MEC 01 - Basics of MEC

PROJECT
MONITORING,
EVALUATION
AND CONTROL Week 01:
Basics of Monitoring, Evaluation and Control (MEC)
1
Lecturer – Barirah Zaufishan Department of Management Sciences, Bahria University, Islamabad Campus,
Pakistan
TODAY’S SESSION INCLUDES
Relation
Human between Monitoring, Evaluation and
resources slide
Control.
2 MEC is different from quality
How
management?
Control Interventions
MEC as a process group and its importance.
Relationship between WPD, WPI and WPR.
Lecturer – Barirah Zaufishan Department of Management

2
Sciences, Bahria University, Islamabad Campus, Pakistan
RECOMMENDED COURSE
TEXT BOOKS
Pakistan 3
MONITORING
The verb monitor is Latin in origin (from monit- ‘warned’).
Hellawell/Brown (1991/2000) define monitoring as:

“An intermittent (regular or irregular) series of observations in time,
carried out to show the extent of compliance with a formulated
standard or degree of deviation from an expected norm”.
Pakistan 4
MONITORING
 Monitoring is gathering, measuring and recording of sufficient information about the

project to help make an intelligent comparison of planned and actual performance
subsequently (which is evaluation).
 Information can be obtained either from formal sources like direct observation,
measurement, reports, briefings, participation in review meetings, letters; or from
informal sources such as casual conversations, listening to rumors, gossip etc.
 Conveys where the project is in terms of Money, Time, Risk, Quality, and other areas.
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PROJECT MONITORING
Virtually any variable in the internal/external project environment can be
monitored.
Many variables are easily quantifiable on an absolute or relative measurement scale,

e.g., cost, time, number of accidents experienced at a project site over a three month
period, number of complaints made by local community, rate of project staff
absenteeism.
In projects there are also many variables of relevance which are essentially
qualitative. They can be quantified through, for e.g., direct observation, expert
judgment and surveying.
e.g., Satisfaction, Motivation, Stress, Tension, Trust, Support & Adversity, Depth of
Relationships, Level of Cooperation.
Lecturer – Barirah Zaufishan
Department of Management Sciences, Bahria University, Islamabad Campus, Pakistan 6
DIMENSIONS OF PROJECT MONITORING
(MONITORING ENTITIES)
Monitoring is undertaken by stakeholders actively involved in the

Internal A project (e.g. the project team leaders or accountant or a project
monitor or administrator hired specifically for the purpose)
Monitoring is undertaken by stakeholders not actively involved in
Internal B the project but who belong to the project-owning or implementing

organization (e.g. PMO, Monitoring Division or Unit). Good for
avoiding conflicts of interest.
Monitoring is undertaken by stakeholders outside the project-

External owning or implementing organization (e.g. hired consultants).
Because of high cost, external monitors are infrequently used.

INTENSITY OF PROJECT
MONITORING
Optimal Project Monitoring
Intensity
Utility for Project
Inadequate Excessive
Project Monitoring Project Monitoring
(Under-monitoring) (Over-monitoring)

Project Monitoring Intensity
EVALUATION
The word evaluate is reportedly French in origin and is a couple of
centuries old.
Evaluation is multi-dimensional in scope. Many definitions of

evaluation exist.
The American Evaluation Association defines evaluation as

“assessing the strengths and weaknesses of programs, policies,
personnel, products, and organizations to improve their
effectiveness”.
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EVALUATION
 Evaluation is the process of comparing monitored data/ performance with planned
(baselined) data/performance with a view to:
-Identifying Variances or Issues
-Assessing if these Variances or Issues impact the Baselines
-Discovering Trends & Patterns
-Suggesting Solutions to Issues & Variances
 Evaluation is a Passive process; however, it usually requires a more formal
intervention (Tech advise or external evaluation) which makes it more “Active” than
Monitoring.
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PROJECT EVALUATION: TYPICAL
QUESTIONS
 Should this project be attempted?
 Are the resources / infrastructure needed for this project

available?
 Are my project assumptions & constraints realistic?
 Should a different project strategy be followed?
 Are our project processes X, Y & Z efficient?
 Have the major project risks been comprehensively identified?

PROJECT EVALUATION: TYPICAL
QUESTIONS
 Is the project team performing to expectation?
 Which criteria should be used to identify the best vendor?
 Do the physical deliverables meet the agreed upon

requirements & specifications?
 Which project objectives have been met/exceeded and which
haven’t?
 What unintended positive and negative consequences
resulted from the project?

SCOPE OF PROJECT EVALUATION
Intermediate
Project
Deliverables
Final
Technical
Project
Processes
Managerial
(PROJECT PROCESSES: KEY EVALUATION CRITERIA)
 Are Processes Effective?
 Are Processes Efficient?
 Are Processes Simple?
 Are Processes Transparent?
 Are Processes Customizable?
 Are Processes Integrated?
 Are Processes Monitor-able?
 Are Processes Improvable?

(INPUTS, ACTIVITIES, RESULTS)
Project Results
Project outcomes and impacts may be

PROJECT positive and negative, and intended and
OUTPUTS unintended. Sometimes these are
unforeseen, esp. when a project is
undertaken the first time.
+
PROCESSES /
ACTIVITIES
OUTCOMES
-
INPUTS IMPACTS
Pakistan 15
(PROJECT RESULTS: OUTPUTS, OUTCOMES & RESULTS)
 Outputs are the immediate and  Outcomes are the intermediate and  Impacts are the long-term results
direct results of a project or direct result of a project or of a project or program. They are
program. program on the intended target a direct as well as (often) indirect
groups. They are of crucial consequence of its outcomes.
 Outputs can be tangible, for
importance in development
e.g. construction of a road,  Like outcomes, impacts too are
interventions (project purpose).
airport or building, or they can deemed of great importance in
be intangible, for e.g.,  Subsequent outcome analysis development interventions
developing computer skills, (using performance indicators) (project goals, strategic
generating awareness. reveals whether or not the intended objectives). Impacts are usually
project outcome objectives have positive but some can be
 Outputs reveal whether a
been met, not met or exceeded. negative too (e.g.: Environmental
project or program has Degradation).
achieved what it intended to
achieve.
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(PROJECT RESULTS: OUTPUT, OUTCOMES, IMPACTS)
Economic
Short, Medium & Long-term Costs & Benefits

Subproject 1
(Fully, Partially & Non-Quantifiable)

Project Objectives A, B, C ... Project Social
Goal, Output
Subproject 2 or End- Ecological
Deliverable
Subproject 3 Political
Results Technological
Subproject 4
Infrastructural
Subproject 5
Project Legal
Outcomes
Subproject N & Impacts Institutional
Asssessment
Methodology
Change (intended & unintended) Other Areas
PROJECT EVALUATION: 4 BASIC STAGES
Pre-Project Evaluation
Project On-Going Evaluation
Project Completion Evaluation
Post-Project Evaluation
Pre-Project Project Life-Cycle Post-Project

Desirability Mission, Governance, Strategies, Goal & Outcomes & Impacts
Objectives, Processes & Process Inputs, Phases,
ex ante Milestones, Activities & Work Tasks, Deliverables ex post
& Outputs, Ext. Environment
Pakistan 18
(STAGE 1: PRE-PROJECT EVALUATION)
Pre-Project Evaluation – This type of evaluation is used

to determine if the project under consideration is
consistent with the mission, goals/objectives of the
owning organization (i.e. private, public, non-
governmental) and is doable and desirable.
Commonly used pre-project evaluation instruments in

practice are the feasibility study, business case, and
project proposal.

PRE-PROJECT EVALUATION
(THE PROJECT FEASIBILITY STUDY: KEY COMPONENTS)
 Technical Feasibility
 Resource Availability
 Economic Viability
 Social Desirability
 Institutional Capacity
 Environmental Acceptability
 Political / Policy Consistency
 Miscellaneous
(STAGE 2: ON-GOING EVALUATION)
On-Going Project Evaluation – This

type of evaluation is used for assessing
the status of a project during its life
cycle.
During a project life cycle, it is normal

for evaluations to be conducted on a
periodic and, if circumstances require,
on a special (i.e. situational) basis.
(STAGE 3: COMPLETION EVALUATION)
Project Completion Evaluation – This type of

evaluation is used for project analysis and
assessment immediately upon completion of the
project at the end of its life-cycle.
This evaluation usually takes the form of a detailed

project completion report.

PROJECT COMPLETION EVALUATION
(TYPICAL QUESTIONS ADDRESSED)
 Were the cost, schedule, scope and other objectives laid down in the project plan
met?
 What weaknesses and shortcomings were observed in the project’s strategy,
processes and activities?
 What major and esp. unforeseen risks, issues, problems and opportunities were
encountered?
 What lessons have been learned from the project which may benefit other on-
going/future projects?
 Were key stakeholders satisfied with the project?
 What worked and what didn’t work?

(STAGE 4: POST-PROJECT EVALUATION)
Post-Project Evaluation – This type of evaluation is

used for a comprehensive results analysis and
assessment of the project subsequent to its completion.
Its objective is to determine whether or not the project
brought about the intended change results (i.e.
outcomes & impacts) in the desired extent. Also: What
unintended positive & negative outcomes and impacts
resulted from the project?

PROJECT CONTROL
Cleland & Ireland [Strategic Design and
Implementation, 2002, (pp. 377-378)] define project
control as “the process of monitoring, evaluating,
and comparing planned results with actual results to
determine the progress toward the project cost,
schedule, and technical performance objectives, as
well as the project’s ‘strategic fit’ with enterprise
purposes”.

CONTROL
 Control is the process of removing the Variances analyzed during Evaluation, or

Issues, to bring the Project Performance in conformity with the Baselines through:
-Corrections (aka Defect Repair).
-Corrective Actions
-Preventive Actions
-Rework
 (Note: Rita considers ‘Defect Repair’ to be ‘Rework’).

THE PROJECT CONTROL
CYCLE
Re-planning, reprogramming,
Should be laid down in the project
reallocation of resources, Establishing Project plan. Minimum requirement relates
to the project’s cost, schedule and
changing the way the project Performance Standards technical performance parameters.
is managed and organized,
Moreover – work packages, costing,
change in the cost, schedule
and technical performance
1 quality, project management, team
satisfaction, productivity, innovation,
parameters
schedules, resource utilization
Taking Corrective Observing Project

4 2
Action Performance
Acquisition of information about the

project for the purpose of comparison
3
Formal – Reports, Briefings, Project Re-
Progress of project, deviations view Meetings, Letters, Memoranda etc.
from the project plan and their Comparing Actual
Informal - Casual Conversations,
cause, measures needing to be Project Performance
undertaken Observations of people’s work, Listening
to Stakeholders, Gossip

Monitoring, Evaluation & Control on Projects
Pre-Project Need, Want, Opportunity, Legal Compulsion
Phase
Project Conceptualization & Feasibility Analysis
Project Pre-Initiation Activities
Project Project Initiation Phase

Life-Cycle
Project Planning Phase MONITORING
EVALUATION
Project Execution Phase
& CONTROL
Project Closure Phase
Post-Project
Phase Project Outputs  Project Outcomes & Impacts
Where are Monitoring or
we? Tracking SO WHAT IS
MONITORING,
EVALUATION
AND CONTROL
Controlling or
Regulating IN PROJECT
How can MANAGEMEN
Where we
we go on
planned to T?
track
be?
again?
Evaluation
PROJECT MEC: TYPICAL
QUESTIONS
 Some key project MEC-related questions are:
1. The Project: What is going well / not going well?

2. Opportunities & Problems: Which are emerging?
3. Action: Does something need to be done which is not being done?
4. Project Resources: Effective & efficient utilization?
5. Stakeholders: Is the project’s progress satisfactory?
6. The Project Team: Is it performing to expectation?

PROJECT MEC: PRACTICAL
EXAMPLE
Planned/Estimated Cost =
Rs. 100,000/-
Project Activity X
Actual Cost = Rs. 180,000/-
Planned Cost
vs. Actual Cost
Variance = - Rs. 80,000/-

PROJECT MEC: PRACTICAL
EXAMPLE
Monitoring: What are the planned & actual cost values of
project activity X? (→recorded values)
Project Activity X
Evaluation: What is the observed (+/-) variance between

planned & actual cost values for project activity X & why
does it exist? (→underlying causes)
Controlling: What can be done to “manage” this cost

variance & how can it be achieved/prevented in future?
(→practical measures, strategies)

PROJECTS MEC: HOLISTIC
PERSPECTIVE
Economic
Economic
Organization‘s External Environment

Organization‘s P
Organization‘s Internal
Internal Environment
Environment
R
Life-Cycle Modal
Financial
Financial
Organization‘s
Organization‘s mission,
mission, goals,
goals, object-
object- O
Political
Political ives
ives &
& strategies,
strategies, priorities,
priorities, current
current J
programme
programme and and project
project portfolio,
portfolio, project
project E
Social
Social organization,
organization, resource
resource base,
base, competency,
competency, C
Experience,
Experience, culture,
culture, policies,
policies, project-focussed
project-focussed T
Regulatory
Regulatory knowledge,
knowledge, process,
process, informational
informational ,, In-
In- S
stitutional
stitutional &
& infrastructural
infrastructural assets
assets
Security
Security
Infrastructure
Infrastructure
Integration,
Integration, Scope,
Scope, Cost,
Cost, Sche-
Sche- Standards
Standards &
& Methodologies
Methodologies
duling,
duling, Risk,
Risk, Quality,
Quality, Procurement,
Procurement,
Markets
Markets Human
(Off-the-shelf:
(Off-the-shelf: (e.g.:
(e.g.: PMI,
PMI, PRINCE2,
PRINCE2,
Human Resources,
Resources, Stakeholders,
Stakeholders, IPMA,
IPMA, APMBOK, P2M, BS 6079), or
APMBOK, P2M, BS 6079), or
Communications
Communications developed
developed inhouse
inhouse by by organizations)
organizations)
H-Resources
H-Resources
O-Resources
O-Resources Project Management Knowledge Framework
MONITORING &
CONTROLLING AS A PM
PROCESS GROUP
 Evaluation considered an integral part of Control
 Monitoring & Controlling (MC) processes:
-track, review, and regulate the progress & performance of the project
-identify any areas in which Changes to the plan are required
-initiate the corresponding Changes
 This implies that MC processes:
-are aimed at minimizing Changes to the project; prevent unnecessary changes

-produce Change Request (CR) (one exception) as an output (where necessary)
 Other roles of the MC processes:
-Evaluate CRs and decide on the appropriate response

-Recommend corrective or preventive action in anticipation of possible problems
-Prevent circumvention of the change control process; and ensure implementation of the approved changes only

MEC SPANNING INITIATION
AND PLANNING? HOW? Pre-Initiation:
-Business Case: Initial MEC & Prioritization by PMO
-Feasibility Study: MEC of Business Case
Initiation:
-Charter & Stakeholder Register: Drafts MECed by
Quality Dept. for Format, Content, Accuracy etc.
-Completion of Stakeholder Register in terms of
Influence & Interest, and handling Strategies in
itself a MEC process
Planning: All Project Plans MECed by Quality Dept.
for Format, Content, Accuracy etc.&
endorsed/checked/ assured/counter-signed by a
relevant Functional Manager/ Chief Officer

MEC: DIAGRAMMATIC
ILLUSTRATION
Monitor Project Progress
Evaluate Project Progress
Yes Satisfactory No
Assess Possible Control Action
Select & Implement Possible Control Action

MEC AND QUALITY
MANAGEMENT
Quality on a Project means meeting stakeholders’ requirements and expectations wrt functionalities. The degree to
which a set of inherent characteristics fulfills requirement. As such, Quality has something to do with meeting the
Product Scope
Example: Successful Q Management will ensure that a construction company delivers a house exactly as per BOQS and
Construction Drawings
On the other hand, MEC goes beyond the boundaries of Scope and encompasses everything Schedule, Cost, Risks, HR
etc.
Example: Successful MEC will ensure that a construction company delivers the house not only exactly as per BOQS and
Construction Drawings, but also:
-on or before time
-within the budget
-with the allocated resources
-with a motivated team
-without confronting unplanned risks or threats
-with no major issues with the stakeholders
-without a communication gap
-with all sub-contracts closed to the satisfaction of all parties

IMPORTANCE OF MEC
 Monitoring & Controlling ascertains if the project is performing or tracking to the
Baselines in the Proj Mgt Plan or if there are any Variances from the Baselines
 If there are Variances, the Monitoring & Control Process generates Changes in the
form of Corrections, Corrective Actions, Preventive Actions or Defect Repairs, to
remove the Variances
 Monitoring and Controlling Process is a continuous process running in the
“background” of the other four Process Groups
 Forms part of All Knowledge Areas
 Leads to Job Opportunities
 Worst Scoring Process Group on PMP Certification Exam
CONTROL INTERVENTIONS -
CORRECTION
 Correction is an intentional activity to modify a non-conforming product or
product component
 Differs from Corrective Action in root cause analysis only
Example
 A component coming off a production line fails QC; the component is repaired
or replaced; no root cause analysis is done to investigate into the reason(s) of
its failure
 Correction is a reactive process

CONTROL INTERVENTIONS –
CORRECTIVE ACTION
 Corrective action is an intentional activity that:
 Corrects the error/non-conformity and realigns the performance of the project work with the project
management plan (Baselines)
 Ensures that the error/con-conformity will not recur, through root cause analysis of the error/non-conformity
 Example: A component coming off a production line fails QC; another component does the same; root cause
analysis suggests inadequate curing time; proper curing time is the corrective action
 Corrective Action is a reactive process
 All Corrective actions are reviewed and approved/rejected by the PICC process, as Approved/Rejected
Changes
 Generally, Corrective Actions do not change the Baselines, but
 Those Corrective actions which do affect the PMP, project Baselines, policies, procedures, charter, contracts,
SOW etc. require approval of the CCB or the Sponsor

PREVENTIVE ACTION
 Preventive Action is an intentional activity that ensures the future
performance of the project work is aligned with the project management plan
 Examples
-Stocking building material in anticipation of price hike after budget. This
action will contribute to keeping the Project Cost within budget
-Working overtime to prevent time loss to the impending monsoon rains. This
action will contribute to prevent the Project from slipping in schedule
 Preventive Action is a proactive process

PREVENTIVE ACTION
 Generally, Preventive Actions are undertaken to adjust performance within the existing
project Baselines and do not change them
 All Preventive actions are reviewed and approved/ rejected by the Perform Integrated Change
Control process, as Approved/Rejected Changes
 Those Preventive actions which affect the PMP, project Baselines, policies, procedures,
Charter, contracts, SOW etc. require approval of the CCB or the Sponsor

REWORK (DEFECT REPAIR)
 Rework, is an intentional activity to bring a defective or nonconforming product, or product component into
compliance with requirements or Specifications, by modifying, or redoing the entire non-conforming product
or product component
 Example
A component coming off a production line is rejected by the QC; or is rejected by the Customer at Validate Scope for its
failure to meet the scope
 Rework is a reactive process
 Generally, Rework entails reviewing the entire process, starting with design, resulting in a modification(s) and
creates new baseline
 Therefore, all Reworks are reviewed and approved/ rejected by the Perform Integrated Change Control
process, as Approved/Rejected Changes
 Reworks affect the PMP, project Baselines, policies, procedures, Charter, contracts, SOW etc.; therefore
require approval of the CCB or the Sponsor
MONITORING, EVALUATION &
CONTROL DATA
 Work Performance Data (WPD)
 Work Performance Information (WPI)
 Work Performance Report (WPR)
1. Collected throughout project life cycle.

2. Collected as result of various processes.
3. Are shared within project team to be analyzed and transformed into
project information.
4. This information is then communicated and stored in forms of reports.
WORK PERFORMANCE DATA
Raw observations & measurements identified during activities being performed to carry out the
project work
E.g. % work completed, Status of Deliverables, Actual Costs, Actual Durations,
Satisfaction Surveys, Questionnaires, Frequency of Reporting, Number of Communication
Channels, Level of Stakeholder Interest, Q & Tech Performance Measure, Results (of Tests,
Inspections, Audits), Invoices etc.
Manifestation of MONITORING
Produced by the Direct & Manage Project Work process
Goes to the Respective Monitoring & Control process
Pakistan 46
WORK PERFORMANCE
INFORMATION
Performance Data collected from the central Direct & Manage Project Work, analyzed in
context and integrated based on relationships across areas, in the respect Monitoring & Control
Process
E.g. Variances, Implementation Status of Change Requests, Forecasts, Analyses (of Test
Results, Audits, Inspections), Corrections, Corrective Actions, Reworks Reassessments (of
Risks, Stakeholders), Scrutiny of Invoices, Variation Orders, Compliance with Contract,
Performance Assessment etc.
Manifestation of EVALUATION
Produced by the respective Monitoring & Control Process; goes to the overall Project Control
( Monitor & Control Project Work)

WORK PERFORMANCE
REPORT
Physical or electronic representation of work performance information compiled in project
documents, by the Overall Project Control (Monitor & Control Project Work), intended to
generate decisions, actions, or awareness
e.g.: Status Reports, Memos, Information Notes, Electronic Dashboards, Briefs,
Recommendations etc.
Produced by the Overall Project Control

Go to the Integrated Change Control, Project Management Plan & Project Communications

Pakistan 52

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PROJECT

Relationship between WPD, WPI and WPR.

Lecturer – Barirah Zaufishan Department of Management

Hellawell/Brown (1991/2000) define monitoring as:

 Monitoring is gathering, measuring and recording of sufficient information about the

Many variables are easily quantifiable on an absolute or relative measurement scale,

Monitoring is undertaken by stakeholders actively involved in the

Monitoring is undertaken by stakeholders not actively involved in

Internal B the project but who belong to the project-owning or implementing

Monitoring is undertaken by stakeholders outside the project-

Lecturer – Barirah Zaufishan

Lecturer – Barirah Zaufishan

Evaluation is multi-dimensional in scope. Many definitions of

The American Evaluation Association defines evaluation as

 Are the resources / infrastructure needed for this project

 Should a different project strategy be followed?

 Are our project processes X, Y & Z efficient?

 Have the major project risks been comprehensively identified?

Lecturer – Barirah Zaufishan

 Which criteria should be used to identify the best vendor?

 Do the physical deliverables meet the agreed upon

Lecturer – Barirah Zaufishan

 Are Processes Effective?

 Are Processes Efficient?

 Are Processes Simple?

 Are Processes Transparent?

 Are Processes Customizable?

 Are Processes Integrated?

 Are Processes Monitor-able?

 Are Processes Improvable?

Project outcomes and impacts may be

Short, Medium & Long-term Costs & Benefits

(Fully, Partially & Non-Quantifiable)

Project On-Going Evaluation

Project Completion Evaluation

Pre-Project Project Life-Cycle Post-Project

Pre-Project Evaluation – This type of evaluation is used

Commonly used pre-project evaluation instruments in

Lecturer – Barirah Zaufishan

 Political / Policy Consistency

On-Going Project Evaluation – This

During a project life cycle, it is normal

Project Completion Evaluation – This type of

This evaluation usually takes the form of a detailed

Lecturer – Barirah Zaufishan

 What worked and what didn’t work?

Lecturer – Barirah Zaufishan

Post-Project Evaluation – This type of evaluation is

Lecturer – Barirah Zaufishan

Lecturer – Barirah Zaufishan

 Control is the process of removing the Variances analyzed during Evaluation, or

Lecturer – Barirah Zaufishan

Taking Corrective Observing Project

Acquisition of information about the

Lecturer – Barirah Zaufishan

Project Pre-Initiation Activities

Project Project Initiation Phase

1. The Project: What is going well / not going well?

Lecturer – Barirah Zaufishan

Variance = - Rs. 80,000/-

Lecturer – Barirah Zaufishan

Evaluation: What is the observed (+/-) variance between

Controlling: What can be done to “manage” this cost