetworkSoftware 1 d 4 d
12 2.7 Setup Individual Workstations for Network
Access
3 d 12 d
13 3 Tr ain Us er s 58 d 123 d
14 3.1 Define Training Requirements 2 d 10 d
15 3.2 Develop Training Plan 4 d 10 d
16 3.3 Develop Training Materials 26 d 40 d
17 3.4 Conduct Training Sessions 3 d 63 d
100% 1/14
100% 2/11
7% 3/5
100% 2/12
100% 2/15
8% 3/23
0% 3/25
0% 4/1
0% 4/26
0% 4/29
100% 2/15
100% 2/19
10% 3/29
0% 5/4
12/13 12/20 12/27 1/3 1/10 1/17 1/24 1/31 2/7 2/14 2/21 2/28 3/7 3/14 3/21 3/28 4/4 4/11 4/18 4/25 5/2 5/9 5/16 5/23
D J F M A M
Project Schedule Update
What is Project Monitoring?

As is graphically presented below, the project monitoring process is an interactive part of
tracking and is firmly tied to project planning. Project monitoring takes the outputs of tracking and
uses them to determine planned versus actual.

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Project Monitoring Related Activity









Fact-finding












Analysis









Issue Research
Contingency Plans
Workaround
Change Orders

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Planned Versus Actual Costs

The basic consideration underlying all the elements of monitoring is planned versus actual.
When the Project Manager completes this comparison, he/she then evaluates whether the
existing plan can continue to be used, whether the activities can get back on plan or whether the
project (in whole or in part) has deviated significantly from the plan.

Cases where actual progress and projected progress differ significantly suggest the need for
adjusting which would include updated project budgets. To determine what significant deviation
from the plan is, a number of standards can be used. Standards or project indicators can be set
by the Project Team, Project Sponsor, or the customer. These standards should be clearly
defined and measurable.

Determining Costs

The way to measure progress is through estimation and completion of tasks, deliverables and
milestones. First, tasks should be monitored frequently for percent completion and budget
expended. Budget updates and ETCs, e.g. the Estimates to Complete, are obtained from the
people responsible for doing and managing the work efforts. Second, deliverables and
milestones should be used as signposts to show progress.

Cost of performing a task is directly related to the labor assigned to the task, the duration of the
task and the cost of any non-labor items required. To develop updated costs and to account for
actuals, the Project Manager needs to review labor costs including labor cost burden and all
related non-labor costs. Burdened cost typically refers to the overhead and general expenses
that are beyond strict salary associated with an employee. Non-labor charges include such
items as material costs, reproduction, travel, capital costs (if leasing equipment), computer
center charges and equipment costs.

Estimating the ETC still remains the single most difficult part of deriving updated cost estimates.

Updating Project Costs

Actual labor and non-labor cost information is compared to the numbers used to develop the
plan. Spreadsheets work well for projects of small to medium scope. For large projects, a
project management tool is typically preferred for cost estimation.

Within the project, costs are assigned and estimates updated at the lowest level WBS work
package task. These costs are then combined to determine a sub-task cost, and in turn, are
combined to determine the overall task cost, which can be summed to find the total project cost.

Document Assumptions

It is essential to document all assumptions made while planning and updating the project budget.
Not only can it greatly impact the later success of the project, but also the lack of such
documentation can jeopardize the successful tracking of the project.


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If, for example, a budget assumed that a staff member would be available at a defined rate, but
only substantially higher paid employees are available to perform the task, there will be a budget
problem.

Detailed documentation may not always solve the problem, but it is invaluable in helping explain
the problem and in helping define solutions.

Tracking and Monitoring Costs

Many projects can obtain useful financial status by generating a spending profile, a planned vs.
actual spending profile graphic. This method is particularly useful for presentations to upper
management because of its visual impact. The spending profile, as shown on the following
page, can show in a glance what is happening with the project's costs.

Another financial tracking tool is an updated estimated cost at completion (EAC) report.

Each project creates an EAC in the planning process to identify the costs associated with each
of the project's high level WBS elements, thereby developing an overall budget for the project.
The EAC report generated in execution process shows the variation from the original plan. The
EAC always shows the actual projected total cost of the projects.

Another financial tracking method is to maintain financial metrics. Though it may be somewhat
more complex than other tracking techniques, financial metrics is a good tool for tracking the
amount of the budget or schedule that has actually been earned. This tool can be extremely
valuable for paying vendors on partial work. This technique is defined in more detail later in this
chapter.

Spending Profile
1
1
-
2
0
50000
100000
150000
200000
250000
300000
350000
400000
0
1
2
-
0
3
1
2
-
3
1
0
1
-
1
4
0
1
-
2
8
0
2
-
1
1
0
2
-
2
5
0
3
-
1
1
0
3
-
2
5
0
4
-
0
8
0
4
-
2
2
0
5
-
0
6
0
5
-
2
0
0
6
-
0
3
0
6
-
1
7
0
7
-
0
1
1
2
-
1
7
Actual
Plan Project
Legend


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Estimated Cost at Completion (EAC) Report

An EAC periodically determines the expected total cost of the project at project completion. The
EAC provides:
A historical baseline of the budget
A disciplined process for obtaining inputs
A means of allocating and tracking budgets to manageable sizes
A library of metrics that can be updated with actuals throughout the life of the project
for use on similar projects.

The EAC is a summary assessment of the total effort required to complete each task. It
estimates the amount of effort required to complete each WBS element and adds that estimate
to the costs incurred to date to derive the anticipated cost of each WBS element at project
completion. A possible process for budget updates is detailed below:

Start with the original EAC document from your Project Plan
Calculate the estimated remaining cost
Update costs incurred to date
Sum the remaining estimates and the costs to date to derive an EAC for each WBS
element
Sum the EACs for each WBS element to derive an EAC for the overall project
Determine the actual amount of funds available to the project
Compare the EAC to total funds available to the project
If the total available funds are less than the estimated total cost, then options include:
o Eliminate unneeded or excessive requirements until the remaining estimated cost
is within the bounds of the remaining funds, or
o Advise the Steering Committee that current estimated scope of work for the project
is greater than initially estimated.
A full EAC should be done for each status report and for all major contractual changes.












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Sample Estimated Cost at Completion Summary

Analysis in Hours Analysis in Dollars
WB
S
No.
Activity
Description
Budg
et
Hour
s
Actual
Hours
Est. to
Compl
ete
Est.
@
Com
plete
Varian
ce (+
=
More)
Budget
$
Actua
l $
Est.
to
Com
plete
Est.
@
Com
plete
Varia
nce
(+ =
More
)
1.0 Define
Requirements
430 600 0 600 170 17,780 26,00
0
0 26,00
0
8,220
2.0 Prepare RFP 572 500 50 550 (22) 22,880 17,00
0
1,900 18,90
0
(3,98
0)
3.0 Issue RFP and
Evaluate Vendors
433 100 433 533 100 17,320 4,300 14,20
0
18,50
0
1,180
4.0 Close-Out 72 0 72 72 0 2,880 0 2,880 2,880 0
TOTAL 1,507 1200 555 1,755 248 60,860 47,30
0
18,98
0
66,28
0
5,420

The financial information included in an EAC provides most of the budget information needed by
the Steering Committee. But, without good tools, it is somewhat difficult to determine the effort
and cost associated with tasks that are in the process of being completed. Three techniques of
developing these numbers are described below:

EAC =Actuals to date plus the remaining project budget modified by the performance factor,
often the cost performance index (CPI) developed as part of an earned value method of
estimating. See the following section on financial metrics.

EAC =Actuals to date plus a new estimate for all remaining work.

EAC =Actual to date plus the remaining budget. This approach is most often used when current
variances are seen as atypical and the Project Management Teams expectations are that similar
variances will not occur in the future.

Beware of the trap to report more progress than has been achieved!

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Financial Metrics

The following steps provide additional financial metrics that can further assist in determining if
the project is really on schedule. This financial data, however, should not be used in isolation.
Variance and earned value calculations are recommended to supplement other information. In
general, the information only has value as it is tracked over time or cumulative statistics. Single
statistics can be misleading, but are often useful as problem indicators that require investigation.

Budgeted Cost for Work Scheduled (BCWS), the budgeted cost for work scheduled to
be accomplished, plus the planned effort or apportioned effort scheduled to be
accomplished in a given period and the level of effort budgeted to be performed. In
other words, BCWS represents the plan that is to be followed. BCWS, as well as
BCWP and ACWP can be calculated for any time period. However, cumulative totals
tend to balance out single period swings. This may also be called planned value (PV).

Budgeted Cost of Work Performed (BCWP), the budgeted amount of cost for completed
work, plus budgeted cost for level-ofeffort, plus apportioned cost for work that is
currently in process. This is sometimes referred to as earned value (EV) and is a
measure of work accomplished during a given period. Think always of BCWP as what
you got for the effort expended. Tasks may be classified either as discrete or level of
effort. If discrete, no credit is given for completing a task until it is done. If a task is level
of effort, BCWP =BCWS.

Actual Cost for Work Performed (ACWP), the amount of cost actually expended in
completing the work accomplished within a time period, plus the apportioned cost for
level of effort activities. This is also known as actual cost (AC).

Calculate the Cost Variance (CV) by subtracting ACWP from the BCWP. A negative
cost variance means that the project is spending more than it should. A positive
variance means you are earning more than planned for the dollars expended.
CV =BCWP ACWP or CV =EV - AC

Calculate the Schedule Variance (SV) by subtracting BCWS from BCWP. A negative
schedule variance means the project is behind schedule. A positive number means the
project is ahead of schedule.
SV =BCWP BCWS or SV =EV - PV

Calculate the Cost Performance Index (CPI) by dividing BCWP by ACWP. The CPI is
the cost efficiency factor representing the efficiency of work performed. The remaining
budget of the project divided by the cumulative CPI is one approach to calculate the
revised EAC total.
CPI =BCWP/ACWP or CPI =EV/AC
Calculate the Schedule Performance Index (SPI) by dividing BCWP by BCWS. The SPI
represents the schedule efficiency of work performed.

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SPI =BCWP/BCWS or SPI =EV/PV

Calculate the Critical Ratio by multiplying the CPI by the SPI. If the Critical Ratio is
between .9 and 1.2, the task or group of task being analyzed is probably OK.
Critical Ratio =CPI X SPI

These variances should be plotted graphically and over time to show how the Project Team is
doing. Cumulative statistics are best used for predicting future behavior. Current statistics or
those calculated using only the most recent time period are best used for problem identification
and analysis.

Resource Loading Updates
Updating the Project Resource Plan is an important tracking event since shifts in this plan can
cause major performance, cost and schedule problems. The resource loading profile, showing
the number of FTE by type or role required on the project, was developed as part of the planning
process. As part of tracking, this information is compared regularly to the actual project staffing.
Periodically, the Project Manager also validates whether these planned resources are still
sufficient to complete the task on schedule and within budget given changing conditions.

Updating projected resource loading and staffing profiles, as shown below, helps the Project
Manager adjust to these changing conditions by refining the estimated effort to complete the
project, validating the continuing need for resources and identifying staffing problems. By
identifying and analyzing discrepancies, the Project Team can determine if adequate resources
are being applied to the project and can get early indications that the project is falling behind
schedule or is more complex than initially estimated.
FTE Resource Loading

POSITION Wk.
1
Wk. 2 Wk. 3 Wk. 4 Wk. 5 Wk. 6 Wk. 7 Wk. 8 Wk. 9 Wk. 10 Wk.
11
Wk.
12
Project Manager 1 1 1 1 1 1 1 1 1 1 1 1
Team member 1 1 1 1 1 1 1 1 1 1 1 1
Team member 1 1 1 1 1 1 1 1 1 1 1 1
Quality Mgr 1 1 1 1 1 0.5 0.5 0.5 0.5 0.5 1 1
Risk Mgr 2 2 3 3 3 3 3 3 3 2
Change Mgr 0.5 1 1 1 1 1 1 1 1 1
Industry Expert 0.5 1 1 1 0.5 0.5 0.5 0.5 0.5 0.5 0.5 0.5
Tech Support 0.25 0.5 0.5 1 1 0.25 0.25 0.25 0.25 0.25 1 0.5
Steering
Committee
.2 .2 .2 .2 .2 .2
Sponsor .1 .1 .1 .1 .1 .1 .1 .1 .1 .1 .1 .1
TOTAL
PLANNED 5.05 5.6 8.3 9.1 9.8 8.35 8.55 8.35 8.55 8.35 9.8 8.1


This same information can be graphically presented on a timeline with actuals compared to
planned. This graph is referred to as a staffing profile.

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Staffing Profile
0
1
2
3
4
5
6
7
8
9
10
01 02 03 04 05 06 07 08 09 10 11 12
Weeks
N
u
m
b
e
r

o
f

F
T
E
'
s
PLANNE
D
ACTUAL

This information can also be represented in a bar chart as shown in the next table so that actuals
can be tracked as opposed to trends. This form of the Staffing Plan is sometimes referred to as
a histogram.
Staffing Profile
0
1
2
3
4
5
6
7
8
9
10
1 2 3 4 5 6 7 8 9 10 11 12
WEEK
PLANNED
ACTUAL





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Reporting to the Project Steering Committee

A standard requirement of all projects is to provide status reports to the Steering Committee, the
Project Team and others, as required. At a minimum, the frequency of the reports should
correspond with the meetings that are scheduled.

The information shared in the status report should be in a consistent format throughout the
project. The types of reports that a particular agency uses will vary. A general rule of thumb is
that the detail should be kept to what can be explained during a Steering Committee meeting. If
more details are needed to clarify issues, then these should be provided as supplementary data.

Status reports are produced by key Project Team members. Status reporting is an integral part
of the project management processes. It is the means by which the stakeholders stay informed
about the progress and key activities required to successfully complete the project. The purpose
of the status report, like the status meetings, is to develop a standard format for the formal
exchange of information on the progress of the project. The status reporting process is
graphically represented on the following page:


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Project Tracking and Reporting Process

G a t h e r P r o j e c t D a t a
A s s e m b l e S t a t u s R e p o r t s
P r o j e c t T e a m S t a t u s
M e e t i n g
S t e e r i n g C o m m i t t e e
I s s u e s ?
E x c e p t i o n R e p o r t i n g
P r o j e c t E n d s
N
Y
E n d o f P r o j e c t ?
Y
N



The status report package should be prepared by the Project Management Team detailing
activities, accomplishments, milestones, identified issues and problems. Some level of recovery
plans should be prepared for activities that are not on schedule and prevention plans prepared
for anticipated problems.





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The Status Report Package

The standard status report package includes the following:
Status report form which includes significant accomplishments for the period and
scheduled activities. The status report form is included in Appendix B.
Updated GANTT charts
Recovery plans for activities not on schedule defined by the Project Team as being
late, (e.g. slippage in the critical path activities)
Updated risk management worksheet
Updated issue status including those recently resolved
Updated WPI (work product identification)
Updated estimated cost at completion
Updated Staffing Plan
Updated activity tracking table
Change requests
Financial metrics
Exception reports addressing plan variations, e.g. crashing tasks, explaining cost
overruns.

Independent Reviews

An important part of project evaluation is done by conducting an independent quality
assurance review, sometimes referred to as project oversight. For medium to large projects,
project oversight or QA reviews should be done on a schedule consistent with the size and risk
of the project.

Many state organizations are moving to the process of QA or oversight reviews to augment their
standard tracking process. These reviews provide the opportunity to have an independent
appraisal of where the project stands and the efficiency and effectiveness with which the project
is being managed. The independent reviewers are interested in the projects processes rather
than the project products. The purpose of the audit procedure is to ensure that the Project Plan
is being adhered to and that any identified problems or deficiencies are resolved in a timely
manner.

A sample independent review process is defined below.

Review the project as required for conformance to the applicable Project Plan. This
review includes the CM and data management process, the use of methodologies
and tools identified in the Project Plan, the peer review process and the walk
through process.
Provide a summary report of each visit to the Project Manager. This report should
clearly identify any deficiencies or problems encountered during the visit.

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For projects with problems or deficiencies, work with the Project Manager to ensure
that a plan is implemented to resolve the problems/deficiencies and schedule a
follow-up review to make sure that the problems/deficiencies have been resolved. If
appropriate, the oversight report should be shared with the Project Sponsor or
Steering Committee. This decision will be made at the state agency level.
Independent reviews work only if follow-up actions are taken to resolve any
problems or deficiencies identified.


Periodic Updates

As shown in the tracking matrix earlier in this chapter, other tracking and monitoring activities
may occur on a different frequency than the financial, budget and status activities. Some of the
periodic tracking processes are listed here.

Updating a Project's Work Assignments
Each project identifies a series of work assignments for specific work to be accomplished. Work
assignments are generally created to cover a specific task within the WBS. They should be
updated as project requirements change or as additional requirements are developed. It should
be noted that work assignments are tracked until completion. The Project Team should update
the following areas each time a work assignment is rescheduled, or changed:
Work assignment description
Person responsible for the work package
Start date
End date
Dependencies
Updated requirements.

Updating Project Requirements

In the planning process, each project must identify the high-level or general requirements that
the project intends to satisfy. Like the work package, once identified, project requirements are
tracked until completion.

Based on the change control processes, project requirements only change as a result of
thorough review and written notification. Hence, project requirements will be updated as part of
the change control process.

Updating the Quality Project Plan

A quality activities matrix that lists project specific quality-related activities is required for each
project. This matrix is initially developed in the planning process and is updated as project
requirements change or as additional requirements are developed. The Project Team shall
update the quality activities milestone schedule, as necessary, by:



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Adding or deleting quality activities
Providing actual or revised quality activity completion dates as the project
progresses.

Updating the Change Management Plan

A change management activities matrix that lists project specific CM-related activities is included
in the Project Plan. This matrix is initially developed in the planning process and is updated as
project requirements change or as additional requirements are developed. The Project Manager
shall update the CM activities schedule, as necessary, by:
Adding or deleting CM Activities
Providing actual or revised CM activity completion dates as the project progresses.

Managing External Project Managers

As the project progresses, the internal Project Manager must continue to ask questions of
the external Project Manager, i.e. contracted company, to determine the current status of the
work. They should have regular status meetings, but there should be a formal quality
assurance audit at the end of every major phase within a project.
The types of questions you would ask at that time include:
Have the scheduled deliverables as specified in the project schedule and WPI been
completed up to this point?
Have the deliverables been agreed to and approved by the Steering Committee or
their designate?
If the vendor has met expectations up to this point, should interim payments be
made?
Can the vendor clearly explain where the project is verses where it should be at this
time?
Will all the future deliverables specified in the project definition be completed as
planned?
Are issues being resolved in a timely manner?
Are scope change requests being managed according to agreed to policy?
Are risks being identified and managed successfully?
Should the contract or project definition be updated to reflect any major changes to
the project.





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External PM Process