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Prince2 practioner abstract

  1. 1. PRINCE2 PRINCE2 A SUMMARYPRINCE2pracWeb.doc Page i
  2. 2. PRINCE2DOCUMENT HISTORY Version Date Author Notes 0.1 25-02-2006 Anne Plancius First draftPRINCE2pracWeb.doc Page ii
  3. 3. PRINCE2TABLE OF CONTENTS0. PERSONAL NOTE .................................................................................................................... 81. PRINCE2 TERMINOLOGY ...................................................................................................... 92. 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 ................................................................................................................... 133. 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 .................................................................................................................. 174. 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........................................................................................................................................ 19PRINCE2pracWeb.doc Page iii
  4. 4. PRINCE2 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 .................................................................................................................. 215. 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 ..................................................................................................................256. 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) ...........................................................................................29PRINCE2pracWeb.doc Page iv
  5. 5. PRINCE2 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 .................................................................................................................307. 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 ..................................................................................................................338. 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 ..................................................................................................................379. 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 ..................................................................................................................4010. PLANNING .............................................................................................................................. 41 10.1. Designing a Plan (PL1)....................................................................................................... 41 10.1.1. Objective ................................................................................................................................................ 41PRINCE2pracWeb.doc Page v
  6. 6. PRINCE2 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 .................................................................................................................4411. 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 ......................................................................................................................... 53PRINCE2pracWeb.doc Page vi
  7. 7. PRINCE2 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 ....................................................................................................................59PRINCE2pracWeb.doc Page vii
  8. 8. PRINCE20. PERSONAL NOTEThis document is a summary based on: „Managing Successful Projects with Prince2‟. This summary ispurely intended for me personally but might help others. This reason for this abstract is my Prince2Practioner exam.PRINCE2pracWeb.doc Page 8
  9. 9. PRINCE21. PRINCE2 TERMINOLOGYBusiness Case: Business Case is used to define the information that justifies the setting u, continuation ortermination of the project. It answers the question: ”Why should this project be done?” It is updated atkey points throughout the project.Customer: Customer is used to represent the person or group who has commissioned the work and willbe benefiting from the end results.Products: Product is used to describe everything that the project has to create or change, howeverphysical or otherwise this may be. Results of projects can vary enormously from physical items, such asbuildings 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 anorganization.Supplier: Supplier is used to mean the group that is providing specialist resources and skills to the projector 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 situationsthe customer and user may be the same group.PRINCE2pracWeb.doc Page 9
  10. 10. PRINCE22. AN INTRODUCTION TO PRINCE2Prince2 defines a project as: A management environment that is created for the purpose of delivering oneor 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 outthe activities of the project. It does not cover the specialists techniques involved in the creation of theproducts. 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 delivery2.1. 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 theproject and what product is required. The work of the process is built around the establishment of seventhings:  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 logPRINCE2pracWeb.doc Page 10
  11. 11. PRINCE2  An outline Business Case  The initiation stage planThe 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 viareports 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 closure2.3. 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 theProject Manager involved in allocating work, ensuring that a stage stays on course and reacting tounexpected events. The process forms the core of the Project Manager‟s effort on the project, being theprocess 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 projectby:  The team manager negotiating details of Work Packages with the project managerPRINCE2pracWeb.doc Page 11
  12. 12. PRINCE2  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 products2.7. Closing a project (CP)The purpose of this process is to execute a controlled close to the project. The objectives of closing aproject 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 resources2.8. PlanningPlanning 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 components2.9.1. Business CaseThe existence of a viable Business Case is the main control condition of a Prince2 project. The BusinessCase is verified by the Project Board before a Project begins and at every major decision point throughoutthe project. The project should be stopped if the viability of the Business Case disappears for any reasons.2.9.2. OrganizationPrince2 provides a structure of a project management team and a definition of the responsibilities andrelationships of all roles involved in the project. According to the size and complexity of a project., theseroles can be combined or shared.PRINCE2pracWeb.doc Page 12
  13. 13. PRINCE22.9.3. PlansPrince2 offers a series of plan levels that can be tailored to the size of a project and an approach toplanning based on products rather than activities.2.9.4. ControlsPrince2 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 seniormanagement Prince2 controls are based on the concept of management by exception. In order topromote sound management control, a project is split into stages as an approach to defining the reviewand commitment point of a project.2.9.5. Management of RiskRisk is a major factor to be considered during the life of a project. Prince2 efines the key moments whenrisks should be reviewed, outlines an approach to the analysis and management of risk, and tracks thesethrough all processes.2.9.6. Quality in a project environmentPrince2 recognizes the importance of quality and incorporates a quality approach to the management andtechnical processes. It begins by establishing the customers quality expectations and follows these up bylaying down standards and quality inspection methods to be used and by checking that these being used.2.9.7. Configuration ManagementTracking the components of a final product and their versions for release is called ConfigurationManagement. There are many methods of Configuration Management available. Prince2 defines theessential facilities and information requirements for a configuration management method and how itshould link with other Prince2 components.2.9.8. Change controlPrince2 emphasis the need for change control, and this is enforced with a change control technique plusidentification of the processes that capture, analyze and progress the change control.2.10. The techniquesIn support of the method the manual does contain details of these techniques: product based planning,change control and quality review.PRINCE2pracWeb.doc Page 13
  14. 14. PRINCE23. 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 PLANNINGThe 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 PlanThe 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. ObjectiveThe 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 roles3.1.2. ResponsibilitiesResponsibility for this sub-process lies with corporate or programme management.3.2. Designing a project management team (SU2)PRINCE2pracWeb.doc Page 14
  15. 15. PRINCE23.2.1. ObjectiveThe 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. ResponsibilitiesThe Excecutive and the Project Manager are jointly responsible for the design. The Executive will takespecific responsibility for the Project Board design.3.3. Appointing a Project Management Team (SU3)3.3.1. ObjectiveThe 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 Plan3.3.2. ResponsibilitiesThe Executive is responsible for appointments, assisted and advised by the Project Manager. TheExecutive will have to liaise with corporate or programme management to identify the appropriatepersonnel and negotiate for their availability.3.4. Preparing a Project Brief (SU4)3.4.1. ObjectiveThe 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 Mandate3.4.2. ResponsibilitiesPRINCE2pracWeb.doc Page 15
  16. 16. PRINCE2The Executive is ultimately responsible for the production of the Project Brief. In practice, the ProjectManager and any appointed Project Support will do much of the actual work. The Executive‟s ProjectAssurance role should review the outline Business Case and Risk Log.3.5. Defining a Project Approach (SU5)3.5.1. ObjectiveThe 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 project3.5.2. ResponsibilitiesThe Project Manager is responsible for carrying out this sub-process. However, the work will need to bedone by people skilled in the specialist areas involved, with input from Project Support and ProjectAssurance roles, under the overall direction of the Senior Supplier.3.6. Planning an Initiation Stage (SU6)3.6.1. ObjectiveThe 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 stage3.6.2. ResponsibilitiesThe Project Manager is responsible for planning the initiation stage. The appointed Project Assuranceand Project Support roles will assist. In particular whoever is responsible for business assurance needs toidentify in the Initiation Stage Plan how the Business Case and risk assessment will be checked.PRINCE2pracWeb.doc Page 16
  17. 17. PRINCE23.7. 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 StagePRINCE2pracWeb.doc Page 17
  18. 18. PRINCE24. 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 DocumentIn 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. ObjectiveThe objective of this sub-process are to determine the quality required for products of the project, and toplan 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 changes4.1.2. ResponsibilitiesThe project manager is responsible for this sub-process, assisted by those with Project Assuranceresponsibilities, particularly those connected to business assurance. Where a separate quality assurancefunction exists within a corporate body, the work of this sub-process must be done in close co-ordinationwith that function.PRINCE2pracWeb.doc Page 18
  19. 19. PRINCE24.2. Planning a project (IP2)4.2.1. ObjectiveThe 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 Plan4.2.2. ResponsibilitiesThe Project Manager is responsible for this sub-process, assisted where appropriate by Project Supportroles and other members of the project management team, and guided by those with Project Assuranceresponsibilities, who also check the results.4.3. Refining the Business Case and risks (IP3)4.3.1. ObjectiveThis sub-process refines the Business Case and may reveal extra risks. The objectives of this sub-processare 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 activities4.3.2. ResponsibilitiesThe project manager is responsible for this sub-process, assisted, where appropriate by Project Supportroles and advised by those with Project Assurance responsibilities. The project manager should discussthe Business Case and risks with the Project Board informally before presentation in the Project InitiationDocument.4.4. Setting up Project Control (IP4)4.4.1. ObjectiveThe 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 needsPRINCE2pracWeb.doc Page 19
  20. 20. PRINCE24.4.2. ResponsibilitiesThe project manager is responsible, assisted by project supported and advised by those with projectassurance responsibilities.4.5. Setting up the Project Files (IP5)4.5.1. ObjectiveThe 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. ResponsibilitiesThe Project Manager is responsible for this sub-process, assisted by any project support roles and advisedby those with project assurance responsibilities.Wher the project is part of a programme, the project-level filing structure must be consistent with that atprogramme level.4.6. Assembling a Project Initiation Document (IP6)4.6.1. ObjectiveThe 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 project4.6.2. ResponsibilitiesThe 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.PRINCE2pracWeb.doc Page 20
  21. 21. PRINCE24.7. 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 planPRINCE2pracWeb.doc Page 21
  22. 22. PRINCE25. 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 stageSenior 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 partiesDirecting a Project (DP) runs from Starting up a project (SU) until project closure and includes the workto:  Authorize the initiation of the project  Provide management direction and control through its life  Liaise with corporate or programme management  Confirm project closure5.1. Authorizing Initiation (DP1)5.1.1. ObjectiveThe 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. ResponsibilitiesResponsibility for this sub-process rests with the Project Board, based on input provided by the ProjectManager and those with Project Assurance responsibilities. Corporate or programme management isresponsible for ratifying the Project Brief for the Project Board.5.2. Authorizing a project (DP2)PRINCE2pracWeb.doc Page 22
  23. 23. PRINCE25.2.1. ObjectiveThe objective of this sub-process is to decide whether to proceed with the project. This is based onapproval or rejection of the Project Initiation Document.5.2.2. ResponsibilitiesThe Project Board is responsible for this sub-process. Most of the input will come from the ProjectManager.5.3. Authorizing a Stage or Exception Plan (DP3)5.3.1. ObjectiveThe objective of this sub-process is to decide whether to authorize the next of work and hence committhe 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. ResponsibilitiesThe Project Board has full responsibilities for this sub-process, based on information provided by theProject Manager. Advice would be given by any allocated Project Assurance roles.5.4. Giving ad hoc direction (DP4)5.4.1. ObjectiveThe 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 progress5.4.2. ResponsibilitiesThis sub-process is a Project Board responsibility. It may look to share some of the activities with thosewith Project Assurance responsibilities.5.5. Confirming Project Closure (DP5)5.5.1. ObjectiveThe project needs to be closed down in an orderly manner.PRINCE2pracWeb.doc Page 23
  24. 24. PRINCE2The 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 project5.5.2. ResponsibilitiesThis sub-process is the responsibility of the Project Board, supported by those with Project Assuranceresponsibilities.It is the responsibility of the Executive to ensure that the person who will conduct the post-projectreview is properly briefed and that accountability is passed to that person.PRINCE2pracWeb.doc Page 24
  25. 25. PRINCE25.6. 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 planPRINCE2pracWeb.doc Page 25
  26. 26. PRINCE26. 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 BoundariesOnce a decision has been taken to proceed with work and resources have been committed, the projectmanagement 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 benefitsThe 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 events6.1. Authorizing Work Package (CS1)6.1.1. ObjectiveThe 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 decisionsPRINCE2pracWeb.doc Page 26
  27. 27. PRINCE26.1.2. ResponsibilitiesThe Project Manager is responsible for this sub-process, assisted by any Project Support Roles, and inagreement with the relevant Team Manager. The Configuration Librarian will update the ConfigurationItem Records. Project Assurance might wish to confirm that suitable quality checking arrangements havebeen planned.6.2. Assessing progress (CS2)6.2.1. ObjectiveThe objective of this sub-process is to maintain an accurate and current picture of:  Progress on the work being carried out  The status of resources6.2.2. ResponsibilitiesThe project manager is responsible for this sub-process, assisted by any project support roles. TheConfiguration Librarian would provide any product status account required. If the team manager worksfor a supplier who does not use Prince2, the work package will still contain a requirement for checkpointreports to be submitted. Project assurance may review the updated Quality Log.6.3. Capturing Project Issues (CS3)6.3.1. ObjectiveThe objectives of this sub-process are to capture, log and categorize all Project Issues. The steps involvedin 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 issue6.3.2. ResponsibilitiesThe project manager is responsible for this sub-process, although a Project Support Role (ConfigurationLibrarian) may be nominated to act as the central focus for receiving and documenting Project Issues.6.4. Examining Project issues (CS4)6.4.1. ObjectiveAll open Project Issues should be reviewed and courses of action recommended for consideration duringReviewing Stage Status (CS5). An initial examination of a Project Issue should be performed as soon as itis logged. On a regular basis all open Project Issues should be reviewed.6.4.2. ResponsibilitiesThe project manager is responsible for this sub-process. Member of the teams may be required to assessthe impact of project issues on products, workload, cost, schedule and risk, and devise alternative coursesof action.PRINCE2pracWeb.doc Page 27
  28. 28. PRINCE26.5. Reviewing stage status (CS5)6.5.1. ObjectiveThis sub-process provides the means for a regular assessment of the stage status. The process decideswhether:  Further work packages should be proposed  Any plan modifications are requiredThe first objective of this sub-process is to check periodically that the current stage is kept within thetolerance 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 problems6.5.2. ResponsibilitiesThe Project Manager is responsible for this sub-process, supported by any Project Support roles includingthe Configuration Librarian and those with Project Assurance responsibilities.6.6. Reporting Highlights (CS6)6.6.1. ObjectiveThe 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 Plan6.6.2. ResponsibilitiesThe Project manager is responsible for this sub-process, assisted by any Project Support roles. ProjectAssurance may wish to assess what is being reported to the Project Board.6.7. Taking corrective action (CS7)6.7.1. ObjectiveThe 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 ProjectPRINCE2pracWeb.doc Page 28
  29. 29. PRINCE2Board via Giving ad Hoc Direction (DP4). The Project Manager has to decide when to seek advice of theProject Board.6.7.2. ResponsibilitiesThe Project Manager is responsible for this sub-process, supported by Project Assurance and ProjectSupport roles and in consultation with Team Members if appropriate. The Configuration Librarian, whereappointed, will update the Configurations Item Records and make any necessary products available.6.8. Escalating project issues (CS8)6.8.1. ObjectiveIf the stage is forecast to go outside the tolerance margins (possibly as a result of a corrective action), theproject manager must bring the situation to the attention of the Project board.6.8.2. ResponsibilitiesThe project manager is responsible for escalating project issues. Those with project assuranceresponsibilities should also be monitoring any situation that could cause a deviation and should bring thematter to the project manager‟s attention. The Configuration Librarian will update Configuration ItemRecords where necessary.6.9. Receiving completed work package (CS9)6.9.1. ObjectiveConfirmation is sought that the Work Package has been completed satisfactorily. This includes checkingthat:  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 management6.9.2. ResponsibilitiesThe 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 provideinformation. The Configuration Librarian will update all affected Configuration Item Records.PRINCE2pracWeb.doc Page 29

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