Prince 2 Practioner Abstract I used to study

1. PRINCE2
PRINCE2
A SUMMARY
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2. PRINCE2
DOCUMENT HISTORY
Version Date Author Notes
0.1 25-02-2006 Anne Plancius First draft
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3. PRINCE2
TABLE OF CONTENTS
0. PERSONAL NOTE .................................................................................................................... 8
1. PRINCE2 TERMINOLOGY ...................................................................................................... 9
2. AN INTRODUCTION TO PRINCE2 ..................................................................................... 10
2.1. Starting up a Project (SU) .................................................................................................... 10
2.2. Directing a project (DP) ...................................................................................................... 11
2.3. Initiating a project (IP) ........................................................................................................ 11
2.4. Managing stage boundaries (SB) ........................................................................................ 11
2.5. Controlling a stage (CS) ....................................................................................................... 11
2.6. Managing product delivery (MP) ........................................................................................ 11
2.7. Closing a project (CP) .......................................................................................................... 12
2.8. Planning ................................................................................................................................ 12
2.9. The components................................................................................................................... 12
2.9.1. Business Case........................................................................................................................................... 12
2.9.2. Organization ............................................................................................................................................ 12
2.9.3. Plans .......................................................................................................................................................... 13
2.9.4. Controls .................................................................................................................................................... 13
2.9.5. Management of Risk............................................................................................................................... 13
2.9.6. Quality in a project environment ......................................................................................................... 13
2.9.7. Configuration Management .................................................................................................................. 13
2.9.8. Change control ........................................................................................................................................ 13
2.10. The techniques ................................................................................................................... 13
3. STARTING UP A PROJECT (SU)............................................................................................ 14
3.1. Appointing an Executive and a Project Manager (SU1) ..................................................... 14
3.1.1. Objective .................................................................................................................................................. 14
3.1.2. Responsibilities........................................................................................................................................ 14
3.2. Designing a project management team (SU2) ................................................................... 14
3.2.1. Objective .................................................................................................................................................. 15
3.2.2. Responsibilities........................................................................................................................................ 15
3.3. Appointing a Project Management Team (SU3) ............................................................... 15
3.3.1. Objective .................................................................................................................................................. 15
3.3.2. Responsibilities........................................................................................................................................ 15
3.4. Preparing a Project Brief (SU4) ........................................................................................... 15
3.4.1. Objective .................................................................................................................................................. 15
3.4.2. Responsibilities........................................................................................................................................ 15
3.5. Defining a Project Approach (SU5)..................................................................................... 16
3.5.1. Objective .................................................................................................................................................. 16
3.5.2. Responsibilities........................................................................................................................................ 16
3.6. Planning an Initiation Stage (SU6) ..................................................................................... 16
3.6.1. Objective .................................................................................................................................................. 16
3.6.2. Responsibilities........................................................................................................................................ 16
3.7. Input and output .................................................................................................................. 17
4. INITIATING A PROJECT (IP) ................................................................................................ 18
4.1. Planning quality (IP1) .......................................................................................................... 18
4.1.1. Objective .................................................................................................................................................. 18
4.1.2. Responsibilities........................................................................................................................................ 18
4.2. Planning a project (IP2) ....................................................................................................... 19
4.2.1. Objective .................................................................................................................................................. 19
4.2.2. Responsibilities........................................................................................................................................ 19
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4.3. Refining the Business Case and risks (IP3) ........................................................................ 19
4.3.1. Objective .................................................................................................................................................. 19
4.3.2. Responsibilities........................................................................................................................................ 19
4.4. Setting up Project Control (IP4) .......................................................................................... 19
4.4.1. Objective .................................................................................................................................................. 19
4.4.2. Responsibilities........................................................................................................................................ 20
4.5. Setting up the Project Files (IP5) ........................................................................................20
4.5.1. Objective .................................................................................................................................................. 20
4.5.2. Responsibilities........................................................................................................................................ 20
4.6. Assembling a Project Initiation Document (IP6) ...............................................................20
4.6.1. Objective .................................................................................................................................................. 20
4.6.2. Responsibilities........................................................................................................................................ 20
4.7. Input and output .................................................................................................................. 21
5. DIRECTING A PROJECT (DP) ...............................................................................................22
5.1. Authorizing Initiation (DP1) ................................................................................................22
5.1.1. Objective .................................................................................................................................................. 22
5.1.2. Responsibilities........................................................................................................................................ 22
5.2. Authorizing a project (DP2) ................................................................................................22
5.2.1. Objective .................................................................................................................................................. 23
5.2.2. Responsibilities........................................................................................................................................ 23
5.3. Authorizing a Stage or Exception Plan (DP3) ....................................................................23
5.3.1. Objective .................................................................................................................................................. 23
5.3.2. Responsibilities........................................................................................................................................ 23
5.4. Giving ad hoc direction (DP4) .............................................................................................23
5.4.1. Objective .................................................................................................................................................. 23
5.4.2. Responsibilities........................................................................................................................................ 23
5.5. Confirming Project Closure (DP5) ......................................................................................23
5.5.1. Objective .................................................................................................................................................. 23
5.5.2. Responsibilities........................................................................................................................................ 24
5.6. Input and output ..................................................................................................................25
6. CONTROLLING A STAGE (CS) .............................................................................................26
6.1. Authorizing Work Package (CS1) ........................................................................................26
6.1.1. Objective .................................................................................................................................................. 26
6.1.2. Responsibilities........................................................................................................................................ 27
6.2. Assessing progress (CS2) .....................................................................................................27
6.2.1. Objective .................................................................................................................................................. 27
6.2.2. Responsibilities........................................................................................................................................ 27
6.3. Capturing Project Issues (CS3) ...........................................................................................27
6.3.1. Objective .................................................................................................................................................. 27
6.3.2. Responsibilities........................................................................................................................................ 27
6.4. Examining Project issues (CS4) ..........................................................................................27
6.4.1. Objective .................................................................................................................................................. 27
6.4.2. Responsibilities........................................................................................................................................ 27
6.5. Reviewing stage status (CS5)...............................................................................................28
6.5.1. Objective .................................................................................................................................................. 28
6.5.2. Responsibilities........................................................................................................................................ 28
6.6. Reporting Highlights (CS6) .................................................................................................28
6.6.1. Objective .................................................................................................................................................. 28
6.6.2. Responsibilities........................................................................................................................................ 28
6.7. Taking corrective action (CS7) ............................................................................................28
6.7.1. Objective .................................................................................................................................................. 28
6.7.2. Responsibilities........................................................................................................................................ 29
6.8. Escalating project issues (CS8) ...........................................................................................29
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6.8.1. Objective .................................................................................................................................................. 29
6.8.2. Responsibilities........................................................................................................................................ 29
6.9. Receiving completed work package (CS9) .........................................................................29
6.9.1. Objective .................................................................................................................................................. 29
6.9.2. Responsibilities........................................................................................................................................ 29
6.10. Input and output .................................................................................................................30
7. MANAGING PRODUCT DELIVERY (MP) ...........................................................................32
7.1. Accepting a Work Package (MP1) .......................................................................................32
7.1.1. Objective .................................................................................................................................................. 32
7.1.2. Responsibilities........................................................................................................................................ 32
7.2. Executing a Work Package (MP2) ......................................................................................32
7.2.1. Objective .................................................................................................................................................. 32
7.2.2. Responsibilities........................................................................................................................................ 33
7.3. Delivering a Work Package (MP3) ......................................................................................33
7.3.1. Objective .................................................................................................................................................. 33
7.3.2. Responsibilities........................................................................................................................................ 33
7.4. Input and output ..................................................................................................................33
8. MANAGING STAGE BOUNDARIES (SB) .............................................................................34
8.1. Planning a Stage (SB1) .........................................................................................................34
8.1.1. Objective .................................................................................................................................................. 34
8.1.2. Responsibilities........................................................................................................................................ 34
8.2. Updating a Project Plan (SB2) .............................................................................................34
8.2.1. Objective .................................................................................................................................................. 34
8.2.2. Responsibilities........................................................................................................................................ 35
8.3. Updating a Project Business Case (SB3) ............................................................................35
8.3.1. Objectives ................................................................................................................................................ 35
8.3.2. Responsibilities........................................................................................................................................ 35
8.4. Updating the Risk Log (SB4) ..............................................................................................35
8.4.1. Objectives ................................................................................................................................................ 35
8.4.2. Responsibilities........................................................................................................................................ 35
8.5. Reporting Stage End (SB5)..................................................................................................35
8.5.1. Objective .................................................................................................................................................. 35
8.5.2. Responsibilities........................................................................................................................................ 35
8.6. Producing an Exception Plan (SB6) ...................................................................................36
8.6.1. Objective .................................................................................................................................................. 36
8.6.2. Responsibilities........................................................................................................................................ 36
8.7. Input and output ..................................................................................................................37
9. CLOSING A PROJECT (CP) ....................................................................................................38
9.1. Decommissioning a Project (CP1).......................................................................................38
9.1.1. Objective .................................................................................................................................................. 38
9.1.2. Responsibilities........................................................................................................................................ 39
9.2. Identifying Follow-on Actions (CP2) ..................................................................................39
9.2.1. Objectives ................................................................................................................................................ 39
9.2.2. Responsibilities........................................................................................................................................ 39
9.3. Evaluating a Project (CP3) ..................................................................................................39
9.3.1. Objective .................................................................................................................................................. 39
9.3.2. Responsibilities........................................................................................................................................ 39
9.4. Input and output ..................................................................................................................40
10. PLANNING .............................................................................................................................. 41
10.1. Designing a Plan (PL1)....................................................................................................... 41
10.1.1. Objective ................................................................................................................................................ 41
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10.1.2. Responsibilities...................................................................................................................................... 41
10.2. Defining and Analyzing Products (PL2) ...........................................................................42
10.2.1. Objective ................................................................................................................................................ 42
10.2.2. Responsibilities...................................................................................................................................... 42
10.3. Identifying Activities and Dependencies (PL3) ................................................................42
10.3.1. Objective ................................................................................................................................................ 42
10.3.2. Responsibilities...................................................................................................................................... 42
10.4. Estimating (PL4) ................................................................................................................42
10.4.1. Objective ................................................................................................................................................ 42
10.4.2. Responsibilities...................................................................................................................................... 42
10.5. Scheduling (PL5) ................................................................................................................43
10.5.1. Objectives .............................................................................................................................................. 43
10.5.2. Responsibilities...................................................................................................................................... 43
10.6. Analyze Risks (PL6) ...........................................................................................................43
10.6.1. Objective ................................................................................................................................................ 43
10.6.2. Responsibilities...................................................................................................................................... 43
10.7. Completing a Plan (PL) .....................................................................................................43
10.7.1. Objective ................................................................................................................................................ 43
10.7.2. Responsibilities...................................................................................................................................... 43
10.8. Input and output .................................................................................................................44
11. THE COMPONENTS..............................................................................................................45
11.1. Business Case ......................................................................................................................45
11.2. Organization .......................................................................................................................45
11.2.1. Business .................................................................................................................................................. 46
11.2.2. User ......................................................................................................................................................... 46
11.2.3. Supplier................................................................................................................................................... 46
11.2.4. The project board ................................................................................................................................. 46
11.2.4.1. Executive ............................................................................................................................................ 47
11.2.4.2. Senior User ......................................................................................................................................... 47
11.2.4.3. Senior Supplier ................................................................................................................................... 47
11.2.5. Project Manager .................................................................................................................................... 47
11.2.6. Team Manager....................................................................................................................................... 47
11.2.7. Project Assurance ................................................................................................................................. 47
11.2.8. Project Support ..................................................................................................................................... 48
11.3. Plans ....................................................................................................................................48
11.3.1. Project Plan............................................................................................................................................ 48
11.3.2. Stage Plan ............................................................................................................................................... 49
11.3.3. Team Plan .............................................................................................................................................. 49
11.3.4. Stage and team quality plans ............................................................................................................... 49
11.3.5. Exception plan ...................................................................................................................................... 49
11.4. Controls ...............................................................................................................................49
11.4.1. Tolerance................................................................................................................................................ 51
11.4.2. Product description .............................................................................................................................. 51
11.4.3. Work Package........................................................................................................................................ 51
11.4.4. Quality Log ............................................................................................................................................ 51
11.4.5. Project issues and change control ...................................................................................................... 52
11.4.6. Risk Log ................................................................................................................................................. 52
11.4.7. Checkpoint............................................................................................................................................. 52
11.4.8. Highlight Report ................................................................................................................................... 52
11.4.9. Exception report ................................................................................................................................... 52
11.4.10. End stage assessment ......................................................................................................................... 52
11.4.11. End Stage report ................................................................................................................................. 52
11.4.12. Daily Log ............................................................................................................................................. 53
11.4.13. Lessons Learned Log ......................................................................................................................... 53
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11.4.14. Controlled Close ................................................................................................................................. 53
11.4.15. Project closure notification ............................................................................................................... 53
11.4.16. Lesson Learned report ....................................................................................................................... 53
11.4.17. Follow on Action recommendations............................................................................................... 53
11.4.18. End project report .............................................................................................................................. 53
11.4.19. Post Project Review plan................................................................................................................... 53
11.4.20. Stages .................................................................................................................................................... 53
11.4.21. Review and decision points............................................................................................................... 53
11.4.22. Planning horizons ............................................................................................................................... 54
11.4.23. Management versus technical stages ............................................................................................... 54
11.4.23.1. How to define stages ...................................................................................................................... 54
11.4.23.2. How to use stages............................................................................................................................ 54
11.5. Management of risk ............................................................................................................54
11.5.1. Risk tolerance ........................................................................................................................................ 54
11.5.2. Risk responsibilities .............................................................................................................................. 54
11.5.3. Risk ownership ...................................................................................................................................... 55
11.5.4. The risk management cycle ................................................................................................................. 55
11.5.4.1. Identify the risks ................................................................................................................................ 55
11.5.4.2. Evaluate the risks............................................................................................................................... 56
11.5.4.3. Identify suitable responses to risk................................................................................................... 56
11.5.4.4. Select .................................................................................................................................................... 56
11.5.4.5. Plan and Resource ............................................................................................................................. 56
11.5.4.6. Monitor and report............................................................................................................................ 57
11.6. Quality in a project environment .......................................................................................58
11.7. Configuration Management ...............................................................................................58
11.8. Change control ....................................................................................................................59
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8. PRINCE2
0. PERSONAL NOTE
This document is a summary based on: „Managing Successful Projects with Prince2‟. This summary is
purely intended for me personally but might help others. This reason for this abstract is my Prince2
Practioner exam.
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9. PRINCE2
1. PRINCE2 TERMINOLOGY
Business Case: Business Case is used to define the information that justifies the setting u, continuation or
termination of the project. It answers the question: ”Why should this project be done?” It is updated at
key points throughout the project.
Customer: Customer is used to represent the person or group who has commissioned the work and will
be benefiting from the end results.
Products: Product is used to describe everything that the project has to create or change, however
physical or otherwise this may be. Results of projects can vary enormously from physical items, such as
buildings and machinery, to intangible things such as culture change and public perception.
Programme: Programme is a collection of projects that together achieve a beneficial change for an
organization.
Supplier: Supplier is used to mean the group that is providing specialist resources and skills to the project
or is provisioning goods and services to create the project outcome required by the customer and user.
User: User is defined as the person or group who will use or operate the final product. In some situations
the customer and user may be the same group.
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2. AN INTRODUCTION TO PRINCE2
Prince2 defines a project as: A management environment that is created for the purpose of delivering one
or more business products according to a specified Business Case.
A Prince2 project has the following characteristics:
 A finite and a defined lifecycle
 Defined and measurable business products
 A corresponding set of activities to achieve the business products
 Defined amount of resources
 An organization structure, with defined responsibilities to manage the project.
Prince2 covers the management of the project and the management of resources involved in carrying out
the activities of the project. It does not cover the specialists techniques involved in the creation of the
products.
Directing a project
DP4
DP1 DP2 DP3 DP5
Starting up a
Initiating a project Managing stage boundaries
project
Controlling a
Closing a project
stage
Planning
Managing
product delivery
2.1. Starting up a Project (SU)
It is a pre-project process, designed to ensure that the prerequisites for initiating the project are in place.
The process expects the existence of a Project Mandate that defines in high level terms the reason for the
project and what product is required. The work of the process is built around the establishment of seven
things:
 The design and, as far as possible, appointment of the project management team.
 The project brief
 The project approach (in general terms how a solution will be provided)
 The customer‟s quality‟s expectations
 A risk log
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 An outline Business Case
 The initiation stage plan
The Daily Log is opened here for the Project Manager‟s use throughout the project.
2.2. Directing a project (DP)
Directing a Project runs from Starting up a Project (SU) until the project‟s closure.
This process is aimed at the Project Board. The Project Board manages by exception, monitors via
reports and controls through a number of decision points.
The key processes for the Project Board break into five main areas:
 Authorizing initiation
 Authorizing a project
 Stage boundaries
 Ad hoc direction
 Project closure
2.3. Initiating a project (IP)
The objectives of Initiating a Project are to:
 Define how the required product quality will be achieved
 Plan and cost the project
 Revise the Business Case and confirm that an acceptable Business Case exists for the project
 Ensure that the investment of time and effort required by the project is justified, taking
account of the risks to the project
 Enable and encourage the Project Board to take ownership of the project and agree to the
commitment of the resources for the next stage
 Provide the baseline for the decision-making processes required during the project‟s life.
2.4. Managing stage boundaries (SB)
The objectives of this process are to:
 Assure the Project Board that all products planned in the current Stage Plan have been
completed as defined
 Provide the information needed for the Project Board to assess the continuing viability of
the project
 Provide the Project Board with any other information needed to approve the current stage‟s
completion and authorize the start of the next stage, together with its delegated tolerance
level
 Record any measurements or lessons that can help later stages of this project and/or other
projects.
2.5. Controlling a stage (CS)
A project may have many stages. This process describes the monitoring and control activities of the
Project Manager involved in allocating work, ensuring that a stage stays on course and reacting to
unexpected events. The process forms the core of the Project Manager‟s effort on the project, being the
process that handles day-to-day management of the project.
2.6. Managing product delivery (MP)
The objective of this process is to ensure that planned products are created and delivered by the project
by:
 The team manager negotiating details of Work Packages with the project manager
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 Making certain that work on products allocated to the team is effectively authorized and
agreed
 Ensuring that work conforms to the requirements of interfaces identified in the Work
Package
 Ensuring that the work is done
 Assessing work progress and forecasts regularly
 Ensuring that completed products meet quality criteria
 Obtaining approval for the completed products
2.7. Closing a project (CP)
The purpose of this process is to execute a controlled close to the project. The objectives of closing a
project are to:
 Check the extent to which the objectives or aims set out in the Project Initiation Document
have been met
 Assess to what extent all expected products have been handed over and accepted by the
customer
 Confirm that maintenance and operation arrangements are in place including relevant
training
 Capture lessons resulting from the project and complete the lessons learned report
 Prepare an End Project Report
 Archive the project files
 Produce a Post-Project Review Plan
 Prepare a recommendation to the Project Board to notify the host organization of the
intention to disband the project organization and release the resources
2.8. Planning
Planning is a repeatable process and plays an important role in other processes, the main ones being:
 Planning an Initiation Stage (SU6)
 Planning a Project (IP2)
 Planning a Stage (SB1)
 Updating a Project Plan (SB2)
 Accepting a Work Package (MP1)
 Producing an Exception Plan (SB6)
Apart from a plan the process produces:
 A product checklist, which is a table of the products to be produced by the work planned,
with space for planned and actual dates for the delivery of draft, quality-checked and
approved products.
 The risk log, updated with any risk situation changes made as a result of the planning activity.
2.9. The components
2.9.1. Business Case
The existence of a viable Business Case is the main control condition of a Prince2 project. The Business
Case is verified by the Project Board before a Project begins and at every major decision point throughout
the project. The project should be stopped if the viability of the Business Case disappears for any reasons.
2.9.2. Organization
Prince2 provides a structure of a project management team and a definition of the responsibilities and
relationships of all roles involved in the project. According to the size and complexity of a project., these
roles can be combined or shared.
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2.9.3. Plans
Prince2 offers a series of plan levels that can be tailored to the size of a project and an approach to
planning based on products rather than activities.
2.9.4. Controls
Prince2 provides a set of controls which facilitate the provision of key decision-making information,
allowing an organization o pre-empt problems and make decisions on problem resolution. For senior
management Prince2 controls are based on the concept of management by exception. In order to
promote sound management control, a project is split into stages as an approach to defining the review
and commitment point of a project.
2.9.5. Management of Risk
Risk is a major factor to be considered during the life of a project. Prince2 efines the key moments when
risks should be reviewed, outlines an approach to the analysis and management of risk, and tracks these
through all processes.
2.9.6. Quality in a project environment
Prince2 recognizes the importance of quality and incorporates a quality approach to the management and
technical processes. It begins by establishing the customers quality expectations and follows these up by
laying down standards and quality inspection methods to be used and by checking that these being used.
2.9.7. Configuration Management
Tracking the components of a final product and their versions for release is called Configuration
Management. There are many methods of Configuration Management available. Prince2 defines the
essential facilities and information requirements for a configuration management method and how it
should link with other Prince2 components.
2.9.8. Change control
Prince2 emphasis the need for change control, and this is enforced with a change control technique plus
identification of the processes that capture, analyze and progress the change control.
2.10. The techniques
In support of the method the manual does contain details of these techniques: product based planning,
change control and quality review.
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3. STARTING UP A PROJECT (SU)
SU Starting up a project
SU1 SU2 SU3
Appointing an Executive Designing a Project Appointing a Project
and a Project Manager Management Team Management Team
DP1
Authorizing initiation
SU4 SU5 SU6 PL
Preparing a Project Brief Defining a Project Approach Planning an initiation stage PLANNING
The work of the process is built around the production of seven elements:
 Designing and appointing the project management team
 Ensuring that the information required for the Project Brief is available
 Establishing the Project Approach
 Establishing the customer‟s quality expectations
 Creating an outline Business Case
 Setting up a Risk Log
 Creating the Initiation Stage Plan
The objective of the process is to enable a controlled start to the project by ensuring that:
 All the necessary project management authorities exists for undertaking the project
 Sufficient information is available to formalize the terms of reference for the project
 Individuals are appointed who will undertake the work required in project initiation and/or
will take significant project management roles in the project.
 The work required for the project initiation is planned
 The organization that will host the project team is informed of the existence and implications
of the new project.
3.1. Appointing an Executive and a Project Manager (SU1)
3.1.1. Objective
The objectives of this sub-process are to:
 Identify the Executive from the project‟s stakeholders
 Identify the most appropriate Project Manager for the project
 Confirm the selected people‟s availability, their acceptance of those roles and their
commitment to carry them out.
 Appoint them to their respective roles
3.1.2. Responsibilities
Responsibility for this sub-process lies with corporate or programme management.
3.2. Designing a project management team (SU2)
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3.2.1. Objective
The objectives of this sub-process are to:
 Design the project management team structure appropriate to the size and nature of the
project and the groups involved
 Identify candidates for each role in order to produce a recommended project management
team
 Determine the responsibilities and requisite skills for each position
 Where the project is part of a programme, programme management has responsibility for
ensuring the establishment of an appropriate Project Board. If this is done, most of this sub-
process is not required. The programme may, however, leave the appointment of the
remainder of the Project Board to the Executive.
3.2.2. Responsibilities
The Excecutive and the Project Manager are jointly responsible for the design. The Executive will take
specific responsibility for the Project Board design.
3.3. Appointing a Project Management Team (SU3)
3.3.1. Objective
The objectives of this sub-process are to:
 Appoint people to:
o The Project Board
o Project Assurance (where appropriate)
o Project Support (where appropriate)
o Team Management
 Ensure that these individuals understand their roles and responsibilities in the management
and support of the project
 Ensure that the individuals are actively committed o carrying out their roles and
responsibilities
 Confirm the reporting and communication lines, and include in management information as
this will impact on the Communication Plan
3.3.2. Responsibilities
The Executive is responsible for appointments, assisted and advised by the Project Manager. The
Executive will have to liaise with corporate or programme management to identify the appropriate
personnel and negotiate for their availability.
3.4. Preparing a Project Brief (SU4)
3.4.1. Objective
The objectives of this sub-process are to:
 Prepare the formal terms of reference for the project
 Establish the customer‟s quality expectations
 Establish the Acceptance Criteria for the project
 Begin a record of any risks facing the project
 Ensure there is an outline Business Case based on information provided in the Project
Mandate
3.4.2. Responsibilities
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The Executive is ultimately responsible for the production of the Project Brief. In practice, the Project
Manager and any appointed Project Support will do much of the actual work. The Executive‟s Project
Assurance role should review the outline Business Case and Risk Log.
3.5. Defining a Project Approach (SU5)
3.5.1. Objective
The objectives of this sub-process are to:
 Decide how the work of the project should be approached
 Identify any constraints on the way that the work of the project must be carried out or on
the timing of certain product deliveries
 Identify the skills required to conduct the work of the project
3.5.2. Responsibilities
The Project Manager is responsible for carrying out this sub-process. However, the work will need to be
done by people skilled in the specialist areas involved, with input from Project Support and Project
Assurance roles, under the overall direction of the Senior Supplier.
3.6. Planning an Initiation Stage (SU6)
3.6.1. Objective
The objectives of this sub-process are to:
 Produce a plan (the Initiation Stage plan) that covers the production of two management
products:
o The Project Initiation Document (which includes the Project Plan)
o The Stage Plan for the next Stage
 Define the reporting and control arrangements for the initiation stage
3.6.2. Responsibilities
The Project Manager is responsible for planning the initiation stage. The appointed Project Assurance
and Project Support roles will assist. In particular whoever is responsible for business assurance needs to
identify in the Initiation Stage Plan how the Business Case and risk assessment will be checked.
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3.7. Input and output
Input Sub-process Ouput
· Projectmandate SU1
· Projectmandate (update)
Appointing an Executive
· Role description Executive +
and a Project Manager
Project manager
· Appointed Executive + Project
manager
SU2 · Project management team
· Projectmandate structure
· Role description Executive + Designing a project
Management team · Conceptual role description other
Project manager members of the project
management team
· Project management team SU3
structure Appointing a project · Appointed Project management
· Conceptual role description other Management team team
members of the project · Definitive role descriptions
management team
· Projectmandate SU4 · Project Brief
Preparing a Project Brief · Risk Log
SU5
· Project Brief
Definining a Project · Project Approach
· Risk Log
Approach
· Project Brief SU6 · Stage paln for the Initiation stage
· Project Approach Planning an Initiation · Risk Log (update)
· Risk Log Stage
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4. INITIATING A PROJECT (IP)
IP Initiating a project
IP3
IP1 IP2
Refining the Business Case
Planning Quality Planning a Project
and Risks
DP1 PL
Authorizing PLANNING
initiation
DP2
IP6 Authorising
IP4 IP5
Assembling a Project a Project
Setting up Project Controls Setting up Project Files
Initiation Document
In formal terms the objectives of Initiating a Project are to:
 Document and confirm that and acceptable Business Case exists for the project
 Ensure a firm and accepted foundation to the project, prior to commencements of the work,
via the creation of the Project Initiation Document
 Enable and encourage the Project Board to take ownership of the project
 Enable and encourage the Project Board to:
o Make a decision on whether the project is viable
o Agree to the commitment of resources to the next stage of the project
 Provide the benchmark for the decision-making processes required during the project‟s life
 Ensure that by carrying our initiation in an organized manner, the investment of time and
effort required by the project is made wisely, taking account of the risks to the project.
4.1. Planning quality (IP1)
4.1.1. Objective
The objective of this sub-process are to determine the quality required for products of the project, and to
plan the project‟s approach to quality (the Project Quality Plan) by:
 Establishing the quality regime that will apply to the project and what Project Assurance
arrangements will be employed
 Agreeing the customer‟s quality expectations
 Refining the project‟s acceptance criteria
 Establishing the approach to be used within the project for the control of changes
4.1.2. Responsibilities
The project manager is responsible for this sub-process, assisted by those with Project Assurance
responsibilities, particularly those connected to business assurance. Where a separate quality assurance
function exists within a corporate body, the work of this sub-process must be done in close co-ordination
with that function.
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4.2. Planning a project (IP2)
4.2.1. Objective
The objectives of this sub-process are to:
 Understand at a high level the totality of the work that is about to be undertaken y:
o Identifying and, where possible, defining the major products of the project
o Identifying the major activities to be performed to deliver products
o Assessing the major risks of the project and putting in place countermeasures
o Estimating the effort needed
o Identifying what timescales are achievable, given that project constraints and any key
milestones
o Identifying the overall resource requirements and costs
 Identify the key decision and review points for the project, and any implications on these
from the Project Approach. From these decide where the management stage divisions should
be
 Use the Planning process to produce the Project Plan
 Use the Panning process to produce the Next Stage Plan
4.2.2. Responsibilities
The Project Manager is responsible for this sub-process, assisted where appropriate by Project Support
roles and other members of the project management team, and guided by those with Project Assurance
responsibilities, who also check the results.
4.3. Refining the Business Case and risks (IP3)
4.3.1. Objective
This sub-process refines the Business Case and may reveal extra risks. The objectives of this sub-process
are to:
 Refine the Business Case in the light of what is now known about the project
 Identify how the achievement of each benefit is to measured
 Add to the Risk Log any extra problems or threats identified during this process
 Modify the Project Plan in the light of any risk management activities
4.3.2. Responsibilities
The project manager is responsible for this sub-process, assisted, where appropriate by Project Support
roles and advised by those with Project Assurance responsibilities. The project manager should discuss
the Business Case and risks with the Project Board informally before presentation in the Project Initiation
Document.
4.4. Setting up Project Control (IP4)
4.4.1. Objective
The objectives of this sub-process are to:
 Establish the level of control and reporting required by the project board for the project after
initiation
 Develop controls that are consistent with the risk and complexity of the project
 Establish the day-to-day monitoring required to ensure that the project will be controlled in
an effective and efficient manner.
 Identify all interested parties and agree their communications needs
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4.4.2. Responsibilities
The project manager is responsible, assisted by project supported and advised by those with project
assurance responsibilities.
4.5. Setting up the Project Files (IP5)
4.5.1. Objective
The objectives of this sub-process are to:
 Institute a system of storing and retrieving all information relevant to the management of the
project, the quality checking work done and the products themselves, which will provide
appropriate support to the project team and to the implementation of change management.
 Assign responsibility for managing this filing system.
4.5.2. Responsibilities
The Project Manager is responsible for this sub-process, assisted by any project support roles and advised
by those with project assurance responsibilities.
Wher the project is part of a programme, the project-level filing structure must be consistent with that at
programme level.
4.6. Assembling a Project Initiation Document (IP6)
4.6.1. Objective
The objectives of this sub-process are to:
 Provide a basis for the decisions to be made in Authorizing a Project (DP2)
 Provide a benchmark for all the other management decisions that need to be made during
the life of the project
 Provide an information base for everyone who need to know about the project
4.6.2. Responsibilities
The Project Manager is responsible for the production of the document, assisted by project support.
There should be close consultation with Project Assurance on the content as it is developed.
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4.7. Input and output
Input Sub-process Ouput
· Project Brief IP1 · Quality Plan
· Project Approach Planning Quality · Quality Log
· Quality Standards
· Project Approach IP2
· Project Brief Planning a Project · Project plan
· Quality Plan · Risk Log (update)
· Risk Log
· Project approach IP3
· Business Case
· Project Brief Refining a Business Case
· Project plan (update)
· Risk Log and risks
· Risk Log (update)
· Project plan
· Quality Plan IP4 · Communication plan
· Project plan Setting up project controls · Project controls
· Risk Log · Project plan (update)
· Risk Log (update)
· Projectplan IP5 · Issue log
· Quality plan Setting up project files · Lessons Learned Log
· Daily log
· Quality Plan (update)
· Project Brief IP6 · Concept Project Initiation
· Project management team Assembling a Project Document
structure & role descriptions Initiation Document · Stage plan for the 1st Stage
· Project Approach
· Quality plan
· Project plan
· Business Case
· Risk log
· Project controls
· Communication plan
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5. DIRECTING A PROJECT (DP)
DP Directing a project
DP4
Giving Ad Hoc Direction
DP1 DP2 DP3 DP5
Authorizing Authorizing a Authorizing a Stage or Confirming
Initiation project Exception plan Project Closure
Managing stage
Starting up a Controlling a boundaries
Initiating a project Closing a project
project stage
Senior management who have the authority and responsibility for:
 Defining what is required form the project
 Authorizing the funds for the project
 Committing the resources
 Communicating with external parties
Directing a Project (DP) runs from Starting up a project (SU) until project closure and includes the work
to:
 Authorize the initiation of the project
 Provide management direction and control through its life
 Liaise with corporate or programme management
 Confirm project closure
5.1. Authorizing Initiation (DP1)
5.1.1. Objective
The objective of this sub-process is to ensure that the project is properly initiated by:
 Formally confirming the appointments to the project management team
 Ratifying the Project Brief
 Approving a plan to develop the Project Initiation Document
 Obtaining or committing the resources needed by the initiation stage plan
 Requesting the necessary support via the project start-up notification to the host
organization (the location where the work is to be done)
5.1.2. Responsibilities
Responsibility for this sub-process rests with the Project Board, based on input provided by the Project
Manager and those with Project Assurance responsibilities. Corporate or programme management is
responsible for ratifying the Project Brief for the Project Board.
5.2. Authorizing a project (DP2)
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5.2.1. Objective
The objective of this sub-process is to decide whether to proceed with the project. This is based on
approval or rejection of the Project Initiation Document.
5.2.2. Responsibilities
The Project Board is responsible for this sub-process. Most of the input will come from the Project
Manager.
5.3. Authorizing a Stage or Exception Plan (DP3)
5.3.1. Objective
The objective of this sub-process is to decide whether to authorize the next of work and hence commit
the required resources, based on:
 A view of the current status of the project
 A detailed forecast of the commitment of resources required by and the products to be
created from the next stage of the project
 A reassessment of the likely project end date
 A reassessment of the Risk situation
 A reassessment of the Business Case and the chances of achieving the expected benefits.
5.3.2. Responsibilities
The Project Board has full responsibilities for this sub-process, based on information provided by the
Project Manager. Advice would be given by any allocated Project Assurance roles.
5.4. Giving ad hoc direction (DP4)
5.4.1. Objective
The objectives are for the Project Board to:
 Ensure that the project remains focused on the business objectives set and remains justified
in business terms
 Ensure that the stage is progressing according to plan
 Ensure that the project manager is notified of any changes in the corporate or programme
environment that may impact on the project and that appropriate action is taken
 Ensure that project is kept informed of external events that may affect it
 Make decisions on Project Issues or Exception Reports that are beyond the Project
Manager‟s authority
 Advise the Project Manager of any change to Project Board personnel
 Keep corporate or programme management and other interested parties informed about the
project progress
5.4.2. Responsibilities
This sub-process is a Project Board responsibility. It may look to share some of the activities with those
with Project Assurance responsibilities.
5.5. Confirming Project Closure (DP5)
5.5.1. Objective
The project needs to be closed down in an orderly manner.
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The objectives of this sub-process are to:
 Ensure that the project has a clearly defined end and an organized handover of responsibility
to the group(s), who will use, support and sustain the products
 Release the resources provided to the project
 Gain formal acceptance from the customer that the Acceptance Criteria set down at the
outset have been met adequately
 Direct any change that have not been implemented to an appropriate authority for attention
and any lessons learned to people who best benefit from them
 Establish a future method for verifying that the project has produced the desired benefits
 Notify all interested parties of the closure of the project
5.5.2. Responsibilities
This sub-process is the responsibility of the Project Board, supported by those with Project Assurance
responsibilities.
It is the responsibility of the Executive to ensure that the person who will conduct the post-project
review is properly briefed and that accountability is passed to that person.
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5.6. Input and output
Input Sub-process Ouput
· Project management team DP1 · Project Brief
structure & role descriptions Authorizing Inititation · Initiation stage Plan
· Project Brief · Announcement project start
· Risk Log · Authorization Initiation
· Project approach
· Initiation Stage Plan
· Draft Project Initiation DP2 · Project Initiation Document
document Authorising a Project · Accepted stage plan
· Nect Stage plan · Authorization project
· End Stage Report
· Next Stage Plan or exception
Plan DP3 · Trigger for premature close
· Request for authorization to Authorizing a Stage or · Authorization to proceed
proceed Exception Plan · Progress Information
· Project Plan · Approved Stage Plan or
· Business Case Exception Plan
· Project Initiation Document
· Project Management Team
changes
· Highlight Report · Management reports
DP4
· Exception report · Project Board Guidance
Giving ad hoc direction
· Requests for advice · Trigger for premature close
· Information from external sources · Exception Plan request
· Communication plan · New project issues
DP5 · Project closure notification
· Operational, maintenance and Confirming project · Follow-on Action
customer acceptance closure recommendations
· Project closure recommendation · Post-Project Review plan
· Follow-on Actions · Lessons learned report
recommendations · End project Report
· Post-Project Review plan
· Lessons learned report
· End project report
· Project Initiation Document
· Communication plan
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6. CONTROLLING A STAGE (CS)
DP MP
CP
Directing a Managing
Closing a project
project Product delivery
CS Controlling a Stage
CS9
CS7 CS1 CS2
Receiving
Taking corrective Authorizing Work Assessing
Completed Work
action Package Progress
Package
CS8 CS6 CS5 CS4 CS3
Escalating Reporting Reviewing Stage Examining project Capturing Project
Project Issues Highlights Status Issues Issues
DP SB
Directing a Managing Stage
project Boundaries
Once a decision has been taken to proceed with work and resources have been committed, the project
management team must focus on delivery within the tolerance laid down.
This means controlled production of the agreed products:
 To stated quality standards
 Within cost, effort and time agreed
 Ultimately to achieve defined benefits
The objectives of Controlling a Stage (CS) are to:
 Deliver the right products
 Ensure that quality is achieved as planned
 Deliver products on time and to costs within agreed tolerances
 Correctly direct and conduct work on products
 Keep control of products via configuration management
 Properly direct and utilize resources
 Update plans with actuals, enabling progress to be checked against the plan
 Correctly cost resource usage
 Correctly manage deviations from Stage or Project Plans
 Inform all interested parties about project progress in a timely manner
 Ensure that projects are stopped or redirected if the reasons for setting them up have been
invalidated by internal or external events
6.1. Authorizing Work Package (CS1)
6.1.1. Objective
The objective of this sub-process is to keep control over the work of the team(s) by:
 Issuing work instructions (work triggers) to the team manager(s) to commence work
 Revising the instructions as required following management decisions
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6.1.2. Responsibilities
The Project Manager is responsible for this sub-process, assisted by any Project Support Roles, and in
agreement with the relevant Team Manager. The Configuration Librarian will update the Configuration
Item Records. Project Assurance might wish to confirm that suitable quality checking arrangements have
been planned.
6.2. Assessing progress (CS2)
6.2.1. Objective
The objective of this sub-process is to maintain an accurate and current picture of:
 Progress on the work being carried out
 The status of resources
6.2.2. Responsibilities
The project manager is responsible for this sub-process, assisted by any project support roles. The
Configuration Librarian would provide any product status account required. If the team manager works
for a supplier who does not use Prince2, the work package will still contain a requirement for checkpoint
reports to be submitted. Project assurance may review the updated Quality Log.
6.3. Capturing Project Issues (CS3)
6.3.1. Objective
The objectives of this sub-process are to capture, log and categorize all Project Issues. The steps involved
in achieving this are:
 Enter all project issues in the Issue Log as soon as they are identified
 Assess whether the Project Issue is:
o A Request for change
o An Off-Specification
o A new risk
o A general issue
6.3.2. Responsibilities
The project manager is responsible for this sub-process, although a Project Support Role (Configuration
Librarian) may be nominated to act as the central focus for receiving and documenting Project Issues.
6.4. Examining Project issues (CS4)
6.4.1. Objective
All open Project Issues should be reviewed and courses of action recommended for consideration during
Reviewing Stage Status (CS5). An initial examination of a Project Issue should be performed as soon as it
is logged. On a regular basis all open Project Issues should be reviewed.
6.4.2. Responsibilities
The project manager is responsible for this sub-process. Member of the teams may be required to assess
the impact of project issues on products, workload, cost, schedule and risk, and devise alternative courses
of action.
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6.5. Reviewing stage status (CS5)
6.5.1. Objective
This sub-process provides the means for a regular assessment of the stage status. The process decides
whether:
 Further work packages should be proposed
 Any plan modifications are required
The first objective of this sub-process is to check periodically that the current stage is kept within the
tolerance set down by the Project Board by:
 Reviewing progress against the Stage Plan and Product Checklist (if used)
 Checking the Quality Log to see the state of quality checking
 Checking the Configuration Item Records to ensure that all products have been completed as
stated and anticipated
 Reviewing resource utilization and future availability
 Reviewing the effect of Project Issues on any change budget and stage and Project Plans
 Establishing whether or not the stage will go outside the tolerances
 Passing project issues likely to cause tolerance to be exceeded to the Project board for
consideration via Escalating Project Issues (CS8)
 If corrective action is needed, but the stage is forecast to stay within tolerance, the action can
be taken by the project manager, as described in Taking Corrective Action (CS7).
The second objective if this sub-process is to review project status, specifically:
 Checking that the Business Case is still valid
 Reviewing the Risk Log for possible changes
 Establishing whether or not the project will go outside the tolerances
 Ensuring that there are no quality problems
6.5.2. Responsibilities
The Project Manager is responsible for this sub-process, supported by any Project Support roles including
the Configuration Librarian and those with Project Assurance responsibilities.
6.6. Reporting Highlights (CS6)
6.6.1. Objective
The objectives if this sub-process are to:
 Provide the Project Board with summary information about the status of the stage and
project at the frequency defined by the Project Board
 Pass out any other information required by the Communication Plan
6.6.2. Responsibilities
The Project manager is responsible for this sub-process, assisted by any Project Support roles. Project
Assurance may wish to assess what is being reported to the Project Board.
6.7. Taking corrective action (CS7)
6.7.1. Objective
The objective of this sub-process is to select and (within the limits of the stage and project tolerances)
implement actions that will resolve deviations from the plan. Decisions may be required from the Project
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Board via Giving ad Hoc Direction (DP4). The Project Manager has to decide when to seek advice of the
Project Board.
6.7.2. Responsibilities
The Project Manager is responsible for this sub-process, supported by Project Assurance and Project
Support roles and in consultation with Team Members if appropriate. The Configuration Librarian, where
appointed, will update the Configurations Item Records and make any necessary products available.
6.8. Escalating project issues (CS8)
6.8.1. Objective
If the stage is forecast to go outside the tolerance margins (possibly as a result of a corrective action), the
project manager must bring the situation to the attention of the Project board.
6.8.2. Responsibilities
The project manager is responsible for escalating project issues. Those with project assurance
responsibilities should also be monitoring any situation that could cause a deviation and should bring the
matter to the project manager‟s attention. The Configuration Librarian will update Configuration Item
Records where necessary.
6.9. Receiving completed work package (CS9)
6.9.1. Objective
Confirmation is sought that the Work Package has been completed satisfactorily. This includes checking
that:
 The recipient of the products has accepted them
 The Quality Log entries are complete
 The appropriate records have been punt in the quality file
 The products have been transferred to configuration management
6.9.2. Responsibilities
The project manager is responsible for this sub-process, assisted by any appointed Project Support staff.
The team member or Team Manager responsible for completion of the Work Package will provide
information. The Configuration Librarian will update all affected Configuration Item Records.
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30. PRINCE2
6.10. Input and output
Input Sub-process Ouput
· Product description
· Work trigger · Work Package
· Authorisation to proceed CS1 · Product checklist
· Product chekclist Authorizing Work · Configuration Item Records
· Configuration Item Records Package · Stage or Exception Plan
· Stage or Exception plan · Risk Log
· Risk Log · Issue Log
· Issue Log · Quality Log
· Quality Log · Checkpoint Report
· Checkpoint report · Stage Plan
· Team plan CS2 · Product Checklist
· Stage Plan Assessing Progress · Issue log
· Product Checklist · Configuration Item Records
· Issue Log · Stage status information
· Configuration Item Records · Product Status Account
· Work Package status
· New project Issues CS3 · Updated Issue Log
· Issue Log Capturing Project Issues
· Updated Issue Log
· Risk Log
· Issue Log CS4 · Risk Log (Update)
· Business Case Examining Project Issues · Issue Log (update)
· Project Plan
· Stage Plan
· Stage status information
· Daily Log
· Issue Log · Daily Log
· Risk Log · Tolerance Threat
CS5
· Stage Plan · Plan deviation
Reviewing Stage Status
· Project Plan · Work trigger
· Quality Log · Stage status information
· Business Case · Trigger for project end
· Product checklist
· Configuration item records
· Concession
· Stage Status information · Highlight report
· Issue Log · Stage status Information
· Risk Log BF6
Hoofdpunten · Communication to interested
· Quality Log parties
· Communication Plan rapporteren
· Product Checklist
· Previous Highlight report
· Checkpoint reports
· Plan deviation
· Issue Log · Issue Log
CS7
· Risk log · Risk Log
Taking corrective action
· Project Board Guidance · Request for Advice
· Stage Plan · Work trigger
· Product checklist
· Tolerance threat
· Business Case
· Concession
· Project plan
· Exception Report
· Risk Log
CS8 · Trigger for premature closure
· Project Initiation Document
Escalating Project Issues · Exception Plan request
· Stage Plan
· Approved Exception report
· Configuration Item Records
· Configuration Item Records
· Issue Log
· Issue Log
· Project Board Decision
· Approved Exception report
· Configuration Item Records CS9 · Approved Work Package
· Quality Log Receiving Completed · Work package Status
· Work Package Work Package · Configurations Item Records
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